13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 6,707 holding rows worth $451,781,104,000.
- Accession
- 0000895421-20-000454
- Filer
- CIK 895421
- Filed
- 2020-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 22,606 entries on the cover page, a total value of $451,781,104,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $451,781,104,000 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 |
|---|---|---|---|---|---|---|
| DOVER MOTORSPORTS INC | 260174107 | COM | 13,853 | $21,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 8,693 | $21,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 10,009 | $21,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 29,083 | $21,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 1,205 | $21,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y413 | DLY JPN BULL 3X | 500 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 700 | $20,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 4,021 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 350 | $20,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 5,025 | $20,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 20,000 | $20,000 | thousands by filing date | principal |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 4,943 | $20,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 10,200 | $20,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 29,695 | $19,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,204 | $19,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 653 | $19,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 14,666 | $19,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 2,872 | $19,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 3,705 | $19,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 6,975 | $19,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 361 | $19,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,049 | $19,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,398 | $19,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 12,500 | $19,000 | thousands by filing date | principal |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 2,273 | $19,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L810 | WESTN ASET TTL | 666 | $19,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382105 | COM | 5,852 | $19,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 2,078 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G872 | DAILY TECHNOLOGY | 933 | $19,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,301 | $18,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 247 | $18,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 799 | $18,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 4,181 | $18,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 57,795 | $18,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 1,583 | $18,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 9,396 | $18,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 3,178 | $18,000 | thousands by filing date | |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 1,225 | $18,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 20,890 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,889 | $18,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 2,738 | $17,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 3,744 | $17,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 6,881 | $17,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 9,006 | $17,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 8,407 | $17,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 8,731 | $17,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 425 | $17,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 12,064 | $17,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,347 | $16,000 | thousands by filing date | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 1,250 | $16,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 5,254 | $16,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 623 | $16,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 1,356 | $16,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 684 | $16,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 8,350 | $16,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 11,000 | $16,000 | thousands by filing date | principal |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 9,170 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS PHYSICAL GOLD ETF | 715426102 | UNIT | 895 | $16,000 | thousands by filing date | |
| ATIF HOLDINGS LIMITED | G0602B100 | SHS | 8,550 | $16,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 5,012 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 416 | $15,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,058 | $15,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,563 | $15,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,340 | $15,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 1,195 | $15,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,496 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G880 | FUND | 607 | $15,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 10,000 | $15,000 | thousands by filing date | principal |
| RIGNET INC | 766582100 | COM | 6,978 | $15,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,261 | $15,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 10,351 | $15,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 34,100 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 1,012 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 972 | $15,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 6,494 | $14,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,599 | $14,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 700 | $14,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $14,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,130 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 301 | $14,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 480 | $14,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 1,168 | $14,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,550 | $14,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 6,011 | $14,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 5,000 | $14,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 439 | $14,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 1,726 | $14,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 1,950 | $14,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 10,995 | $14,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 11,412 | $14,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 10,400 | $14,000 | thousands by filing date | |
| Ottawa Bancorp Inc. | 689195105 | Not 13F Security | 1,301 | $14,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 688 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 435 | $13,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 6,828 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 522 | $13,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 470 | $13,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 318 | $13,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 840 | $13,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,750 | $13,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,100 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 567 | $13,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 2,000 | $13,000 | thousands by filing date | principal |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 4,487 | $13,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 21,219 | $13,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 30,790 | $13,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 8,803 | $13,000 | thousands by filing date | |
| BROOGE ENERGY LTD | G1611B107 | SHS | 1,500 | $13,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $13,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 1,500 | $13,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 2,391 | $13,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 3,857 | $13,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 4,443 | $13,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,000 | $13,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 557 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 172 | $12,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 3,500 | $12,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 3,621 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 603 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 816 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 500 | $12,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,560 | $12,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $12,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 248 | $12,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,475 | $12,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,740 | $12,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 15,808 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 297 | $12,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 14,730 | $12,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 11,821 | $12,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 1,399 | $12,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 980 | $11,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 458 | $11,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 160 | $11,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,336 | $11,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,280 | $11,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 276 | $11,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,150 | $11,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,141 | $11,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 2,100 | $11,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 10,000 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 568 | $11,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 4,997 | $11,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U104 | COM | 9,601 | $11,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 3,594 | $11,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 21,600 | $11,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 5,262 | $11,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 6,000 | $11,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 32,683 | $11,000 | thousands by filing date | |
| NOVUS CAP CORP | 67012U207 | UNIT 06/30/2027 | 1,008 | $11,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 10,000 | $11,000 | thousands by filing date | principal |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 242 | $10,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 429 | $10,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 1,543 | $10,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 416 | $10,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 524 | $10,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 331 | $10,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 1,359 | $10,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,786 | $10,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 8,810 | $10,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 4,642 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 325 | $10,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 60,265 | $10,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 500 | $10,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 10,000 | $10,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 5,361 | $10,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 3,025 | $10,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 195 | $10,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 10,418 | $10,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 15,810 | $10,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 1,000 | $10,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 487 | $10,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 26,615 | $10,000 | thousands by filing date | |
| COWEN GROUP INC | 223622AE1 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| FORTRESS VALUE ACQUISITION C | 34962V205 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W203 | COM | 1,567 | $10,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 171 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 358 | $9,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,000 | $9,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,500 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 420 | $9,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 3,065 | $9,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 874 | $9,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 199 | $9,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 9,701 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 655 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,400 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 373 | $9,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 523 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 645 | $9,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,100 | $9,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 16,923 | $9,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 1,516 | $9,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 9,556 | $9,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $9,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 2,500 | $9,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 10,331 | $9,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 5,095 | $9,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 2,000 | $9,000 | thousands by filing date | principal |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,002 | $9,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,800 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 360 | $9,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 2,962 | $9,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $9,000 | thousands by filing date | principal |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 3,000 | $9,000 | thousands by filing date | principal |
| AURIS MEDICAL HOLDING LTD | G07025201 | SHS | 9,726 | $9,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 348 | $8,000 | thousands by filing date | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 760 | $8,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,500 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $8,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 3,265 | $8,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,200 | $8,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 540 | $8,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,878 | $8,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,992 | $8,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 373 | $8,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 5,550 | $8,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 2,000 | $8,000 | thousands by filing date | principal |
| YUNHONG GREEN CTI LTD | 98873Q100 | COM | 2,900 | $8,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 321 | $8,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 567 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 302 | $8,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $8,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 3,870 | $8,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 3,000 | $8,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 3,000 | $8,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P106 | COM CL A | 832 | $8,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 2,336 | $8,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 3,532 | $8,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 4,597 | $8,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 991 | $8,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 4,842 | $8,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 12,615 | $8,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 14,105 | $8,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 3,935 | $7,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 540 | $7,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 518 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 293 | $7,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $7,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 5,774 | $7,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 2,412 | $7,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 7,031 | $7,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 2,333 | $7,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,624 | $7,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 2,550 | $7,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 3,011 | $7,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,042 | $7,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 8,000 | $7,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 12,544 | $7,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 5,628 | $7,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 1,845 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 716 | $7,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 609 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 228 | $7,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 3,000 | $7,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 8,203 | $7,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 445 | $7,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 1,729 | $7,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 18,786 | $7,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 3,708 | $7,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 955 | $7,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 164 | $7,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $7,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $7,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 1,000 | $7,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108706 | Cmn | 342 | $7,000 | thousands by filing date | |
| TRANS WORLD ENTMT CORP | 89336Q209 | COM | 1,000 | $7,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 214 | $6,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 2,361 | $6,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 265 | $6,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 275 | $6,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 239 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 230 | $6,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 2,302 | $6,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,570 | $6,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 151 | $6,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,400 | $6,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 188 | $6,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 675 | $6,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 7,843 | $6,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 2,000 | $6,000 | thousands by filing date | principal |
| VERICITY INC | 92347D100 | COM | 571 | $6,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 14,500 | $6,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 311 | $6,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 8,931 | $6,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 132 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 559 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 215 | $5,000 | thousands by filing date | |
| CLEANSPARK INC | 18452B209 | COM NEW | 1,850 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 160 | $5,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 838 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 150 | $5,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 4,447 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 149 | $5,000 | thousands by filing date | |
| US VEGAN CLIMATE ETF | 26922A297 | ETF | 175 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 172 | $5,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $5,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 429 | $5,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 300 | $5,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 486 | $5,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,388 | $5,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 9,599 | $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 |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 4,000 | $5,000 | thousands by filing date | principal |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 499 | $5,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,723 | $5,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 1,537 | $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 | 2,317 | $5,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 345 | $5,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 7,311 | $5,000 | thousands by filing date | |
| MY SIZE INC | 62844N208 | COM NEW | 4,500 | $5,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,286 | $5,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 1,025 | $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 | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 253 | $5,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 5,000 | $5,000 | thousands by filing date | principal |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,000 | $5,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 11,424 | $5,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 8,935 | $5,000 | thousands by filing date | |
| PROSHARES TR ULTSH NASD BIOT | 74347B789 | CEF | 640 | $5,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 21,287 | $5,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,017 | $4,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 2,443 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 201 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 100 | $4,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 255 | $4,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 3,364 | $4,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 2,094 | $4,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 6,055 | $4,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 748 | $4,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 1,133 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 133 | $4,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 1,751 | $4,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 369 | $4,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,050 | $4,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 500 | $4,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 5,400 | $4,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 2,000 | $4,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 166 | $4,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 289 | $4,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 456 | $4,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,100 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 54 | $4,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 900 | $4,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 500 | $4,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $4,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 3,026 | $4,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 1,407 | $4,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,000 | $4,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,432 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $4,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $4,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 1,263 | $4,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 600 | $4,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 1,300 | $4,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 512 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 158 | $4,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 3,300 | $4,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 5,300 | $4,000 | thousands by filing date | |
| REGIONAL HEALTH PPTYS INC | 75903M309 | COM | 2,883 | $4,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 3,000 | $4,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 2,630 | $4,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 2,570 | $4,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U404 | CMN | 376 | $4,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 5,000 | $4,000 | thousands by filing date | principal |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $4,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 1,175 | $4,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C109 | COM CL A | 410 | $4,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 5,038 | $4,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO LTD COM CL A | G4418R101 | Stock | 218 | $4,000 | thousands by filing date | |
| INTERPRIVATE ACQUISITION COR COM | 46064A103 | Stock | 419 | $4,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 395 | $4,000 | thousands by filing date | |
| PROPTECH ACQUISITION CORP | 74349F101 | COM CL A | 386 | $4,000 | thousands by filing date | |
| VAXCYTE INC COM | 92243G108 | Stock | 100 | $3,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 1,303 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 100 | $3,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 172 | $3,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 6,222 | $3,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 954 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 125 | $3,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,771 | $3,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 14,759 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 220 | $3,000 | thousands by filing date | |
| RAND CAP CORP COM NEW | 752185207 | CEF | 272 | $3,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 280 | $3,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $3,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 450 | $3,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 836 | $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 | 1,250 | $3,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 100 | $3,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 100 | $3,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 138 | $3,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 307 | $3,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 2,000 | $3,000 | thousands by filing date | principal |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 528 | $3,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 3,882 | $3,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| IMV INC | 44974L103 | COM | 987 | $3,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $3,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 30,000 | $3,000 | thousands by filing date | principal |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 3,000 | $3,000 | thousands by filing date | principal |
| AMIRA NATURE FOODS LTD | G0335L201 | SHS NEW | 335 | $3,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 240 | $3,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B101 | COM CL A | 301 | $3,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q109 | COM CL A | 285 | $3,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 6,180 | $3,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 2,221 | $3,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 1,848 | $3,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q204 | ADR | 1,344 | $3,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,436 | $3,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 10,952 | $3,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 306 | $3,000 | thousands by filing date | |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 275 | $3,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G106 | COM CL A | 276 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 107 | $3,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 5,205 | $3,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 253 | $3,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 3,000 | $3,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 277 | $3,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641106 | CL A | 248 | $3,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 260 | $3,000 | thousands by filing date | |
| DPW HLDGS INC COM | 26140E600 | Stock | 1,399 | $3,000 | thousands by filing date | |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 204 | $3,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 263 | $3,000 | thousands by filing date | |
| COLLIER CREEK HOLDINGS | G22707122 | UNIT 99/99/9999 | 180 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 67 | $2,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 701 | $2,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 991 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 485 | $2,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 500 | $2,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 1,253 | $2,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 3,750 | $2,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 200 | $2,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,503 | $2,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 150 | $2,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 501 | $2,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,303 | $2,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 400 | $2,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 550 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 120 | $2,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 1,846 | $2,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 197 | $2,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 3,000 | $2,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,590 | $2,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 2,107 | $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 |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 280 | $2,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 150 | $2,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 3,000 | $2,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAB2 | BOND | 2,000 | $2,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP | 12648L601 | COM | 1,929 | $2,000 | thousands by filing date | |
| APEX TECHNOLOGY ACQUISITION COM | 03768F102 | CL A | 167 | $2,000 | thousands by filing date | |
| CALLIDITAS THERAPEUTICS AB SPONSERED | 13124Q106 | ADS | 69 | $2,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 300 | $2,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 4,761 | $2,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 145 | $2,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 565 | $2,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,780 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,955 | $2,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 434 | $2,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 1,550 | $2,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 2,101 | $2,000 | thousands by filing date | |
| COLOR STAR TECHNOLOGY CO LTD | G2287A100 | SHS NEW | 2,021 | $2,000 | thousands by filing date | |
| TEEKAY CORPORATION | 87900YAE3 | NOTE 5.000% 1/1 | 3,000 | $2,000 | thousands by filing date | principal |
| CEMTREX INC | 15130G600 | COM | 1,250 | $2,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 256 | $2,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 400 | $2,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 1,113 | $2,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 1,321 | $2,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 519 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 2,984 | $2,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 12,043 | $2,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 2,000 | $2,000 | thousands by filing date | principal |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 165 | $2,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 1,340 | $2,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,500 | $2,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 920 | $2,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 91 | $2,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 48 | $2,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 212 | $2,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 1,634 | $2,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 200 | $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 | 230 | $2,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J126 | *W EXP 03/14/202 | 13,173 | $2,000 | thousands by filing date | |
| LAIX INC | 50736W105 | ADS | 600 | $2,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 2,274 | $2,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F202 | UNIT 09/30/2025 | 100 | $2,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 3,069 | $2,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 1,884 | $2,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 466 | $2,000 | thousands by filing date | |
| Amplitude Inc | 03212A204 | Class A Common | 150 | $2,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L101 | COM CL A | 173 | $2,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORED ADS | 49803V107 | Stock | 1,898 | $2,000 | thousands by filing date | |
| LISTED FD TR EVENTSHS US LEGI | 53656F102 | CEF | 70 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-20-000454 | this filing | 2020-08-14 | acceptance time not in the bulk data set |