13F-HR/A filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR/A for the quarter ended 2020-03-31, filed 2020-05-26, with 6,758 holding rows worth $367,989,542,000.
- Accession
- 0000895421-20-000394
- Filer
- CIK 895421
- Filed
- 2020-05-26
- 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, amendment of type restatement, 22,891 entries on the cover page, a total value of $367,989,542,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $367,989,542,000 with VALUE read as thousands by filing date, 13F file number 028-03432. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 1,610 | $45,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 30,771 | $45,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 4,747 | $45,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 5,485 | $45,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 3,309 | $45,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 2,000 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 975 | $45,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 164,134 | $44,000 | thousands by filing date | |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 1,300 | $44,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 3,255 | $44,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 5,197 | $44,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 12,168 | $44,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 4,701 | $44,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P555 | FUND | 1,302 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 449 | $44,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 2,912 | $44,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 4,542 | $44,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 69,159 | $44,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 105,434 | $44,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896203 | UNIT 99/99/9999 | 4,400 | $44,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 19,714 | $43,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 1,794 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 3,359 | $43,000 | thousands by filing date | |
| ARCUTIS BIOTHERAPEUTICS INC | 03969K108 | COM | 1,437 | $43,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 2,077 | $43,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 6,116 | $43,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 12,008 | $43,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 6,919 | $43,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865202 | UNIT 02/01/2023 | 4,260 | $43,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 2,060 | $42,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 13,022 | $42,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 1,280 | $42,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 1,718 | $42,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 234,901 | $42,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 6,146 | $42,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 16,334 | $42,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 5,272 | $42,000 | thousands by filing date | |
| LIBERTY GLOBAL CL B ORD | G5480U112 | COM | 2,533 | $42,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259202 | COM | 10,567 | $42,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 4,691 | $42,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 31,033 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 648 | $42,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 5,640 | $41,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,511 | $41,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 5,601 | $41,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 1,383 | $41,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 4,054 | $41,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 5,106 | $41,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 33,213 | $41,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,896 | $41,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 13,949 | $41,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L206 | SPONSRED ADS NEW | 2,226 | $41,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 15,940 | $40,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,026 | $40,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 13,878 | $40,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542109 | COMMON STOCK | 3,203 | $40,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 6,704 | $40,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 20,546 | $40,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 29,279 | $40,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 7,817 | $39,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 11,103 | $39,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 2,043 | $39,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 10,094 | $39,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 17,919 | $39,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 11,156 | $38,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 2,712 | $38,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 10,283 | $38,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 3,693 | $38,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 2,611 | $37,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 11,257 | $37,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 1,200 | $37,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 3,441 | $37,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 1,653 | $37,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 11,525 | $37,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C763 | mc | 2,000 | $37,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 1,396 | $37,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 104,620 | $37,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 39,000 | $37,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 24,379 | $37,000 | thousands by filing date | |
| WANDA SPORTS GROUP CO LTD | 93368R101 | SPONSORED ADS | 15,964 | $37,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 4,380 | $36,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 13,914 | $36,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 1,778 | $36,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 76,700 | $36,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 6,690 | $36,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,690 | $36,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 24,039 | $36,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 94,595 | $35,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,142 | $35,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE VALUE ETF | 02072L201 | ETF | 1,700 | $35,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 1,410 | $35,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 2,708 | $35,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 2,887 | $35,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 388,145 | $35,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 1,687 | $34,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 2,251 | $34,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 449 | $34,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 6,581 | $34,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 1,707 | $34,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 17,076 | $34,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 3,157 | $34,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,154 | $34,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 1,491 | $34,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 1,522 | $34,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 15,543 | $34,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 410 | $34,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 5,536 | $34,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 32,000 | $34,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X310 | CMN | 1,045 | $34,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 12,275 | $34,000 | thousands by filing date | |
| GREAT ELM CAP CORP | 390320109 | COM | 12,168 | $34,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 2,248 | $34,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 378 | $34,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 4,052 | $33,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 19,503 | $33,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 39,171 | $33,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 3,066 | $33,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 34,712 | $33,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 7,552 | $33,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 4,242 | $33,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 5,026 | $33,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 3,744 | $33,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 6,623 | $33,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 30,741 | $33,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 50,953 | $33,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 12,161 | $33,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 3,640 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X376 | MSCI CDA STRTGIC | 730 | $33,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 1,644 | $33,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 7,483 | $33,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 5,506 | $33,000 | thousands by filing date | |
| Schwab 5-10 Year Corporate Bond ETF | 808524698 | SHS | 675 | $32,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C813 | US EQTY PWR BUF | 1,342 | $32,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 1,103 | $32,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 2,852 | $32,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 9,735 | $32,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 7,724 | $32,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 3,226 | $32,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 18,333 | $32,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 929 | $32,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 12,695 | $32,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 6,863 | $32,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 2,299 | $32,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 7,175 | $32,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 755 | $32,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 10,832 | $32,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 56,792 | $32,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 3,211 | $32,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 1,878 | $32,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 5,008 | $31,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,823 | $31,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 14,837 | $31,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 7,406 | $31,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 1,170 | $31,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 9,324 | $31,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 22,581 | $31,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T206 | UNIT 99/99/9999 | 3,000 | $31,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 1,301 | $30,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 4,580 | $30,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,952 | $30,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 17,668 | $30,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 1,696 | $30,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 15,253 | $30,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 1,211 | $30,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 7,556 | $30,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 9,252 | $30,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 3,708 | $30,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 59,644 | $30,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 14,712 | $30,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 17,243 | $30,000 | thousands by filing date | |
| LMP Automotive Holdings | 53952P101 | COM | 5,355 | $30,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A537 | CBOE VEST S&P | 850 | $30,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 6,137 | $29,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 6,836 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 674 | $29,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 7,659 | $29,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 8,208 | $29,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 1,388 | $29,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 1,057 | $29,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 17,842 | $29,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 1,375 | $29,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 40,000 | $29,000 | thousands by filing date | principal |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 2,633 | $29,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 2,786 | $29,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 1,017 | $29,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 30,000 | $29,000 | thousands by filing date | principal |
| LINE CORP | 53567X101 | SPONSORED ADR | 605 | $29,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 2,632 | $28,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 10,818 | $28,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 3,688 | $28,000 | thousands by filing date | |
| FRANKLIN FTSE CHINA ETF | 35473P819 | ETF | 1,252 | $28,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 22,072 | $28,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 2,400 | $28,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 1,098 | $28,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 4,877 | $28,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 1,131 | $28,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 38,385 | $28,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 68,747 | $28,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 13,650 | $28,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 2,954 | $28,000 | thousands by filing date | |
| ENSCO JERSEY FIN LTD | 29359WAB1 | NOTE 3.000% 1/3 | 140,000 | $28,000 | thousands by filing date | principal |
| IDT CORP | 448947507 | CL B NEW | 4,987 | $27,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 2,686 | $27,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,331 | $27,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 20,100 | $27,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 639 | $27,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 1,275 | $27,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 3,233 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 3,295 | $27,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 76,815 | $27,000 | thousands by filing date | |
| ACORN INTL INC | 004854204 | SPONSORD ADR NEW | 2,405 | $27,000 | thousands by filing date | |
| CITIGROUP INC NEW | 17322H149 | HOW STRAT DIV | 1,299 | $27,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 6,421 | $27,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 2,624 | $26,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 776 | $26,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 4,029 | $26,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 7,486 | $26,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 4,299 | $26,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 1,607 | $26,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 4,000 | $26,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 4,025 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $26,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061805 | GBL TAIL RISK ET | 1,160 | $26,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 4,694 | $25,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 1,499 | $25,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 7,722 | $25,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 2,495 | $25,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 71,528 | $25,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J585 | BULETSHS 2027 | 1,152 | $25,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,501 | $25,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F122 | MRNGSTR GBL WIDE | 1,003 | $25,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,606 | $25,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 632 | $25,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 7,499 | $25,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 47,259 | $25,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 24,767 | $25,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 32,000 | $25,000 | thousands by filing date | principal |
| TREMONT MTG TR | 894789106 | COM | 12,000 | $25,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 1,201 | $24,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 38,305 | $24,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 467 | $24,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 5,776 | $24,000 | thousands by filing date | |
| NEPHROS INC | 640671400 | COM | 3,815 | $24,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 948 | $24,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 948 | $24,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 4,021 | $24,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 4,166 | $24,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 25,000 | $24,000 | thousands by filing date | principal |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 5,700 | $24,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 2,000 | $24,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 24,989 | $23,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 588 | $23,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 14,412 | $23,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,124 | $23,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 3,979 | $23,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 4,117 | $23,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 2,841 | $23,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 5,206 | $23,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 21,083 | $23,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 1,443 | $23,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 4,250 | $23,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 13,453 | $23,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 8,021 | $23,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 3,123 | $23,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 10,252 | $23,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 13,408 | $23,000 | thousands by filing date | |
| MONOPAR THERAPEUTICS INC | 61023L108 | COM | 3,200 | $23,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 1,021 | $23,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 112,976 | $23,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 625 | $22,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 1,972 | $22,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C409 | US EQTY BUFR JAN | 894 | $22,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,022 | $22,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,985 | $22,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - OCTOBER | 45782C771 | ETF | 1,000 | $22,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 7,973 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 2,229 | $22,000 | thousands by filing date | |
| INNATE PHARMA S A | 45781K204 | SPONSORED ADS | 3,300 | $22,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 293 | $22,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,049 | $22,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 1,342 | $22,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 20,000 | $22,000 | thousands by filing date | principal |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 4,750 | $22,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 4,069 | $22,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 289 | $21,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 702 | $21,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 557 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y491 | DAX GERMANY ETF | 1,000 | $21,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 5,084 | $21,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,311 | $21,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 565 | $21,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 1,044 | $21,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 6,124 | $21,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 832 | $21,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 4,300 | $21,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 5,395 | $21,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 330 | $21,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,684 | $21,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 21,885 | $21,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 11,372 | $21,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 2,024 | $21,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 25,718 | $21,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 6,527 | $21,000 | thousands by filing date | |
| NABORS INDS INC | 62957HAB1 | BOND | 140,000 | $21,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 22,000 | $21,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 5,000 | $21,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 1,478 | $21,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,700 | $21,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 22,000 | $21,000 | thousands by filing date | principal |
| INNOVATOR ETFS TRUST | 45782C698 | US EQUT BUFR AUG | 865 | $20,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 396 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C557 | US EQTY BUF DEC | 850 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C581 | US EQTY BUF NOV | 865 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TR ETF S&P 500 BUFFER SEPTEMBER | 45782C664 | ETF | 879 | $20,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 3,898 | $20,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 10,567 | $20,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 529 | $20,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,193 | $20,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 82,223 | $20,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 9,043 | $20,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 35,346 | $20,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 1,044 | $20,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 11,004 | $20,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 16,541 | $20,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 20,000 | $20,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25490K273 | COM | 1,879 | $20,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C433 | US EQTY BUFR FEB | 933 | $19,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 7,708 | $19,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 6,436 | $19,000 | thousands by filing date | |
| US VEGAN CLIMATE ETF | 26922A297 | ETF | 875 | $19,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 817 | $19,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,660 | $19,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 64 | $19,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 7,189 | $19,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,398 | $19,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,195 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 3,844 | $19,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 7,328 | $19,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 20,553 | $19,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 583 | $18,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 4,159 | $18,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,284 | $18,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 6,297 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 430 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 446 | $18,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 14,464 | $18,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,287 | $18,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,630 | $18,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 7,485 | $18,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 20,088 | $18,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 361 | $18,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 14,548 | $18,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,008 | $18,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 18,026 | $18,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 20,568 | $18,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 42,713 | $18,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 7,793 | $18,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 515 | $18,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 9,208 | $17,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 6,487 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 451 | $17,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 2,791 | $17,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,584 | $17,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 21,227 | $17,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 860 | $17,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 7,710 | $17,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 1,620 | $17,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 7,903 | $17,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 2,928 | $17,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 1,064 | $17,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 73,453 | $17,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 20,000 | $17,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 500 | $17,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 4,665 | $17,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 3,462 | $17,000 | thousands by filing date | |
| PRECIPIO INC | 74019L503 | COM | 24,993 | $17,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 25,000 | $17,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 1,611 | $17,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 2,469 | $16,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 999 | $16,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 1,734 | $16,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 489 | $16,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 2,894 | $16,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 2,651 | $16,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 851 | $16,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 2,100 | $16,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 623 | $16,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,626 | $16,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 1,078 | $16,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,980 | $16,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,085 | $16,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,150 | $16,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 492 | $16,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 3,457 | $16,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 22,463 | $16,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 22,507 | $16,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 36,451 | $16,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 2,279 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,938 | $16,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 12,224 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 500 | $16,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,328 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 689 | $15,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 1,089 | $15,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 6,756 | $15,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 2,594 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 671 | $15,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 3,851 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 585 | $15,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 2,122 | $15,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 435 | $15,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 8,114 | $15,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 1,389 | $15,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 7,000 | $15,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 12,500 | $15,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,976 | $15,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 22,521 | $15,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 57,145 | $15,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 3,163 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 350 | $15,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 4,284 | $15,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 1,534 | $15,000 | thousands by filing date | |
| Reebonz Holding Limited | G7457R122 | SHS | 36,400 | $15,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 400 | $14,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,980 | $14,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 589 | $14,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,640 | $14,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 1,228 | $14,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 2,144 | $14,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 792 | $14,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 450 | $14,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 1,520 | $14,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 1,701 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 401 | $14,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 7,647 | $14,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 3,901 | $14,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,550 | $14,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 6,000 | $14,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 4,743 | $14,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $14,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,261 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 884 | $14,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 500 | $14,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274E810 | VLCTY 1X DLY ETN | 1,930 | $14,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,300 | $14,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 1,301 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 241 | $13,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 1,054 | $13,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,602 | $13,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 1,500 | $13,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 1,509 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 1,220 | $13,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 115,314 | $13,000 | thousands by filing date | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 1,250 | $13,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 3,003 | $13,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 12,879 | $13,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 13,483 | $13,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 8,803 | $13,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 57,187 | $13,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 4,865 | $13,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 346 | $13,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 10,119 | $13,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 10,812 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E562 | DAILY TECHNOLOGY | 2,214 | $13,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 13,316 | $13,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 6,260 | $13,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 5,262 | $13,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L208 | UNIT 06/30/2026 | 1,000 | $13,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 29,749 | $12,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 1,000 | $12,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 497 | $12,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 700 | $12,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 7,000 | $12,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L371 | RAFI DYN MULTI | 600 | $12,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 1,218 | $12,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 2,023 | $12,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 500 | $12,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $12,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 6,462 | $12,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 7,724 | $12,000 | thousands by filing date | |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 14,920 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 435 | $11,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 500 | $11,000 | thousands by filing date | |
| 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 |
| TANZANIAN GOLD CORP | 87601A107 | COM | 20,890 | $11,000 | thousands by filing date | |
| 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 |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-20-000376 | superseded | 2020-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000895421-20-000394 | this filing | 2020-05-26 | acceptance time not in the bulk data set |