13F-HR filed by CITIGROUP INC
CITIGROUP INC filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-12, with 7,607 holding rows worth $128,115,988,000.
- Accession
- 0000831001-20-000096
- Filer
- CIK 831001
- Filed
- 2020-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 15,881 entries on the cover page, a total value of $128,115,988,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $128,115,988,000 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
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 |
|---|---|---|---|---|---|---|
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,441 | $24,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 388 | $23,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 1,626 | $23,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 1,200 | $23,000 | thousands by filing date | call |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 2,762 | $23,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 1,632 | $23,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 800 | $23,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 884 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 666 | $23,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 700 | $23,000 | thousands by filing date | put |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 600 | $23,000 | thousands by filing date | call |
| ENERGY FUELS INC | 292671708 | COM NEW | 15,530 | $23,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 779 | $23,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 3,200 | $23,000 | thousands by filing date | put |
| AARONS INC | 002535300 | COM PAR $0.50 | 500 | $23,000 | thousands by filing date | put |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 5,844 | $23,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 913 | $23,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,540 | $23,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,008 | $23,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 834 | $23,000 | thousands by filing date | |
| PACER DATA & ETF INFRASTRUCTURE REAL ESTATE | 69374H741 | ETF | 660 | $23,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,595 | $23,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 1,021 | $23,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 884 | $23,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 21,000 | $23,000 | thousands by filing date | principal |
| PICO HLDGS INC | 693366205 | COM NEW | 2,683 | $23,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 17,487 | $23,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 1,440 | $23,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 1,834 | $23,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 5,077 | $23,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 8,000 | $23,000 | thousands by filing date | principal |
| Fidelity High Dividend ETF | 316092840 | SHS | 800 | $22,000 | thousands by filing date | |
| AXOSFINLINC | 05465C100 | STOK | 1,000 | $22,000 | thousands by filing date | put |
| GERON CORP | 374163103 | COM | 10,200 | $22,000 | thousands by filing date | put |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 900 | $22,000 | thousands by filing date | call |
| CORMEDIX INC COM | 21900C308 | Stock | 3,484 | $22,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 5,868 | $22,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 911 | $22,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 5,000 | $22,000 | thousands by filing date | put |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,316 | $22,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 2,157 | $22,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 413 | $22,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 396 | $22,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 1,591 | $22,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,480 | $22,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 3,382 | $22,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,091 | $22,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 9,058 | $22,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 475 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 1,508 | $22,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 6,300 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 681 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,104 | $22,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 6,492 | $22,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 1,000 | $22,000 | thousands by filing date | call |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 3,077 | $22,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 1,200 | $22,000 | thousands by filing date | call |
| MARINE PRODS CORP | 568427108 | cs | 1,558 | $22,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 972 | $22,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,516 | $22,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 2,461 | $22,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 7,924 | $22,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 14,000 | $22,000 | thousands by filing date | principal |
| RESONANT INC | 76118L102 | COM | 9,229 | $22,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 1,091 | $22,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 1,140 | $22,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XE63 | MKTS HLDGS MTNF 3/2 | 20,000 | $22,000 | thousands by filing date | principal |
| GENTEX CORP COM | 371901109 | Stock | 800 | $21,000 | thousands by filing date | put |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 24,103 | $21,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 1,337 | $21,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 5,500 | $21,000 | thousands by filing date | put |
| ICHOR HOLDINGS | G4740B105 | SHS | 800 | $21,000 | thousands by filing date | put |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 25,600 | $21,000 | thousands by filing date | call |
| RADIANT LOGISTICS INC | 75025X100 | COM | 5,274 | $21,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 1,200 | $21,000 | thousands by filing date | put |
| GENASYS INC | 36872P103 | CMN | 4,349 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 400 | $21,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 3,013 | $21,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 2,518 | $21,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 20,000 | $21,000 | thousands by filing date | principal |
| 8X8 INC NEW | 282914AB6 | BOND | 23,000 | $21,000 | thousands by filing date | principal |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 2,855 | $21,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 4,682 | $21,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 8,974 | $21,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 8,247 | $21,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 22,000 | $21,000 | thousands by filing date | principal |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 10,000 | $21,000 | thousands by filing date | principal |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 1,394 | $21,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 1,500 | $21,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XVW7 | MKTS HLDGS MTNF 12/2 | 50,000 | $21,000 | thousands by filing date | principal |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 240 | $20,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 1,246 | $20,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 1,150 | $20,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 1,525 | $20,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 315 | $20,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 700 | $20,000 | thousands by filing date | put |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 636 | $20,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 1,384 | $20,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 1,600 | $20,000 | thousands by filing date | put |
| ALICO INC | 016230104 | COM | 657 | $20,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 2,968 | $20,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 1,607 | $20,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 7,200 | $20,000 | thousands by filing date | call |
| FS BANCORP INC | 30263Y104 | COM | 508 | $20,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 406 | $20,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 2,910 | $20,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 6,502 | $20,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 7,064 | $20,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 1,695 | $20,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,458 | $20,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 1,950 | $20,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,224 | $20,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,442 | $20,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,504 | $20,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 3,527 | $20,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,164 | $20,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,382 | $20,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,424 | $20,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 1,134 | $20,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 988 | $20,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V779 | BLDG CONSTR ETF | 661 | $20,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 71,900 | $20,000 | thousands by filing date | call |
| CROWN CRAFTS INC | 228309100 | COM | 4,200 | $20,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430545 | HEDGE IND ETF | 300 | $20,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 2,104 | $20,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 3,966 | $20,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 6,446 | $20,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 5,547 | $20,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 900 | $20,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 6,801 | $20,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 23,400 | $20,000 | thousands by filing date | call |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 20,000 | $20,000 | thousands by filing date | principal |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,783 | $20,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,300 | $20,000 | thousands by filing date | put |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 12,416 | $20,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 15,300 | $20,000 | thousands by filing date | put |
| iShares MSCI Frontier 100 | 464286145 | cs | 810 | $20,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 1,666 | $20,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 1,000 | $20,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,300 | $20,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 2,319 | $20,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 5,959 | $20,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,161 | $20,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 20,000 | $20,000 | thousands by filing date | principal |
| Schwab US REIT ETF | 808524847 | SHS | 526 | $19,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 858 | $19,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,705 | $19,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 1,837 | $19,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 1,441 | $19,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 684 | $19,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 1,509 | $19,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,970 | $19,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 601 | $19,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 1,390 | $19,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 776 | $19,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 1,086 | $19,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 7,000 | $19,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 1,863 | $19,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 1,730 | $19,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,168 | $19,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 648 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 720 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 440 | $19,000 | thousands by filing date | |
| Vital Energy Inc | 516806205 | Common Stock | 1,384 | $19,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 5,475 | $19,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 5,994 | $19,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 1,634 | $19,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,341 | $19,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 3,139 | $19,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 2,000 | $19,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 1,899 | $19,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 672 | $19,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 23,000 | $19,000 | thousands by filing date | principal |
| TAILORED BRANDS INC | 87403A107 | COM | 20,554 | $19,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 7,827 | $19,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 3,170 | $19,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 5,040 | $19,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,400 | $18,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 1,463 | $18,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 3,620 | $18,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 2,295 | $18,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 200 | $18,000 | thousands by filing date | put |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 2,177 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 360 | $18,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 1,029 | $18,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,720 | $18,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,419 | $18,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 7,090 | $18,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,500 | $18,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 900 | $18,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 3,452 | $18,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,940 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 1,350 | $18,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,932 | $18,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,249 | $18,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,359 | $18,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 3,159 | $18,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,145 | $18,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 2,684 | $18,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 1,949 | $18,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 987 | $18,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 1,083 | $18,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 766 | $18,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 7,500 | $18,000 | thousands by filing date | call |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 1,900 | $18,000 | thousands by filing date | put |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 1,039 | $18,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,311 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 1,200 | $18,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,056 | $18,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 1,775 | $18,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 308 | $18,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,247 | $18,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 576 | $18,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 800 | $18,000 | thousands by filing date | call |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 1,640 | $18,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,182 | $18,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 63,400 | $18,000 | thousands by filing date | put |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,280 | $18,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,087 | $18,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,708 | $18,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,562 | $18,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 9,467 | $18,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 329 | $18,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 2,950 | $18,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 10,500 | $18,000 | thousands by filing date | put |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 7,385 | $18,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 3,275 | $17,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 400 | $17,000 | thousands by filing date | put |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 200 | $17,000 | thousands by filing date | put |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 1,897 | $17,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 100 | $17,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 1,198 | $17,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 1,039 | $17,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 1,685 | $17,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 3,208 | $17,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,306 | $17,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 919 | $17,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,348 | $17,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,580 | $17,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 3,023 | $17,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,133 | $17,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 571 | $17,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,656 | $17,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 1,609 | $17,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 400 | $17,000 | thousands by filing date | call |
| BARNES & NOBLE ED INC | 06777U101 | COM | 10,675 | $17,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 2,225 | $17,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 797 | $17,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,133 | $17,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 6,007 | $17,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 14,000 | $17,000 | thousands by filing date | principal |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 1,540 | $17,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 4,000 | $17,000 | thousands by filing date | call |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 5,500 | $17,000 | thousands by filing date | call |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,228 | $17,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 9,800 | $17,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 3,137 | $17,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,276 | $17,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,634 | $17,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 377 | $16,000 | thousands by filing date | |
| KINGSOFT CLOUD HLDGS LTD ADS | 49639K101 | ADR | 500 | $16,000 | thousands by filing date | |
| ALBERTSONS COMPANIES INC COMMON STOCK | 013091103 | Stock | 1,010 | $16,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 600 | $16,000 | thousands by filing date | put |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 225 | $16,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,400 | $16,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 300 | $16,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 1,300 | $16,000 | thousands by filing date | put |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 6,147 | $16,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 18,800 | $16,000 | thousands by filing date | call |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 815 | $16,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 796 | $16,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,178 | $16,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 2,846 | $16,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 5,263 | $16,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,504 | $16,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 1,291 | $16,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 665 | $16,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 3,825 | $16,000 | thousands by filing date | |
| STATE STREET SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF | 78468R549 | ETF | 473 | $16,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 2,067 | $16,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 200 | $16,000 | thousands by filing date | call |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 2,157 | $16,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 500 | $16,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 14,600 | $16,000 | thousands by filing date | call |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 8,581 | $16,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,119 | $16,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 771 | $16,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 2,347 | $16,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 668 | $16,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 2,904 | $16,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 4,800 | $16,000 | thousands by filing date | call |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 667 | $16,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 2,323 | $16,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 1,896 | $16,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 2,932 | $16,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,173 | $16,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 2,415 | $16,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 6,000 | $16,000 | thousands by filing date | principal |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 21,000 | $16,000 | thousands by filing date | principal |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 3,545 | $15,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 2,773 | $15,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 1,300 | $15,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 359 | $15,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 156 | $15,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 876 | $15,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 400 | $15,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,977 | $15,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 748 | $15,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 1,736 | $15,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 1,679 | $15,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 500 | $15,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 3,847 | $15,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 4,499 | $15,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 943 | $15,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,066 | $15,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 592 | $15,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,085 | $15,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 906 | $15,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 3,152 | $15,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 2,132 | $15,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 221 | $15,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 781 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 1,000 | $15,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 900 | $15,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,952 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G708 | DAIL MS BRAZ ETF | 200 | $15,000 | thousands by filing date | call |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 390 | $15,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 4,966 | $15,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 6,108 | $15,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 3,000 | $15,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 1,200 | $15,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,817 | $15,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 586 | $15,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 3,905 | $15,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 4,405 | $15,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,731 | $15,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 750 | $15,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,193 | $15,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 570 | $15,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 1,358 | $15,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 1,639 | $15,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 5,225 | $15,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 3,000 | $15,000 | thousands by filing date | principal |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,815 | $15,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 22,000 | $15,000 | thousands by filing date | principal |
| ISHARES TR | 46434V720 | MIN VOL EUROPE | 618 | $15,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,522 | $15,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 4,209 | $15,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 538 | $14,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 122 | $14,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 643 | $14,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 1,000 | $14,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 8,000 | $14,000 | thousands by filing date | put |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 231 | $14,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDI | 83012A109 | COM | 871 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 350 | $14,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 700 | $14,000 | thousands by filing date | put |
| DERMTECH INC | 24984K105 | COM | 1,089 | $14,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 1,854 | $14,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 7,900 | $14,000 | thousands by filing date | call |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,334 | $14,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 962 | $14,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 2,222 | $14,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 436 | $14,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 1,503 | $14,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 6,582 | $14,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,618 | $14,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 13,643 | $14,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 9,515 | $14,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 536 | $14,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 801 | $14,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 532 | $14,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 400 | $14,000 | thousands by filing date | put |
| MERITOR INC | 59001K100 | COMMON STOCK | 700 | $14,000 | thousands by filing date | put |
| MESA AIR GROUP INC | 590479135 | COM NEW | 3,951 | $14,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 3,560 | $14,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 6,378 | $14,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 631 | $14,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 2,316 | $14,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 337 | $14,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 950 | $14,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 6,523 | $14,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 3,300 | $14,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 4,501 | $14,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 1,000 | $14,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,308 | $14,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 20,007 | $14,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 6,280 | $14,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,131 | $14,000 | thousands by filing date | |
| BAOZUN INC | 06684LAB9 | NOTE 1.625% 5/0 | 15,000 | $14,000 | thousands by filing date | principal |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 1,500 | $14,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 17,000 | $14,000 | thousands by filing date | principal |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 234,300 | $14,000 | thousands by filing date | call |
| CITIGROUP GLOBAL | 17324XTA8 | MKTS HLDGS MTNF 11/0 | 15,000 | $14,000 | thousands by filing date | principal |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 300 | $13,000 | thousands by filing date | put |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 1,022 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 832 | $13,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 572 | $13,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 1,832 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 304 | $13,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 700 | $13,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,300 | $13,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 1,736 | $13,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 750 | $13,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 1,504 | $13,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 784 | $13,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 1,000 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 600 | $13,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 600 | $13,000 | thousands by filing date | call |
| RYERSON HLDG CORP | 783754104 | COM | 2,237 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 450 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,000 | $13,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 100 | $13,000 | thousands by filing date | put |
| MANITOWOC CO INC | 563571405 | COM NEW | 1,200 | $13,000 | thousands by filing date | call |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 988 | $13,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 605 | $13,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 875 | $13,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 599 | $13,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 491 | $13,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 3,797 | $13,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 476 | $13,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 1,837 | $13,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 5,823 | $13,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 11,600 | $13,000 | thousands by filing date | put |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 566 | $13,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 1,987 | $13,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 1,100 | $13,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 7,000 | $13,000 | thousands by filing date | principal |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 200 | $13,000 | thousands by filing date | call |
| VIAVI SOLUTIONS INC | 925550AE5 | BOND | 12,000 | $13,000 | thousands by filing date | principal |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 2,294 | $13,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 1,734 | $13,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 2,257 | $13,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 5,058 | $13,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,509 | $13,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,382 | $13,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 3,181 | $13,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 610 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 468 | $12,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 267 | $12,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,664 | $12,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 632 | $12,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 3,445 | $12,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 205 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 308 | $12,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 916 | $12,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 2,626 | $12,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 2,154 | $12,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 760 | $12,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 1,050 | $12,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 1,310 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q783 | RIVRFRNT STR INC | 500 | $12,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 4,400 | $12,000 | thousands by filing date | put |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 1,000 | $12,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,007 | $12,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,714 | $12,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 872 | $12,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 8,625 | $12,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 945 | $12,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 800 | $12,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 224 | $12,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 255 | $12,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,632 | $12,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 699 | $12,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 12,455 | $12,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 3,526 | $12,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 9,140 | $12,000 | thousands by filing date | |
| TIVITY HEALTH INC | 88870R102 | COM | 1,050 | $12,000 | thousands by filing date | put |
| CENTOGENE N V | N1976T109 | COM | 533 | $12,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,220 | $12,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 3,796 | $12,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,871 | $12,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,100 | $12,000 | thousands by filing date | call |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,645 | $12,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 4,800 | $12,000 | thousands by filing date | call |
| YRC WORLDWIDE INC | 984249607 | COM | 6,450 | $12,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 241 | $12,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 3,918 | $12,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 3,839 | $12,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 1,854 | $12,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 1,000 | $12,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 788 | $12,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 1,268 | $12,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 2,943 | $12,000 | thousands by filing date | |
| CITIGROUP GLOBAL | 17324XC24 | MKTS HLDGS MTNF 6/0 | 12,000 | $12,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 278 | $11,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 358 | $11,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 4,177 | $11,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 100 | $11,000 | thousands by filing date | put |
| PENTAIR PLC SHS | G7S00T104 | Stock | 300 | $11,000 | thousands by filing date | put |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 1,371 | $11,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 125 | $11,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 716 | $11,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 3,045 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 209 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 157 | $11,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 1,079 | $11,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 100 | $11,000 | thousands by filing date | call |
| CENTRAL SECURITIES CORP | 155123102 | COM | 381 | $11,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 600 | $11,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000831001-20-000096 | this filing | 2020-08-12 | acceptance time not in the bulk data set |