13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-12, with 7,672 holding rows worth $110,619,746,000.
- Accession
- 0000831001-20-000062
- Filer
- CIK 831001
- Filed
- 2020-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 16,077 entries on the cover page, a total value of $110,619,746,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $110,619,746,000 with VALUE read as thousands by filing date, 13F file number 028-02427. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerCitibank (Switzerland)028-04289
- included managerCitibank, N.A.028-04287
- included managerCitibank Canada028-06215
- included managerCitibank Overseas Investment Corp028-05347
- included managerCiticorp LLC028-11520
- included managerCiticorp Banking Corp028-04349
- included managerCiticorp Trust Delaware, National Association028-12382
- included managerCiticorp Trust South Dakota028-12977
- included managerCitigroup Derivatives Markets Inc.028-11547
- included managerCitigroup Financial Products Inc.028-01114
- included managerCitigroup Global Markets Europe AG028-10817
- included managerCitigroup Global Markets Holdings Bahamas Ltd028-19110
- included managerCitigroup Global Markets Holdings Inc.028-01109
- included managerCitigroup Global Markets Inc.028-00541
- included managerCitigroup Global Markets Ltd028-04309
- included managerCitigroup Inc. 028-02427
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 437 | $11,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 352 | $11,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 950 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 300 | $11,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 2,000 | $11,000 | thousands by filing date | call |
| CANADIAN SOLAR INC | 136635109 | COM | 700 | $11,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,697 | $11,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 744 | $11,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,604 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 500 | $11,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 1,746 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 2,000 | $11,000 | thousands by filing date | put |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,711 | $11,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 92,222 | $11,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 5,000 | $11,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 158 | $11,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 2,000 | $11,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 871 | $11,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 6,201 | $11,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 800 | $11,000 | thousands by filing date | call |
| CITIZENS HLDG CO MISS | 174715102 | COM | 555 | $11,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 8,000 | $11,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,900 | $11,000 | thousands by filing date | call |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,100 | $11,000 | thousands by filing date | call |
| VALHI INC NEW | 918905100 | COM | 10,501 | $11,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $11,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 2,145 | $11,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 18,059 | $11,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 1,268 | $11,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 4,010 | $11,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 1,813 | $10,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 9,838 | $10,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 771 | $10,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 1,000 | $10,000 | thousands by filing date | put |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 334 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 200 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 309 | $10,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,592 | $10,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 200 | $10,000 | thousands by filing date | put |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 1,624 | $10,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 700 | $10,000 | thousands by filing date | put |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 1,000 | $10,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,310 | $10,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,303 | $10,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 1,200 | $10,000 | thousands by filing date | call |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 600 | $10,000 | thousands by filing date | put |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 800 | $10,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 1,130 | $10,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 255 | $10,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,906 | $10,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 1,999 | $10,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,259 | $10,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 55,195 | $10,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 3,260 | $10,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,347 | $10,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 13,000 | $10,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 13,512 | $10,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,500 | $10,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 14,400 | $10,000 | thousands by filing date | put |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 1,300 | $10,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 3,300 | $10,000 | thousands by filing date | put |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 6,137 | $10,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 2,250 | $10,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 6,173 | $10,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 1,116 | $10,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 100 | $9,000 | thousands by filing date | put |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 200 | $9,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 454 | $9,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 100 | $9,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 1,966 | $9,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 1,852 | $9,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 500 | $9,000 | thousands by filing date | put |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 795 | $9,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $9,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 382 | $9,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 1,400 | $9,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 595 | $9,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 11,500 | $9,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 2,265 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $9,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 2,100 | $9,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 450 | $9,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 123 | $9,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 2,872 | $9,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 919 | $9,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 292 | $9,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 443 | $9,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 2,156 | $9,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,090 | $9,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 812 | $9,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 974 | $9,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 300 | $9,000 | thousands by filing date | put |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 23,000 | $9,000 | thousands by filing date | call |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 417 | $9,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 1,432 | $9,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 1,600 | $9,000 | thousands by filing date | call |
| HMN FINL INC | 40424G108 | COM | 482 | $9,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 2,570 | $9,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,062 | $9,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 36,500 | $9,000 | thousands by filing date | call |
| CALYXT INC | 13173L107 | COM | 2,630 | $9,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 1,000 | $9,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 339 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 155 | $9,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 8,000 | $9,000 | thousands by filing date | principal |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 1,000 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 390 | $9,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 1,585 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| TOCAGEN INC | 888846102 | COM | 7,422 | $9,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 250 | $8,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 334 | $8,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 330 | $8,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 3,465 | $8,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 300 | $8,000 | thousands by filing date | put |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 3,574 | $8,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 200 | $8,000 | thousands by filing date | put |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 594 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 5,000 | $8,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 828 | $8,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 100 | $8,000 | thousands by filing date | put |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 929 | $8,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 11,800 | $8,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 322 | $8,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 406 | $8,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 10,776 | $8,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 13,204 | $8,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 4,600 | $8,000 | thousands by filing date | call |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 400 | $8,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 4,196 | $8,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,515 | $8,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 1,089 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 300 | $8,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 4,800 | $8,000 | thousands by filing date | call |
| QIWI PLC | 74735M108 | SPON ADR REP B | 733 | $8,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 823 | $8,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,200 | $8,000 | thousands by filing date | call |
| EXONE CO | 302104104 | COM | 1,200 | $8,000 | thousands by filing date | put |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 1,726 | $8,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 2,480 | $8,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 6,089 | $8,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 425 | $8,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,939 | $8,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 5,518 | $8,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 798 | $8,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 5,861 | $8,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 115 | $8,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 324 | $7,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,438 | $7,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 600 | $7,000 | thousands by filing date | put |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 300 | $7,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 200 | $7,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 861 | $7,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 442 | $7,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 125 | $7,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 7,233 | $7,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 300 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 300 | $7,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 700 | $7,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,000 | $7,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 468 | $7,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 400 | $7,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 803 | $7,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 471 | $7,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 1,029 | $7,000 | thousands by filing date | |
| OXFORD INDS INC | 691497309 | COM | 200 | $7,000 | thousands by filing date | put |
| OXFORD INDS INC | 691497309 | COM | 200 | $7,000 | thousands by filing date | call |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 8,606 | $7,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 2,200 | $7,000 | thousands by filing date | put |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,118 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,236 | $7,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 429 | $7,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 257 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33737K205 | INDXX NEXTG ETF | 150 | $7,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 500 | $7,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 575 | $7,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 550 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 250 | $7,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 6,285 | $7,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 188 | $7,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,008 | $7,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,743 | $7,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,324 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 253 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 207 | $7,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 953 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 325 | $7,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 4,400 | $7,000 | thousands by filing date | call |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 8,000 | $7,000 | thousands by filing date | principal |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,980 | $7,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 4,400 | $7,000 | thousands by filing date | put |
| TIVITY HEALTH INC | 88870R102 | COM | 1,050 | $7,000 | thousands by filing date | put |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 7,000 | $7,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 7,000 | $7,000 | thousands by filing date | principal |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 700 | $7,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 6,600 | $7,000 | thousands by filing date | put |
| RIGNET INC | 766582100 | COM | 3,989 | $7,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 325 | $7,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 3,847 | $7,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 6,989 | $7,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 4,078 | $7,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 977 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 1,000 | $7,000 | thousands by filing date | call |
| COVIA HLDGS CORP | 22305A103 | COM | 12,029 | $7,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 7,000 | $7,000 | thousands by filing date | principal |
| CASPER SLEEP INC | 147626105 | COM | 1,675 | $7,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 4,296 | $7,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 2,219 | $7,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 5,873 | $7,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 6,445 | $7,000 | thousands by filing date | |
| ENSCO JERSEY FIN LTD | 29359WAB1 | NOTE 3.000% 1/3 | 26,000 | $7,000 | thousands by filing date | principal |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 234,300 | $7,000 | thousands by filing date | call |
| MIDDLEBYCORP | 596278101 | STOK | 100 | $6,000 | thousands by filing date | call |
| PENTAIR PLC SHS | G7S00T104 | Stock | 200 | $6,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 1,793 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 358 | $6,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 2,500 | $6,000 | thousands by filing date | call |
| NEXTDECADE CORP | 65342K105 | COM | 3,110 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 500 | $6,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 800 | $6,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 500 | $6,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 1,705 | $6,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 863 | $6,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 7,800 | $6,000 | thousands by filing date | call |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 4,520 | $6,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 700 | $6,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 12,200 | $6,000 | thousands by filing date | call |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 329 | $6,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 275 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 200 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 172 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 114 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 200 | $6,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 5,800 | $6,000 | thousands by filing date | call |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 200 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 500 | $6,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 816 | $6,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 1,144 | $6,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 3,900 | $6,000 | thousands by filing date | put |
| Gulfport Energy | 402635304 | COM | 12,700 | $6,000 | thousands by filing date | put |
| GLOBALSTAR INC | 378973408 | COM | 19,600 | $6,000 | thousands by filing date | call |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 327 | $6,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,182 | $6,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 8,600 | $6,000 | thousands by filing date | call |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 976 | $6,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 21,967 | $6,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 6,300 | $6,000 | thousands by filing date | put |
| HILL INTERNATIONAL INC | 431466101 | COM | 4,137 | $6,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 3,681 | $6,000 | thousands by filing date | |
| HAPPINESS DEVELOPMENT GRP LT | G4289N114 | ORD SHS CL A | 2,000 | $6,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 6,158 | $6,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,000 | $6,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 8,912 | $6,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 2,500 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 350 | $6,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 200 | $5,000 | thousands by filing date | put |
| INOGEN INC | 45780L104 | COM | 100 | $5,000 | thousands by filing date | call |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 200 | $5,000 | thousands by filing date | put |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 164 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 400 | $5,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 321 | $5,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 400 | $5,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 420 | $5,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 2,000 | $5,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 533 | $5,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 3,000 | $5,000 | thousands by filing date | call |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 6,498 | $5,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 335 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 125 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 222 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 65 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 276 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V803 | DORSEY WRGT CSMR | 130 | $5,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 1,048 | $5,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 380 | $5,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 29,943 | $5,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 5,000 | $5,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 2,056 | $5,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 1,784 | $5,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 1,000 | $5,000 | thousands by filing date | |
| RYB ED INC | 74979W101 | ADR | 1,449 | $5,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 7,000 | $5,000 | thousands by filing date | principal |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 539 | $5,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 450 | $5,000 | thousands by filing date | call |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 8,000 | $5,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 800 | $5,000 | thousands by filing date | call |
| Ampio Pharmaceuticals | 03209T109 | COM | 11,500 | $5,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 906 | $5,000 | thousands by filing date | call |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 350 | $5,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 1,000 | $5,000 | thousands by filing date | put |
| BAUDAX BIO INC | 07160F107 | COM | 2,062 | $5,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 340 | $5,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XSP6 | MKTS HLDGS MTNF 6.500% 9/2 | 5,000 | $5,000 | thousands by filing date | principal |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 120 | $4,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 460 | $4,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 1,934 | $4,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 1,044 | $4,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,000 | $4,000 | thousands by filing date | put |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 64 | $4,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 202 | $4,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 81 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 100 | $4,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 1,500 | $4,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 2,100 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 116 | $4,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 235 | $4,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 200 | $4,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 500 | $4,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 92 | $4,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 300 | $4,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 1,807 | $4,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 900 | $4,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 200 | $4,000 | thousands by filing date | put |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 300 | $4,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 350 | $4,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 363 | $4,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 511 | $4,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 209 | $4,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 1,600 | $4,000 | thousands by filing date | call |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,820 | $4,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 1,600 | $4,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 930 | $4,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 269 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 103 | $4,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 11,440 | $4,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 135 | $4,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 500 | $4,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 1,400 | $4,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 3,600 | $4,000 | thousands by filing date | put |
| INVESCO | 46090C305 | EXCHANGE TRADED | 125 | $4,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 366 | $4,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 4,544 | $4,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 8,483 | $4,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 207 | $4,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 700 | $4,000 | thousands by filing date | put |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 150 | $4,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 12,000 | $4,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 7,500 | $4,000 | thousands by filing date | put |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 5,393 | $4,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 690 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 200 | $4,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 5,000 | $4,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 1,000 | $4,000 | thousands by filing date | put |
| APTINYX INC | 03836N103 | COM | 2,022 | $4,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,834 | $4,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 5,000 | $4,000 | thousands by filing date | principal |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 8,857 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 86 | $4,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 3,387 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 2,398 | $4,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 2,973 | $4,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,046 | $3,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,600 | $3,000 | thousands by filing date | put |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 2,300 | $3,000 | thousands by filing date | call |
| SIBANYE STILLWATER LTD SPONSORED ADR | 82575P107 | ADR | 441 | $3,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,254 | $3,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 500 | $3,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 100 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 300 | $3,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 148 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 62 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W521 | JAPAN OPPOR FD | 84 | $3,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 3,800 | $3,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 55 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 50 | $3,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 223 | $3,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 500 | $3,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 61 | $3,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,046 | $3,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 935 | $3,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 400 | $3,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 2,117 | $3,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 600 | $3,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 135 | $3,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 1,084 | $3,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 318 | $3,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 900 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 300 | $3,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 347 | $3,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 205 | $3,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 300 | $3,000 | thousands by filing date | put |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 56 | $3,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 700 | $3,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 188 | $3,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 5,072 | $3,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 882 | $3,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 300 | $3,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 1,200 | $3,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 9,900 | $3,000 | thousands by filing date | put |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 835 | $3,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 200 | $3,000 | thousands by filing date | call |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 1,319 | $3,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 2,600 | $3,000 | thousands by filing date | call |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 600 | $3,000 | thousands by filing date | put |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 2,700 | $3,000 | thousands by filing date | call |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,700 | $3,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 218 | $3,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 910 | $3,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 61 | $3,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 3,264 | $3,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 1,030 | $3,000 | thousands by filing date | |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 4,000 | $3,000 | thousands by filing date | principal |
| ALTAIR ENGR INC | 021369AA1 | BOND | 3,000 | $3,000 | thousands by filing date | principal |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 120 | $3,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 170 | $3,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 13,073 | $3,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 4,557 | $3,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17324XYC8 | MTNF 10.150% 2/1 | 8,000 | $3,000 | thousands by filing date | principal |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 24 | $2,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 345 | $2,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 100 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 98 | $2,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 1,049 | $2,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 290 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 103 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G706 | SOLAR ETF | 90 | $2,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 200 | $2,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 800 | $2,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 200 | $2,000 | thousands by filing date | call |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 100 | $2,000 | thousands by filing date | call |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 162 | $2,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 300 | $2,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 864 | $2,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 146 | $2,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 100 | $2,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 100 | $2,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 405 | $2,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 187 | $2,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 113 | $2,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 135 | $2,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 322 | $2,000 | thousands by filing date | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 299 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 100 | $2,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 3,263 | $2,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 157 | $2,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 86 | $2,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 510 | $2,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 200 | $2,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R761 | CMN | 100 | $2,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 30 | $2,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 84 | $2,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 100 | $2,000 | thousands by filing date | put |
| FIRST TR EXCHNG TRADED FD VI | 33740F409 | INCOME OPPRTNTES | 100 | $2,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 317 | $2,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 4,000 | $2,000 | thousands by filing date | call |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 500 | $2,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 100 | $2,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,000 | $2,000 | thousands by filing date | put |
| OI SA-ADR | 670851500 | ADR | 5,692 | $2,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 5,900 | $2,000 | thousands by filing date | call |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 2,408 | $2,000 | thousands by filing date | call |
| HEXO CORP | 428304109 | COM | 3,074 | $2,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 113 | $2,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 2,253 | $2,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 2,900 | $2,000 | thousands by filing date | put |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 200 | $2,000 | thousands by filing date | call |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 600 | $2,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 2,100 | $2,000 | thousands by filing date | call |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 300 | $2,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 5,000 | $2,000 | thousands by filing date | principal |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 5,000 | $2,000 | thousands by filing date | principal |
| MICHAELS COS INC | 59408Q106 | COM | 1,000 | $2,000 | thousands by filing date | call |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 93 | $2,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 280 | $2,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,309 | $2,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 8,301 | $2,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 17,000 | $2,000 | thousands by filing date | principal |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 5,706 | $2,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 2,000 | $2,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 4,869 | $2,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 9,986 | $2,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 5,500 | $2,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 250 | $2,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 151 | $2,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 1,460 | $2,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,629 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y884 | DLY CNSMR DIS | 100 | $2,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 900 | $1,000 | thousands by filing date | put |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 62 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 13 | $1,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 200 | $1,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 500 | $1,000 | thousands by filing date | call |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 50 | $1,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 300 | $1,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 45 | $1,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 1,000 | $1,000 | thousands by filing date | put |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 50 | $1,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 32 | $1,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 300 | $1,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 85 | $1,000 | thousands by filing date | |
| SITE CENTERS CORP | 82981J109 | COM | 200 | $1,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 100 | $1,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 100 | $1,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 500 | $1,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 2,160 | $1,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 90 | $1,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 689 | $1,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 200 | $1,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 18 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-20-000062 | this filing | 2020-05-12 | acceptance time not in the bulk data set |