13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-16, with 7,157 holding rows worth $647,472,192,000.
- Accession
- 0000895421-21-000261
- Filer
- CIK 895421
- Filed
- 2021-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 24,833 entries on the cover page, a total value of $647,472,192,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $647,472,192,000 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
- included managerMorgan Stanley Bank Asia Ltd028-17710
- included managerETRADE Capital Management LLC028-14182
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 |
|---|---|---|---|---|---|---|
| ORUKA THERAPEUTICS INC COM | 00211Y506 | Stock | 3,871 | $16,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 1,110 | $16,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,900 | $16,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 16,210 | $16,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $16,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $16,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 11,144 | $16,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U404 | CMN | 1,002 | $16,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 9,034 | $16,000 | thousands by filing date | |
| SKILLZ INC | 83067L117 | *W EXP 02/26/202 | 2,200 | $16,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 6,973 | $16,000 | thousands by filing date | |
| TREPONT ACQUISITION CORP I UNIT | G9095M119 | Stock | 1,500 | $16,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 250 | $16,000 | thousands by filing date | |
| OTR ACQUISITION CORP | 67113Q204 | UNIT 10/01/2025 | 1,549 | $16,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 16,000 | $16,000 | thousands by filing date | principal |
| LORDSTOWN MOTORS CORP | 54405Q118 | *W EXP 10/23/202 | 1,869 | $16,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 6,000 | $15,000 | thousands by filing date | |
| CERTARA INC COM | 15687V109 | Stock | 452 | $15,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,501 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 499 | $15,000 | thousands by filing date | |
| MEXCO ENERGY CORP | 592770101 | COM | 2,500 | $15,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F207 | COM NEW | 3,194 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 316 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 298 | $15,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 4,100 | $15,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 487 | $15,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 3,560 | $15,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 4,418 | $15,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 567 | $15,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 5,050 | $15,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 41,701 | $15,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 20,378 | $15,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 1,300 | $15,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 14,620 | $15,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 2,330 | $15,000 | thousands by filing date | |
| Kaspien Holdings Inc | 485837108 | COM | 1,000 | $15,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 2,800 | $15,000 | thousands by filing date | |
| COWEN GROUP INC | 223622AE1 | BOND | 10,000 | $15,000 | thousands by filing date | principal |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 858 | $14,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,000 | $14,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F839 | FT VEST US EQT | 427 | $14,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 4,825 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 500 | $14,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 530 | $14,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,163 | $14,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 2,141 | $14,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,550 | $14,000 | thousands by filing date | |
| BIOVIE INC | 09074F207 | COM | 800 | $14,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 4,783 | $14,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 6,362 | $14,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 11,000 | $14,000 | thousands by filing date | principal |
| REINVENT TECHNOLOGY PARTNERS | G7483N129 | CL A | 1,139 | $14,000 | thousands by filing date | |
| CHEMOMAB THERAPEUTICS LTD SPONSORED ADS | 03280X102 | ADR | 8,153 | $14,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 3,579 | $14,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X113 | *W EXP 03/31/202 | 3,000 | $14,000 | thousands by filing date | |
| H I G ACQUISITION CORP UNIT | G44898115 | Stock | 1,355 | $14,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H203 | COM NEW | 2,772 | $14,000 | thousands by filing date | |
| GUARDION HEALTH SCIENCES INC COM | 40145Q203 | Stock | 34,100 | $14,000 | thousands by filing date | |
| MONAKER GROUP INC | 609011200 | COM NEW | 6,000 | $14,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 119 | $14,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 2,010 | $13,000 | thousands by filing date | |
| BURFORD CAPITAL LIMITED | G17977110 | ORD SHS | 1,340 | $13,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,899 | $13,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984V209 | COMMON STOCK | 1,132 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 346 | $13,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 17,719 | $13,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 780 | $13,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 568 | $13,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 38,436 | $13,000 | thousands by filing date | |
| GALECTO INC | 36322Q107 | COM | 1,000 | $13,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 19,450 | $13,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 5,534 | $13,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 18,786 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G872 | DAILY TECHNOLOGY | 1,436 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 297 | $13,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,510 | $13,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 1,000 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 487 | $13,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 400 | $12,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 832 | $12,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 331 | $12,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 1,002 | $12,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,628 | $12,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 735 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 655 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 457 | $12,000 | thousands by filing date | |
| AKSO HEALTH GROUP | 98422P108 | ADS | 4,987 | $12,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,899 | $12,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 2,042 | $12,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 2,279 | $12,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 4,282 | $12,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 7,000 | $12,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 9,175 | $12,000 | thousands by filing date | |
| ANTELOPE ENTERPRISE HLDGS LTD SHS NEW | G041JN106 | Stock | 4,673 | $12,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744112 | *W EXP 99/99/999 | 4,500 | $12,000 | thousands by filing date | |
| VINCERX PHARMA INC | 92731L114 | *W EXP 12/24/202 | 3,500 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 971 | $12,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 171 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y384 | CYBRSCURTY ETF | 400 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 403 | $11,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 4,200 | $11,000 | thousands by filing date | |
| IMMATICS N.V | N44445109 | SHS | 1,000 | $11,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,287 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 373 | $11,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 397 | $11,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,475 | $11,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 2,364 | $11,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 759 | $11,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 8,507 | $11,000 | thousands by filing date | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 1,442 | $11,000 | thousands by filing date | |
| RMG ACQUISITION CORP II | G76083115 | UNIT 12/09/2025 | 1,000 | $11,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 3,061 | $11,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITI | 26873Y104 | CMN | 1,093 | $11,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 5,829 | $11,000 | thousands by filing date | |
| DECARBONIZATION PLUS ACQU CO | 242797108 | COM CL A | 1,000 | $11,000 | thousands by filing date | |
| CLIMATE CHANGE CRISIS REAL I | 18716C100 | CL A COM | 1,000 | $11,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q100 | COM CL A | 1,020 | $11,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 6,900 | $11,000 | thousands by filing date | |
| ANPAC BIO MED SCIENCE CO LTD | 03635R107 | cs | 2,009 | $11,000 | thousands by filing date | |
| FAST ACQUISITION CORP. CMN | 311875108 | COM | 1,080 | $11,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 995 | $10,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 348 | $10,000 | thousands by filing date | |
| 908 DEVICES INC COM | 65443P102 | Stock | 168 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 257 | $10,000 | thousands by filing date | |
| iShares Cybersecurity and Tech ETF | 46435U135 | CYBERSECURITY | 250 | $10,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 1,650 | $10,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 3,910 | $10,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 500 | $10,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 1,597 | $10,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 1,500 | $10,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,275 | $10,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 11,200 | $10,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 2,501 | $10,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 4,856 | $10,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 1,459 | $10,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 645 | $10,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 11,000 | $10,000 | thousands by filing date | principal |
| ELYS GAME TECHNOLOGY CORP | 290734102 | COM | 1,739 | $10,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 716 | $10,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 2,000 | $10,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 1,078 | $10,000 | thousands by filing date | |
| 5 01 ACQUISITION CORP | 33836P105 | CMN | 1,001 | $10,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 2,816 | $10,000 | thousands by filing date | |
| FISKER INC | 33813J114 | *W EXP 12/01/202 | 2,000 | $10,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 11,000 | $10,000 | thousands by filing date | principal |
| ATLAS CREST INVT CORP | 049284102 | COM | 947 | $10,000 | thousands by filing date | |
| FG NEW AMER ACQUISITION CORP | 30259V114 | *W EXP 08/31/202 | 7,195 | $10,000 | thousands by filing date | |
| ACIES ACQUISITION CORP | G0103T105 | CL A | 1,000 | $10,000 | thousands by filing date | |
| Avantis US Equity ETF | 025072885 | SHS | 141 | $9,000 | thousands by filing date | |
| Invesco S&P 500 Momentum ETF | 46138E339 | SHS | 179 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 242 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 358 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 345 | $9,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 322 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 303 | $9,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 205 | $9,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 337 | $9,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 300 | $9,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,250 | $9,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 502 | $9,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 373 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 284 | $9,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 562 | $9,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 2,100 | $9,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 7,000 | $9,000 | thousands by filing date | principal |
| CLENE INC | 185634102 | COM | 1,000 | $9,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 13,754 | $9,000 | thousands by filing date | |
| LIZHI INC | 53933L104 | ADS | 2,400 | $9,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 10,000 | $9,000 | thousands by filing date | principal |
| JUPAI HLDGS LTD | 48205B107 | ADS | 5,074 | $9,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 291 | $9,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 8,000 | $9,000 | thousands by filing date | principal |
| CHP MERGER CORP | 12558Y106 | COM CL A | 899 | $9,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 20,986 | $9,000 | thousands by filing date | |
| POWERBRIDGE TECHNLOGIES CO LTD ORD SHS | G72007100 | ORD SHS | 3,986 | $9,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 12,716 | $9,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 6,000 | $9,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 3,790 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 122 | $9,000 | thousands by filing date | |
| ISHARES TR | 46436E767 | COM | 248 | $8,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 650 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 245 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,491 | $8,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 600 | $8,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 250 | $8,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 369 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 10,000 | $8,000 | thousands by filing date | principal |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 800 | $8,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 1,696 | $8,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,384 | $8,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 3,408 | $8,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 2,689 | $8,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 825 | $8,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 3,500 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G771 | ETFMG TRAVEL TEC | 300 | $8,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 6,000 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 150 | $8,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 5,630 | $8,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 7,000 | $8,000 | thousands by filing date | principal |
| CELSION CORP | 15117N503 | COM PAR NEW | 10,991 | $8,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 317 | $8,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 809 | $8,000 | thousands by filing date | |
| FG FINANCIAL GROUP INC | 30259W104 | COM | 2,002 | $8,000 | thousands by filing date | |
| ISHARES TR | 46435U176 | IBONDS 22 TRM HG | 318 | $8,000 | thousands by filing date | |
| NUZEE INC | 67073S208 | COM NEW | 731 | $8,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 380 | $8,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 132 | $8,000 | thousands by filing date | |
| CEREVEL THERAPEUTICS HLDNG I | 15678U102 | *W EXP 06/09/202 | 1,333 | $8,000 | thousands by filing date | |
| BIOATLA INC | 09077B104 | COM | 200 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 70 | $7,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,032 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 984 | $7,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 2,550 | $7,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 1,500 | $7,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 2,438 | $7,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 1,362 | $7,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 4,000 | $7,000 | thousands by filing date | principal |
| IMAC HLDGS INC | 44967K104 | COM | 4,628 | $7,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 700 | $7,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 1,550 | $7,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 7,000 | $7,000 | thousands by filing date | principal |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 200 | $7,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 1,925 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 299 | $7,000 | thousands by filing date | |
| EQUITY DISTR ACQUISITION COR | 29465E106 | CMN | 660 | $7,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 2,445 | $7,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185203 | UNIT 99/99/9999 | 300 | $7,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 3,618 | $7,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 6,901 | $7,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,135 | $7,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K115 | *W EXP 99/99/999 | 1,653 | $7,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 658 | $7,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 211 | $6,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C680 | US EQTY PWR BF | 221 | $6,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,593 | $6,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 3,259 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 220 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 150 | $6,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P870 | NUVEEN ESG US | 215 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 149 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E396 | S&P 500 CONC ETF | 167 | $6,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 1,500 | $6,000 | thousands by filing date | |
| BRASILAGRO COMPANHIA BRASILE | 10554B104 | SPONSORED ADR | 1,100 | $6,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,992 | $6,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 43,846 | $6,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 345 | $6,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 4,000 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E505 | DAILY CS 2X SH | 95 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G732 | MOONSHOT INNOVAT | 200 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 185 | $6,000 | thousands by filing date | |
| VIVOS THERAPEUTICS INC | 92859E108 | COM | 1,000 | $6,000 | thousands by filing date | |
| ITAMAR MED LTD SPONSORED ADS | 465437101 | ADR | 300 | $6,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 8,634 | $6,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 4,819 | $6,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 6,000 | $6,000 | thousands by filing date | principal |
| SIRIUS INTERNATIONAL INSURAN COM | G8196D101 | Stock | 500 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347B177 | BASIC MAT NEW | 600 | $6,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865202 | UNIT 02/01/2023 | 435 | $6,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 1,224 | $5,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 255 | $5,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 402 | $5,000 | thousands by filing date | |
| OPUS GENETICS INC | 67577R102 | COMMON STOCK | 700 | $5,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 246 | $5,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 2,222 | $5,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 106 | $5,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,381 | $5,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 700 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 70 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 172 | $5,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,260 | $5,000 | thousands by filing date | |
| MAGYAR BANCORP INC COM | 55977T109 | Stock | 500 | $5,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 5,500 | $5,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 6,000 | $5,000 | thousands by filing date | principal |
| ISHARES TR | 46435U184 | IBONDS 24 TRM HG | 199 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 1,642 | $5,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE EUROPE | 74348A434 | ETF | 300 | $5,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LIMITED NEW SPONSRD ADR | 37185R307 | NEW SPONSRD ADR | 1,300 | $5,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 3,705 | $5,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 2,219 | $5,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 1,000 | $5,000 | thousands by filing date | principal |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 5,000 | $5,000 | thousands by filing date | principal |
| WISEKEY INTERNATIONAL HLDS L | 97727L200 | SPON ADS | 642 | $5,000 | thousands by filing date | |
| BORQS TECHNOLOGIES INC | G1466B103 | SHS | 5,000 | $5,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION I | 349642108 | COM CL A | 508 | $5,000 | thousands by filing date | |
| REINVENT TECHNOLOGY PARTNERS | G74847123 | UNIT 99/99/9999 | 475 | $5,000 | thousands by filing date | |
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| ISHARES TR | 46436E759 | COM | 60 | $4,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 1,100 | $4,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 100 | $4,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 77 | $4,000 | thousands by filing date | |
| GCM GROSVENOR INC | 36831E108 | COM CL A | 279 | $4,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,290 | $4,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 1,975 | $4,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 177 | $4,000 | thousands by filing date | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 337 | $4,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 1,700 | $4,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 79 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 76 | $4,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 542 | $4,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 353 | $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 | 443 | $4,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 737 | $4,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 500 | $4,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865103 | COM CL A | 276 | $4,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 12,043 | $4,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 869 | $4,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 1,000 | $4,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 400 | $4,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 315 | $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 | 2,300 | $4,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 7,004 | $4,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 500 | $4,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W303 | COM | 1,500 | $4,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 834 | $4,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 380 | $4,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 225 | $4,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 2,350 | $4,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 3,000 | $4,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 2,071 | $4,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 2,848 | $4,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 500 | $4,000 | thousands by filing date | |
| VY GLOBAL GROWTH | G9444H126 | UNIT 99/99/9999 | 390 | $4,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P113 | *W EXP 09/26/202 | 1,197 | $4,000 | thousands by filing date | |
| TPG PACE BEN FIN CORP | G8990D117 | *W EXP 10/09/202 | 530 | $4,000 | thousands by filing date | |
| KBS FASHION GROUP LTD | Y46002203 | COM NEW | 1,314 | $4,000 | thousands by filing date | |
| GOOD WORKS ACQUISITION CORP | 38216X107 | COM | 356 | $4,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 1,179 | $4,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 1,231 | $4,000 | thousands by filing date | |
| CBRE ACQUISITION HOLDINGS INC | 12510j205 | COM | 400 | $4,000 | thousands by filing date | |
| Avantis International Equity ETF | 025072703 | SHS | 53 | $3,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 4,000 | $3,000 | thousands by filing date | |
| J JILL INC | 46620W201 | COMMON STOCK | 746 | $3,000 | thousands by filing date | |
| ACQUIRERS SMALL AND MICRO DEEP VALUE ETF | 26922A701 | ETF | 125 | $3,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 230 | $3,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 300 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 72 | $3,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 150 | $3,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 260 | $3,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 700 | $3,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 1,190 | $3,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108888 | BLACKSWAN GRWT | 105 | $3,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 553 | $3,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 1,400 | $3,000 | thousands by filing date | |
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| PACER FDS TR | 69374H691 | mc | 100 | $3,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 465 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347X658 | SHT FTSE CHIN 50 | 200 | $3,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 2,500 | $3,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 150 | $3,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M209 | COM | 292 | $3,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 2,000 | $3,000 | thousands by filing date | principal |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 1,290 | $3,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 200 | $3,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC | 00791N110 | *W EXP 10/28/202 | 1,100 | $3,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 2,034 | $3,000 | thousands by filing date | |
| IG ACQUISITION CORP | 449534106 | COM CL A | 290 | $3,000 | thousands by filing date | |
| CARNEY TECHNOLOGY ACQU CORP | 143636207 | UNIT 12/10/2025 | 295 | $3,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 1,084 | $3,000 | thousands by filing date | |
| SPI ENERGY CO LTD | G8651P110 | SHS NEW | 331 | $3,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 720 | $3,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 134 | $3,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 983 | $3,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 519 | $3,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 8,000 | $3,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 3,030 | $3,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 3,865 | $3,000 | thousands by filing date | |
| INVO Bioscience, Inc. | 44984F302 | common | 843 | $3,000 | thousands by filing date | |
| TIGA ACQUISITION CORP | G88672129 | UNIT 99/99/9999 | 314 | $3,000 | thousands by filing date | |
| LONGVIEW ACQUISITION CORP | 543195119 | *W EXP 05/27/202 | 485 | $3,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424113 | *W EXP 12/02/202 | 158 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 79 | $3,000 | thousands by filing date | |
| SARISSA CAPITAL ACQUISITN CO | G7823W128 | UNIT 10/23/2027 | 300 | $3,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,162 | $3,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 1,278 | $3,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 107 | $3,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J126 | *W EXP 03/14/202 | 13,140 | $3,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 263 | $2,000 | thousands by filing date | |
| ISHARES FALLEN ANGELS USD BOND ETF | 46435G474 | ETF | 63 | $2,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 116 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 428 | $2,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 151 | $2,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 1,502 | $2,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 200 | $2,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 1,654 | $2,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 100 | $2,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 550 | $2,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 10 | $2,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 89 | $2,000 | thousands by filing date | |
| DAXOR CORP | 239467103 | COM | 175 | $2,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 2,782 | $2,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,102 | $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 | 2,500 | $2,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,591 | $2,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 1,707 | $2,000 | thousands by filing date | |
| SIREN ETF TR | 829658400 | DIVCN DIVD ETF | 53 | $2,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 1,000 | $2,000 | thousands by filing date | principal |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 280 | $2,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 390 | $2,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 3,500 | $2,000 | thousands by filing date | |
| MY SIZE INC | 62844N208 | COM NEW | 1,500 | $2,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 4,349 | $2,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 747 | $2,000 | thousands by filing date | |
| SILVERSUN TECHNOLOGIES INC | 82846H207 | COMMON | 669 | $2,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 1,888 | $2,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 787 | $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 |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 1,000 | $2,000 | thousands by filing date | principal |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 1,000 | $2,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 8,547 | $2,000 | thousands by filing date | |
| INVITAE CORP | 46185LAB9 | NOTE 2.000% 9/0 | 1,000 | $2,000 | thousands by filing date | principal |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 1,006 | $2,000 | thousands by filing date | |
| SUPERCOM LTD NEW | M87095119 | SHS NEW | 1,500 | $2,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 1,340 | $2,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 48 | $2,000 | thousands by filing date | |
| JOBY AVIATION IN | G7483N103 | EQUITY WRT | 538 | $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 | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 180 | $2,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E202 | COM NEW | 125 | $2,000 | thousands by filing date | |
| Colonnade Acquisition Corp | G2283K102 | COLONNADE ACQUISITION -CW25 | 660 | $2,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 8 | $1,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 99 | $1,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 250 | $1,000 | thousands by filing date | |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 206 | $1,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R502 | COM NEW | 49 | $1,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 49 | $1,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 70 | $1,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 50 | $1,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505731 | ROBO GLB ARTIF | 30 | $1,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 100 | $1,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 927 | $1,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L654 | US QT LW VLTY | 18 | $1,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 500 | $1,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 500 | $1,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 64 | $1,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 123 | $1,000 | thousands by filing date | |
| X FINL | 98372W202 | SPONSORED ADS | 297 | $1,000 | thousands by filing date | |
| SCIENJOY HOLDING CORP | G7864D112 | CLASS A ORD | 100 | $1,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 400 | $1,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 70 | $1,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 2,200 | $1,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 250 | $1,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 415 | $1,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG ORD SHS | H33700107 | Stock | 67 | $1,000 | thousands by filing date | |
| CLS | 14070Y101 | Stock | 54 | $1,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 100 | $1,000 | thousands by filing date | |
| SPRING VALEY ACQUISTION III CL A ORD | 85521J109 | COM | 51 | $1,000 | thousands by filing date | |
| TRANSLATIONAL ACQUISITION DVLNT ORD | 89615T106 | COM | 112 | $1,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 124 | $1,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 1,000 | $1,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 379 | $1,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC | 36168Q120 | CONV | 11 | $1,000 | thousands by filing date | |
| VITRU LTD | G9440D103 | COM | 90 | $1,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 200 | $1,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 1,137 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 42 | $1,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 175 | $1,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 57 | $1,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 431 | $1,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 1,300 | $1,000 | thousands by filing date | |
| LGL GROUP INC | 50186A132 | *W EXP 11/16/202 | 1,438 | $1,000 | thousands by filing date | |
| MSP RECOVERY INC COM CL A | 53625R104 | Stock | 82 | $1,000 | thousands by filing date | |
| PHAXIAM THERAPEUTICS S A | 29604W108 | SPONSORED ADR | 100 | $1,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 535 | $1,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R113 | *W EXP 08/17/202 | 510 | $1,000 | thousands by filing date | |
| TAILWIND ACQUISITION CORP | 87403Q102 | COM CL A | 92 | $1,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 419 | $1,000 | thousands by filing date | |
| PAVMED INC | 70387R122 | *W EXP 04/30/202 | 500 | $1,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 93 | $1,000 | thousands by filing date | |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 179 | $1,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 2,000 | $1,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 2,090 | $1,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 521 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 75 | $1,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,000 | $1,000 | thousands by filing date | principal |
| TOP SHIPS INC | Y8897Y180 | COM | 521 | $1,000 | thousands by filing date | |
| DBX ETF TR | 233051747 | XTRCK JP MRG ESG | 70 | $1,000 | thousands by filing date | |
| ATLANTIC AVE ACQUISITION COR | 04906P101 | CMN | 76 | $1,000 | thousands by filing date | |
| RECHARGE ACQUISITION CORP | 756229100 | CMN | 56 | $1,000 | thousands by filing date | |
| PMV CONSUMER ACQUISITION COR | 693486102 | CMN | 60 | $1,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019101 | CMN | 93 | $1,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 300 | $1,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 1,000 | $1,000 | thousands by filing date | |
| GORES HLDGS V INC | 382864106 | COM CL A | 90 | $1,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 261 | $1,000 | thousands by filing date | |
| PETROS PHARMACEUTICALS INC | 71678J100 | COM | 169 | $1,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019200 | UNIT 08/31/2027 | 120 | $1,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 541 | $1,000 | thousands by filing date | |
| FG NEW AMER ACQUISITION CORP | 30259V106 | COM | 95 | $1,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISITION | 344328117 | *W EXP 08/11/202 | 170 | $1,000 | thousands by filing date | |
| SANDBRIDGE ACQUISITION CORP | 799793104 | COM CL A | 67 | $1,000 | thousands by filing date | |
| ONE | G7000X105 | COM CL A | 122 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-21-000261 | this filing | 2021-02-16 | acceptance time not in the bulk data set |