13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 6,838 holding rows worth $517,007,806,000.
- Accession
- 0000895421-20-000552
- Filer
- CIK 895421
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 22,043 entries on the cover page, a total value of $517,007,806,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $517,007,806,000 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 |
|---|---|---|---|---|---|---|
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 9,048 | $24,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865202 | UNIT 02/01/2023 | 2,291 | $24,000 | thousands by filing date | |
| ORIC PHARMACEUTICALS INC | 68622P109 | COM | 939 | $23,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 4,729 | $23,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 545 | $23,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 8,400 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 900 | $23,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 361 | $23,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 3,000 | $23,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,312 | $23,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 4,021 | $23,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 20,085 | $23,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G106 | COM | 2,990 | $23,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259202 | COM | 4,740 | $23,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 393 | $23,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 30,000 | $23,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 2,779 | $23,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 1,733 | $23,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 4,050 | $23,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,294 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 700 | $22,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 775 | $22,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 1,470 | $22,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,015 | $22,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 6,869 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 798 | $22,000 | thousands by filing date | |
| ESPEY MFG &ELECTRONICS CORP | 296650104 | COM | 1,179 | $22,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C201 | COMMON STOCK-FO | 10,252 | $22,000 | thousands by filing date | |
| ATHIRA PHARMA INC | 04746L104 | COM | 1,200 | $22,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 10,091 | $22,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 14,140 | $22,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 7,750 | $22,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 7,592 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 11,033 | $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 | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 10,064 | $22,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 12,500 | $22,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 4,425 | $22,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 8,624 | $22,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 6,265 | $21,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 434 | $21,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 959 | $21,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 260 | $21,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 3,854 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V290 | S&P500 EQL REL | 803 | $21,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 2,898 | $21,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 3,203 | $21,000 | thousands by filing date | |
| GRUPO SIMEC SAB DE C V | 400491106 | ADR | 3,049 | $21,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 2,417 | $21,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 11,392 | $21,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 3,108 | $21,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,261 | $21,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 50,141 | $21,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 7,750 | $21,000 | thousands by filing date | |
| BROOGE ENERGY LTD | G1611B107 | SHS | 2,200 | $21,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 3,482 | $21,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 9,034 | $21,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 57,600 | $20,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 1,521 | $20,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 1,726 | $20,000 | thousands by filing date | |
| LISTED FDS TR | 53656F805 | SHARES LAG CAP | 698 | $20,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,660 | $20,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 1,236 | $20,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 685 | $20,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 8,253 | $20,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 2,748 | $20,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 2,204 | $20,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 10,250 | $20,000 | thousands by filing date | |
| Renalytix PLC | 75973T101 | ADS | 1,673 | $20,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 11,600 | $20,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 10,685 | $20,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 4,330 | $20,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y109 | ORD SHS A | 2,000 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 9,675 | $20,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,819 | $20,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 3,093 | $20,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 5,400 | $20,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 13,019 | $20,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 51,613 | $20,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,532 | $20,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 20,000 | $20,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 66,600 | $20,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 5,800 | $19,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 6,640 | $19,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,179 | $19,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 3,484 | $19,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 603 | $19,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 2,019 | $19,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 909 | $19,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 5,929 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 300 | $19,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 943 | $19,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 1,726 | $19,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $19,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,790 | $19,000 | thousands by filing date | |
| ADVENT TECHNOLOGIES HOLDNG INC WT EXP 020326 | 00165R119 | Stock | 27,900 | $19,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 4,747 | $19,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,764 | $18,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 3,599 | $18,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,000 | $18,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V605 | DJ INDL AVG DV | 510 | $18,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 13,321 | $18,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 2,074 | $18,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 12,870 | $18,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 700 | $18,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62197119 | COM | 10,114 | $18,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 66,000 | $18,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y665 | GBL X MSCI NIGER | 1,889 | $18,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC | 25614T309 | COM NEW | 4,002 | $18,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 685 | $17,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 2,893 | $17,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 838 | $17,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 2,589 | $17,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 452 | $17,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 437 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 700 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R776 | ULTRA MATERIALS | 300 | $17,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 7,701 | $17,000 | thousands by filing date | |
| MONOPAR THERAPEUTICS INC | 61023L108 | COM | 3,200 | $17,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 14,092 | $17,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 6,105 | $17,000 | thousands by filing date | |
| GOLDMAN SACHS PHYSICAL GOLD ETF | 715426102 | UNIT | 895 | $17,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3166W106 | COM CL A | 1,587 | $17,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II | 05600U106 | CL A | 1,709 | $17,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 51,498 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 301 | $17,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION C | 34962V205 | UNIT 99/99/9999 | 1,125 | $17,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W203 | COM | 5,134 | $17,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 2,025 | $16,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,000 | $16,000 | thousands by filing date | |
| CORSAIR GAMING INC | 22041X102 | COM | 810 | $16,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 16,021 | $16,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 2,074 | $16,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 3,500 | $16,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $16,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 1,012 | $16,000 | thousands by filing date | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 1,250 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 744 | $16,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 12,500 | $16,000 | thousands by filing date | principal |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 3,796 | $16,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 1,499 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 657 | $16,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 16,000 | $16,000 | thousands by filing date | principal |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 4,134 | $16,000 | thousands by filing date | |
| NOVUS CAP CORP WT EXP 063027 | 67012U116 | Stock | 5,777 | $16,000 | thousands by filing date | |
| Tuanche Limited | 89856T104 | American Depositary Shares | 20,547 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 492 | $15,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 23,130 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 489 | $15,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 5,741 | $15,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,832 | $15,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 8,457 | $15,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 1,500 | $15,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 20,890 | $15,000 | thousands by filing date | |
| GORES HLDGS V INC | 382864205 | UNIT 99/99/9999 | 1,413 | $15,000 | thousands by filing date | |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 6,900 | $14,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 1,755 | $14,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A150 | COM | 795 | $14,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,752 | $14,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 560 | $14,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 382 | $14,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 6,100 | $14,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 5,400 | $14,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 487 | $14,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 20,590 | $14,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 26,003 | $14,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 581 | $14,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 5,412 | $14,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,550 | $14,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP | 90069K104 | COM | 1,336 | $14,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 3,178 | $14,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $14,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F119 | *W EXP 09/29/202 | 2,808 | $14,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 2,940 | $14,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,967 | $14,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 2,331 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 972 | $14,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A107 | SHS CL A | 1,398 | $14,000 | thousands by filing date | |
| NOVUS CAP CORP | 67012U207 | UNIT 06/30/2027 | 1,008 | $14,000 | thousands by filing date | |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 1,170 | $13,000 | thousands by filing date | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 1,598 | $13,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 470 | $13,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 840 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 500 | $13,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 772 | $13,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 2,371 | $13,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 5,231 | $13,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,714 | $13,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 692 | $13,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 13,000 | $13,000 | thousands by filing date | principal |
| PROSHARES TR II | 74347W395 | FUND | 408 | $13,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 958 | $13,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 1,249 | $13,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 6,397 | $13,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 3,400 | $13,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 3,164 | $13,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 941 | $13,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 6,640 | $13,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 5,700 | $13,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 119 | $13,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145121 | UNIT 99/99/9999 | 1,000 | $13,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 10,000 | $13,000 | thousands by filing date | principal |
| MEXCO ENERGY CORP | 592770101 | COM | 2,500 | $12,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 3,256 | $12,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 373 | $12,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,511 | $12,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 81,650 | $12,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,208 | $12,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 565 | $12,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 1,694 | $12,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 208 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 276 | $12,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 7,410 | $12,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 461 | $12,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,141 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347G838 | ULTST NASD NW20 | 381 | $12,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 219 | $12,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,042 | $12,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 2,100 | $12,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 4,000 | $12,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 8,394 | $12,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 21,964 | $12,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 8,803 | $12,000 | thousands by filing date | |
| CHEER HLDG INC | G39973113 | *W EXP 02/13/202 | 220,970 | $12,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 7,447 | $12,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 20,000 | $12,000 | thousands by filing date | principal |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 6,009 | $12,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,377 | $12,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 6,481 | $12,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 6,147 | $12,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 33,323 | $12,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 1,910 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y785 | DLY CNMSR BULL | 400 | $12,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F771 | FT VEST US | 345 | $11,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,000 | $11,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 879 | $11,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,509 | $11,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 1,757 | $11,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 450 | $11,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 331 | $11,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,336 | $11,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 1,789 | $11,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,220 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 448 | $11,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,250 | $11,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,560 | $11,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 1,100 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 567 | $11,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 3,820 | $11,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 5,512 | $11,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 4,818 | $11,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,192 | $11,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 568 | $11,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 10,120 | $11,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 593 | $11,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 19,717 | $11,000 | thousands by filing date | |
| TEEKAY CORPORATION | 87900YAE3 | NOTE 5.000% 1/1 | 14,000 | $11,000 | thousands by filing date | principal |
| SHARPSPRING INC | 820054104 | COM | 966 | $11,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 3,372 | $11,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 15,634 | $11,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 331 | $11,000 | thousands by filing date | |
| COWEN GROUP INC | 223622AE1 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| JUNIPER INDL HLDGS INC | 48205G205 | UNIT 11/13/2026 | 1,000 | $11,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 558 | $10,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 429 | $10,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,500 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 420 | $10,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 9,196 | $10,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 536 | $10,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 1,095 | $10,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 649 | $10,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,000 | $10,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 655 | $10,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,000 | $10,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 881 | $10,000 | thousands by filing date | |
| CPS TECHNOLOGIES CORP | 12619F104 | COM | 6,340 | $10,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 456 | $10,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 11,000 | $10,000 | thousands by filing date | principal |
| DARIOHEALTH CORP | 23725P209 | COM | 604 | $10,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 4,024 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 456 | $10,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 8,558 | $10,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 2,000 | $10,000 | thousands by filing date | principal |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 5,715 | $10,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 3,986 | $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 | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 11,000 | $10,000 | thousands by filing date | principal |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T125 | *W EXP 99/99/999 | 1,846 | $10,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 171 | $9,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 400 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 358 | $9,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 2,180 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,143 | $9,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,500 | $9,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,400 | $9,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 373 | $9,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 645 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 108 | $9,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,100 | $9,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 7,810 | $9,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 3,264 | $9,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 3,000 | $9,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 7,000 | $9,000 | thousands by filing date | principal |
| ORGENESIS INC | 68619K204 | COM | 1,726 | $9,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 12,544 | $9,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 4,259 | $9,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $9,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 10,000 | $9,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 4,943 | $9,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 2,075 | $9,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 24,319 | $9,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 10,407 | $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 | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 750 | $9,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 486 | $9,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 15,985 | $9,000 | thousands by filing date | |
| HEXINDAI INC | 428295208 | ADR NEW | 5,987 | $9,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 348 | $8,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 396 | $8,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 540 | $8,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 933 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $8,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 803 | $8,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 379 | $8,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 647 | $8,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,289 | $8,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 9,701 | $8,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 215 | $8,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 2,572 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 284 | $8,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,277 | $8,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 556 | $8,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 683 | $8,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,615 | $8,000 | thousands by filing date | |
| BIOVIE INC | 09074F207 | COM | 800 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 239 | $8,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 10,378 | $8,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 2,000 | $8,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 14,982 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 302 | $8,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 38,072 | $8,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 8,689 | $8,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 2,858 | $8,000 | thousands by filing date | |
| Kaspien Holdings Inc | 485837108 | COM | 1,000 | $8,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 2,591 | $8,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 2,002 | $8,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 5,042 | $8,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 8,000 | $8,000 | thousands by filing date | principal |
| CHP MERGER CORP | 12558Y106 | COM CL A | 789 | $8,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 6,000 | $8,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $8,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 752 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 499 | $8,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 2,835 | $7,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,491 | $7,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 293 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 92 | $7,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 2,222 | $7,000 | thousands by filing date | |
| ALPHA ARCHITECT INTERNATIONAL QUANTITATIVE MOMENTUM ET | 02072L300 | ETF | 239 | $7,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,947 | $7,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 3,506 | $7,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 300 | $7,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 12,038 | $7,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 172 | $7,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 350 | $7,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 41,865 | $7,000 | thousands by filing date | |
| SCWORX CORP COM | 78396V109 | Stock | 4,550 | $7,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 2,000 | $7,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 192 | $7,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 2,721 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G807 | FUND | 585 | $7,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 675 | $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 | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $7,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 1,830 | $7,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 2,000 | $7,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 7,000 | $7,000 | thousands by filing date | principal |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 16,500 | $7,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 20,600 | $7,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 2,336 | $7,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 5,050 | $7,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,299 | $7,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019200 | UNIT 08/31/2027 | 720 | $7,000 | thousands by filing date | |
| VESPER HEALTHCARE ACQSTN COR | 92538T203 | UNIT 99/99/9999 | 664 | $7,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 9,994 | $7,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,524 | $7,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 34,100 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 132 | $7,000 | thousands by filing date | |
| GABELLI GO ANYWHERE TRUST | 36250J109 | MUTUAL FUNDS | 708 | $7,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 300 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 180 | $6,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F888 | TCW UNCONSTRAI | 214 | $6,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 3,653 | $6,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 2,243 | $6,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 990 | $6,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,200 | $6,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 250 | $6,000 | thousands by filing date | |
| PROCURE SPACE ETF | 74280R205 | ETF | 277 | $6,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $6,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 309 | $6,000 | thousands by filing date | |
| INNATE PHARMA S A | 45781K204 | SPONSORED ADS | 1,571 | $6,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 4,703 | $6,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 2,000 | $6,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,992 | $6,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,853 | $6,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 4,150 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y434 | GENOMIC BIOTECH | 325 | $6,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 6,350 | $6,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,384 | $6,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 6,000 | $6,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 726 | $6,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 4,307 | $6,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 3,829 | $6,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 6,973 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 150 | $6,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 2,635 | $6,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 680 | $6,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 300 | $6,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 646 | $6,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC COM NEW | 451055305 | Stock | 8,410 | $6,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNE | 51508j405 | LP | 250 | $6,000 | thousands by filing date | |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 500 | $6,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 618 | $6,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 600 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 91 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 215 | $5,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 1,000 | $5,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 1,802 | $5,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 952 | $5,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 356 | $5,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 15,955 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 150 | $5,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 200 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 149 | $5,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 4,750 | $5,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 127 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 172 | $5,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 250 | $5,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 2,550 | $5,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 429 | $5,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 255 | $5,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 2,700 | $5,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 383 | $5,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 11,923 | $5,000 | thousands by filing date | |
| CLEARONE INC | 18506U104 | COM | 2,000 | $5,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 6,000 | $5,000 | thousands by filing date | principal |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 2,108 | $5,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 528 | $5,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 544 | $5,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 2,133 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,812 | $5,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 848 | $5,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 512 | $5,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641737 | CMCI FOOD ETN | 340 | $5,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 345 | $5,000 | thousands by filing date | |
| MY SIZE INC | 62844N208 | COM NEW | 4,500 | $5,000 | thousands by filing date | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 1,300 | $5,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 18,786 | $5,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 1,384 | $5,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 192 | $5,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 3,210 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 77 | $4,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 234 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 220 | $4,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 50 | $4,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120202 | COM NEW | 1,311 | $4,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,190 | $4,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,624 | $4,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 1,100 | $4,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 166 | $4,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 527 | $4,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 3,336 | $4,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $4,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 1,000 | $4,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 4,628 | $4,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 5,133 | $4,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 945 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 158 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 108 | $4,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 5,000 | $4,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 3,000 | $4,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 400 | $4,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 2,165 | $4,000 | thousands by filing date | |
| VIA OPTRONICS AG | 91823Y109 | SPONSORED ADS | 500 | $4,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 5,115 | $4,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $4,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 14,733 | $4,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 4,819 | $4,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 1,085 | $4,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 4,000 | $4,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 3,916 | $4,000 | thousands by filing date | |
| PECK CO HLDGS INC | 705163103 | COM NEW | 500 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-20-000552 | this filing | 2020-11-13 | acceptance time not in the bulk data set |