13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-15, with 6,762 holding rows worth $368,648,109,000.
- Accession
- 0000895421-20-000376
- Filer
- CIK 895421
- Filed
- 2020-05-15
- 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, 22,912 entries on the cover page, a total value of $368,648,109,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $368,648,109,000 with VALUE read as thousands by filing date, 13F file number 028-03432. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerMORGAN STANLEY & CO INTERNATIONAL PLC028-04312
- included managerMORGAN STANLEY & CO. LLC028-11873
- included managerMorgan Stanley Canada LTD028-13197
- included managerMorgan Stanley Capital Services LLC028-11865
- included managerMORGAN STANLEY AIP GP LP028-14710
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT CO028-11366
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT INC028-11866
- included managerMorgan Stanley Investment Management LTD028-11867
- included managerMORGAN STANLEY SMITH BARNEY LLC028-13935
- included managerMorgan Stanley Strategic Investments, Inc028-12509
- included managerMorgan Stanley Uruguay Ltda.028-11533
- included managerFundlogic Sas028-15873
- included managerMorgan Stanley Asia Ltd028-19343
- included managerMorgan Stanley Wealth Management Australia Pty Ltd028-19344
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 |
|---|---|---|---|---|---|---|
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 203 | $11,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 1,264 | $11,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,396 | $11,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 470 | $11,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $11,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 5,872 | $11,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,280 | $11,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 6,848 | $11,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 5,628 | $11,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 3,700 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 4,603 | $11,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 1,332 | $11,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 11,603 | $11,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 14,000 | $11,000 | thousands by filing date | principal |
| SHARPSPRING INC | 820054104 | COM | 1,803 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 575 | $11,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 4,124 | $11,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 10,588 | $11,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 4,800 | $11,000 | thousands by filing date | |
| ALTERYX INC | 02156BAB9 | CONV BD US | 5,000 | $11,000 | thousands by filing date | principal |
| TRECORA RES | 894648104 | COM | 1,752 | $11,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,000 | $11,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,363 | $10,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 560 | $10,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 320 | $10,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 1,066 | $10,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 752 | $10,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 573 | $10,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 5,715 | $10,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 4,479 | $10,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,336 | $10,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,500 | $10,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,560 | $10,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 1,396 | $10,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 1,686 | $10,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,141 | $10,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 12,096 | $10,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 11,000 | $10,000 | thousands by filing date | principal |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,718 | $10,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 482 | $10,000 | thousands by filing date | |
| DIREXION DAILY REAL ESTATE BEAR 3X SHARES | 25460E141 | ETF | 307 | $10,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,926 | $10,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 12,813 | $10,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 2,650 | $10,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 6,818 | $10,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 1,000 | $10,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 696 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| PURE ACQUISITION CORP | 74621Q205 | UNIT 04/13/2023 | 1,015 | $10,000 | thousands by filing date | |
| MER TELEMANAGEMENT SOLUTIONS | M69676209 | SHS | 10,867 | $10,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,777 | $10,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 15,024 | $9,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,500 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 139 | $9,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,114 | $9,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 345 | $9,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 6,013 | $9,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 3,500 | $9,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 3,050 | $9,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 854 | $9,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 549 | $9,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B201 | JR GOLD MINERS E | 400 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,400 | $9,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 8,098 | $9,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 841 | $9,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 2,286 | $9,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 36,712 | $9,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 274 | $9,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 325 | $9,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 2,457 | $9,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 13,988 | $9,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,453 | $9,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 44,263 | $9,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22542D290 | VELOCITY SHS ETN | 250 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 360 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 1,000 | $9,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 1,000 | $9,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 171 | $8,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 135 | $8,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 458 | $8,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 429 | $8,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $8,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 485 | $8,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 331 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 350 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 603 | $8,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 473 | $8,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 294 | $8,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,956 | $8,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 373 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 180 | $8,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 3,820 | $8,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,696 | $8,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 7,452 | $8,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $8,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 19,338 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 900 | $8,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,500 | $8,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,085 | $8,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 4,609 | $8,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 771 | $8,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 21,600 | $8,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 1,775 | $8,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 3,025 | $8,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 582 | $8,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 18,876 | $8,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 12,504 | $8,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 348 | $7,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 2,365 | $7,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,110 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 420 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 344 | $7,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 826 | $7,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $7,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,200 | $7,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 847 | $7,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,726 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 655 | $7,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 2,550 | $7,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 645 | $7,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 1,764 | $7,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 11,000 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 598 | $7,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 2,385 | $7,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 9,070 | $7,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 288 | $7,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 11,712 | $7,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 2,300 | $7,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,579 | $7,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,088 | $7,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 5,501 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 4,038 | $7,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 10,000 | $7,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 2,718 | $7,000 | thousands by filing date | |
| MY SIZE INC | 62844N208 | COM NEW | 4,505 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $7,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 11,685 | $7,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 5,365 | $7,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 19,065 | $7,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 16,541 | $7,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 22,276 | $7,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 4,000 | $7,000 | thousands by filing date | principal |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 23,389 | $7,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 2,000 | $7,000 | thousands by filing date | principal |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 2,781 | $7,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 646 | $7,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 6,000 | $7,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 487 | $7,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 1,430 | $7,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 8,700 | $7,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 644 | $7,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108706 | Cmn | 342 | $7,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,500 | $6,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 540 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P707 | RIVR FRNT DYN | 123 | $6,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 747 | $6,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 577 | $6,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 7,893 | $6,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 256 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 293 | $6,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 9,701 | $6,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 3,751 | $6,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 399 | $6,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 429 | $6,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,992 | $6,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,843 | $6,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 3,811 | $6,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 11,908 | $6,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 3,624 | $6,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 12,544 | $6,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 7,916 | $6,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 898 | $6,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 4,787 | $6,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 364 | $6,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 675 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 302 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 228 | $6,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,750 | $6,000 | thousands by filing date | |
| PAE INC | 69290Y109 | COM CL A | 990 | $6,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 10,351 | $6,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 1,600 | $6,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 2,473 | $6,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 3,677 | $6,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 5,455 | $6,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 658 | $6,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 3,000 | $6,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 3,155 | $6,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 2,636 | $6,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 550 | $6,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R104 | COM CL A | 570 | $6,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,205 | $6,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 2,396 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 132 | $6,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $6,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 2,950 | $6,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 90 | $6,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 780 | $5,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 214 | $5,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 436 | $5,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 2,166 | $5,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 31,104 | $5,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 4,915 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 436 | $5,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 6,600 | $5,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 422 | $5,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,204 | $5,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 269 | $5,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 816 | $5,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $5,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 239 | $5,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 6,975 | $5,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 670 | $5,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 5,340 | $5,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,163 | $5,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 2,726 | $5,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 250 | $5,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $5,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 213 | $5,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $5,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $5,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 480 | $5,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 492 | $5,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,044 | $5,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,400 | $5,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 909 | $5,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 2,873 | $5,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 528 | $5,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 5,366 | $5,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 3,000 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,290 | $5,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,015 | $5,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 220 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 691 | $5,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 345 | $5,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 6,770 | $5,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,219 | $5,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,718 | $5,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 15,967 | $5,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 549 | $5,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B101 | COM CL A | 490 | $5,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 550 | $5,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 1,031 | $5,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P106 | COM CL A | 553 | $5,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 3,229 | $5,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 2,586 | $5,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U404 | CMN | 531 | $5,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 505 | $5,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 192 | $5,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y106 | COM CL A | 563 | $5,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 542 | $5,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G106 | COM CL A | 556 | $5,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C109 | COM CL A | 548 | $5,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,000 | $5,000 | thousands by filing date | |
| THERAPIX BIOSCIENCES LTD | 88339A203 | SPONSORED ADS NE | 11,533 | $5,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 287 | $5,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 523 | $5,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641106 | CL A | 469 | $5,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884104 | COM CL A | 559 | $5,000 | thousands by filing date | |
| INTERPRIVATE ACQUISITION COR COM | 46064A103 | Stock | 564 | $5,000 | thousands by filing date | |
| PROPTECH ACQUISITION CORP | 74349F101 | COM CL A | 552 | $5,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 531 | $5,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 530 | $5,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 434 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 200 | $4,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 958 | $4,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 356 | $4,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 1,887 | $4,000 | thousands by filing date | |
| ISHARES MSCI JAPAN VALUE ETF | 46435U374 | ETF | 200 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 371 | $4,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 1,500 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 2,875 | $4,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 825 | $4,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 2,000 | $4,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $4,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 2,500 | $4,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 300 | $4,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 537 | $4,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,617 | $4,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 68 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 431 | $4,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,740 | $4,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 600 | $4,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,398 | $4,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 1,200 | $4,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,670 | $4,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 1,537 | $4,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 1,963 | $4,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 2,000 | $4,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,241 | $4,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,349 | $4,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 512 | $4,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 4,700 | $4,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 2,035 | $4,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 1,183 | $4,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 742 | $4,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 3,700 | $4,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 466 | $4,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 6,796 | $4,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 1,340 | $4,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 2,258 | $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 |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 397 | $4,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 2,001 | $4,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 6,377 | $4,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 438 | $4,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 444 | $4,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 2,831 | $4,000 | thousands by filing date | |
| HUITAO TECHNOLOGY CO LTD | G4645B101 | SHS | 7,840 | $4,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,017 | $3,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 3,822 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 100 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 100 | $3,000 | thousands by filing date | |
| PACER FDS TR | 69374H857 | US SMALL CAP CAS | 151 | $3,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,075 | $3,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,491 | $3,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 39 | $3,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 814 | $3,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,006 | $3,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $3,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 459 | $3,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 196 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 1,086 | $3,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 114 | $3,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 542 | $3,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,253 | $3,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 5,000 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 101 | $3,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 134 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 468 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 54 | $3,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 1,372 | $3,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 3,564 | $3,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 133 | $3,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,001 | $3,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $3,000 | thousands by filing date | principal |
| CENTOGENE N V | N1976T109 | COM | 145 | $3,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 150 | $3,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 260 | $3,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,000 | $3,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 1,965 | $3,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 9,104 | $3,000 | thousands by filing date | |
| TEEKAY CORPORATION | 87900YAE3 | NOTE 5.000% 1/1 | 3,000 | $3,000 | thousands by filing date | principal |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 1,729 | $3,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $3,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,635 | $3,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L201 | SHS NEW | 470 | $3,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 343 | $3,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q109 | COM CL A | 326 | $3,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 1,850 | $3,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 11,039 | $3,000 | thousands by filing date | |
| ARTARA THERAPEUTICS INC | 04300J107 | COM | 116 | $3,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 262 | $3,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 353 | $3,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 326 | $3,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 225 | $3,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 1,705 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 107 | $3,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 200 | $3,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 364 | $3,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 274 | $3,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 6,514 | $3,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 2,393 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 15,624 | $3,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 3,017 | $3,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 3,241 | $3,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L101 | COM CL A | 332 | $3,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 12,000 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 79 | $3,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 279 | $3,000 | thousands by filing date | |
| TRANS WORLD ENTMT CORP | 89336Q209 | COM | 1,000 | $3,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 524 | $2,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 48 | $2,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 1,715 | $2,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 500 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 82 | $2,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 4,043 | $2,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 182 | $2,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 789 | $2,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 991 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 1,725 | $2,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 131 | $2,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 240 | $2,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 6,054 | $2,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 1,187 | $2,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 280 | $2,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 500 | $2,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 68 | $2,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 2,626 | $2,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 150 | $2,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,928 | $2,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 369 | $2,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 405 | $2,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 999 | $2,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 400 | $2,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 11,745 | $2,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 427 | $2,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 200 | $2,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,026 | $2,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 1,407 | $2,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 5,250 | $2,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 2,375 | $2,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 850 | $2,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,088 | $2,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 600 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,000 | $2,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP | 90069K104 | COM | 215 | $2,000 | thousands by filing date | |
| YUNHONG GREEN CTI LTD | 98873Q100 | COM | 1,908 | $2,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 2,000 | $2,000 | thousands by filing date | principal |
| RIGNET INC | 766582100 | COM | 1,223 | $2,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,309 | $2,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 145 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,655 | $2,000 | thousands by filing date | |
| SORL Auto Parts Inc | 78461U101 | COM | 500 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 416 | $2,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 1,300 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 4,857 | $2,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 731 | $2,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 2,099 | $2,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 3,000 | $2,000 | thousands by filing date | principal |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 8 | $2,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 2,445 | $2,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 185 | $2,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 1,113 | $2,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 519 | $2,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 2,680 | $2,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 849 | $2,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 471 | $2,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q204 | ADR | 1,134 | $2,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 200 | $2,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 91 | $2,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,436 | $2,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 4,172 | $2,000 | thousands by filing date | |
| BIOLASE INC | 090911207 | COM NEW | 4,292 | $2,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 217 | $2,000 | thousands by filing date | |
| CENTRAL FEDERAL CORP | 15346Q400 | COM NEW PAR | 154 | $2,000 | thousands by filing date | |
| UPHEALTH INC | 375036100 | Common Stock | 232 | $2,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 600 | $2,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 198 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 466 | $2,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 3,000 | $2,000 | thousands by filing date | principal |
| REALITY SHS ETF TR DIVCN DIVD ETF | 75605A504 | CEF | 53 | $2,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 5,516 | $2,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R209 | COM NEW | 600 | $2,000 | thousands by filing date | |
| COLLIER CREEK HOLDINGS | G22707122 | UNIT 99/99/9999 | 180 | $2,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 1,828 | $1,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 1,300 | $1,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 64 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 60 | $1,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 689 | $1,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 57 | $1,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 100 | $1,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 759 | $1,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 50 | $1,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 478 | $1,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 168 | $1,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 50 | $1,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,315 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,388 | $1,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,500 | $1,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 634 | $1,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,580 | $1,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 36 | $1,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 500 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 10 | $1,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 1,000 | $1,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 128 | $1,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 239 | $1,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 400 | $1,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 200 | $1,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 120 | $1,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 200 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 67 | $1,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 197 | $1,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 1,000 | $1,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 2,000 | $1,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 3,205 | $1,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $1,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 250 | $1,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 415 | $1,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 2,408 | $1,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 5,300 | $1,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 147 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,500 | $1,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 400 | $1,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 597 | $1,000 | thousands by filing date | |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 198 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 969 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 1,731 | $1,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 849 | $1,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 823 | $1,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 750 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-20-000376 | this filing | 2020-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-20-000394 | base | 2020-05-26 | acceptance time not in the bulk data set |