13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 8,075 holding rows worth $742,479,307,000.
- Accession
- 0000895421-21-000571
- Filer
- CIK 895421
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A combination report, 33,150 entries on the cover page, a total value of $742,479,307,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $742,479,307,000 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
- reports for this filerEATON VANCE MANAGEMENT028-04139
- reports for this filerATLANTA CAPITAL MANAGEMENT CO L L C028-05936
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- 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 |
|---|---|---|---|---|---|---|
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 10,000 | $26,000 | thousands by filing date | principal |
| LANDOS BIOPHARMA INC | 515069102 | CMN | 1,743 | $26,000 | thousands by filing date | |
| TURMERIC ACQUISITION CORP | G9127T108 | CMN | 2,700 | $26,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 3,592 | $26,000 | thousands by filing date | |
| CERBERUS TELECOM ACQUISITION | G2040C112 | Cmn | 3,224 | $26,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 400 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X799 | ULTR RUSSL2000 | 253 | $25,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,312 | $25,000 | thousands by filing date | |
| MAGYAR BANCORP INC | 55977T208 | COM | 2,213 | $25,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 5,378 | $25,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 436 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 364 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 500 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 823 | $25,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 9,871 | $25,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 4,320 | $25,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 12,398 | $25,000 | thousands by filing date | |
| CANO HEALTH INC | 13781Y111 | WARR | 5,989 | $25,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G807 | FUND | 1,771 | $25,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A305 | ALPCLONE ALTER | 300 | $25,000 | thousands by filing date | |
| KERNEL GROUP HOLDINGS INC | G5259L111 | UNIT 99/99/9999 | 2,495 | $25,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 26,229 | $25,000 | thousands by filing date | principal |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 844 | $25,000 | thousands by filing date | |
| SARISSA CAPITAL ACQUISITN CO | G7823W102 | CMN | 2,500 | $25,000 | thousands by filing date | |
| WISEKEY INTERNATIONAL HLDS L | 97727L200 | SPON ADS | 3,956 | $25,000 | thousands by filing date | |
| TAOPING INC | G8675V119 | SHS NEW | 9,500 | $25,000 | thousands by filing date | |
| CCC INTELLIGENT SOLUTIONS HLD COM | 12510Q100 | Stock | 2,266 | $24,000 | thousands by filing date | |
| PHARMING GROUP NV SPON ADS | 71716E105 | ADR | 2,548 | $24,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 830 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 600 | $24,000 | thousands by filing date | |
| TANGO THERAPEUTICS INC | 87583X109 | COM | 1,847 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 500 | $24,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C318 | US EQTY PWR BUF | 815 | $24,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 3,411 | $24,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 636 | $24,000 | thousands by filing date | |
| PACER TRENDPILOT INTERNATIONAL ETF | 69374H683 | ETF | 830 | $24,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G856 | CMN | 397 | $24,000 | thousands by filing date | |
| AST SPACEMOBILE INC | 00217D118 | *W EXP 04/06/202 | 6,187 | $24,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 13,724 | $24,000 | thousands by filing date | |
| IMMUNOPRECISE ANTIBODIES LTDCOM NEW | 45257F200 | cs | 3,843 | $24,000 | thousands by filing date | |
| LILIUM N V | N52586117 | *W EXP 09/14/202 | 10,660 | $24,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 864 | $24,000 | thousands by filing date | |
| POLYPID LTD | M8001Q118 | SHS | 3,000 | $24,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 4,228 | $24,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 12,000 | $24,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H203 | COM NEW | 4,219 | $24,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 1,788 | $23,000 | thousands by filing date | |
| BANK OF THE JAMES FINL GP IN | 470299108 | COM | 1,591 | $23,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 293 | $23,000 | thousands by filing date | |
| CUE HEALTH INC | 229790100 | COM | 1,923 | $23,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 623 | $23,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,324 | $23,000 | thousands by filing date | |
| ALTIMETER GROWTH CORP | G0370L124 | UNIT 99/99/9999 | 2,223 | $23,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 336 | $22,000 | thousands by filing date | |
| ALPHA TEKNOVA INC | 02080L102 | COMMON STOCK | 908 | $22,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 1,187 | $22,000 | thousands by filing date | |
| VALARIS LTD WT EXP 042928 | G9460G119 | Stock | 6,679 | $22,000 | thousands by filing date | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 1,250 | $22,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,623 | $22,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 473 | $22,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061821 | CANNABIS ETF | 1,537 | $22,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 21,000 | $22,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 22,000 | $22,000 | thousands by filing date | principal |
| DRAGONEER GROWTH OPPTY CORP | G28314105 | SHS CL A | 2,151 | $22,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,900 | $22,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 8,000 | $22,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP V | 17144T115 | *W EXP 10/29/202 | 17,136 | $22,000 | thousands by filing date | |
| FORTISTAR SUSTAINABLE SOL CO | 34962M114 | WTS | 29,671 | $22,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 10,345 | $22,000 | thousands by filing date | |
| HENNESSY CAPITAL INVS CORP V | 42589T206 | UNIT 01/15/2025 | 2,123 | $22,000 | thousands by filing date | |
| DUDDELL STREET ACQUISITN COR | G28553124 | UNIT 10/21/2025 | 2,134 | $22,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C300 | SPON ADS NEW 21 | 1,213 | $22,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 430 | $21,000 | thousands by filing date | |
| NUVALENT INC COM | 670703107 | Stock | 918 | $21,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 421 | $21,000 | thousands by filing date | |
| CF BANKSHARES INC | 12520L109 | COM | 1,014 | $21,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 3,900 | $21,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 604 | $21,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 2,806 | $21,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 2,803 | $21,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 1,881 | $21,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 11,000 | $21,000 | thousands by filing date | principal |
| RAIN ONCOLOGY INC | 75082Q105 | COM | 1,462 | $21,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 8,000 | $21,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 17,748 | $21,000 | thousands by filing date | |
| DUNXIN FINL HLDGS LTD | 26605Q106 | SPONSORED ADS | 15,766 | $21,000 | thousands by filing date | |
| PRIME IMPACT ACQUISITION I | G61074103 | SHS CL A | 2,186 | $21,000 | thousands by filing date | |
| POPULATION HEALTH INVS CO IN | G71716123 | UNIT 99/99/9999 | 2,084 | $21,000 | thousands by filing date | |
| NIGHTDRAGON ACQUISITION CORP | 65413D204 | UNIT 02/26/20266 | 2,100 | $21,000 | thousands by filing date | |
| INVESTINDUSTRIAL ACQUISITION | G4771L121 | UNIT 99/99/9999 | 2,021 | $21,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 447 | $20,000 | thousands by filing date | |
| NOBLE CORP NEW | G6610J209 | SHS | 733 | $20,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 3,714 | $20,000 | thousands by filing date | |
| US GOLD CORP | 90291C201 | COMMON STOCK | 1,970 | $20,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y280 | DLY FTS BUL 3X | 595 | $20,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 682 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 412 | $20,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877201 | COM NEW | 702 | $20,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 1,441 | $20,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 9,024 | $20,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 15,000 | $20,000 | thousands by filing date | principal |
| CONMED CORP | 207410AF8 | BOND | 13,000 | $20,000 | thousands by filing date | principal |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 10,000 | $20,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 7,017 | $20,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y180 | COM | 13,651 | $20,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 750 | $20,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 6,131 | $20,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T111 | *W EXP 07/29/202 | 20,000 | $20,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 6,904 | $20,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 28,786 | $20,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 20,000 | $20,000 | thousands by filing date | principal |
| BANK OF MONTREAL | 063679666 | MICROSCTRS 3X | 7,700 | $20,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 3,887 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H821 | DIGI TRANSFRM | 831 | $19,000 | thousands by filing date | |
| RXSIGHT INC | 78349D107 | COM | 1,539 | $19,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 536 | $19,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,601 | $19,000 | thousands by filing date | |
| PROSHARES TR II | 74347W395 | FUND | 540 | $19,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 9,109 | $19,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,501 | $19,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 300 | $19,000 | thousands by filing date | |
| INNOVIVA INC | 45781MAB7 | NOTE 2.500% 8/1 | 16,000 | $19,000 | thousands by filing date | principal |
| NULL | 301505749 | NULL | 562 | $19,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 25,800 | $19,000 | thousands by filing date | |
| MONOPAR THERAPEUTICS INC | 61023L108 | COM | 4,000 | $19,000 | thousands by filing date | |
| ALPHA CAPITAL ACQUISITION CO | G0316P130 | CMN | 2,000 | $19,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC COM | 00484M601 | Stock | 4,024 | $19,000 | thousands by filing date | |
| VALLON PHARMACEUTICALS INC | 92023M101 | COM | 2,628 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 325 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 1,036 | $18,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C581 | US EQTY BUF NOV | 550 | $18,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 3,471 | $18,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 3,104 | $18,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 1,869 | $18,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 450 | $18,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 1,250 | $18,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 4,551 | $18,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 20,000 | $18,000 | thousands by filing date | principal |
| PFSWEB INC | 717098206 | COM | 1,421 | $18,000 | thousands by filing date | |
| BLACK SPADE ACQUISITION CO | G11537118 | *W EXP 07/16/202 | 33,050 | $18,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 3,065 | $18,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019119 | *W EXP 08/31/202 | 25,000 | $18,000 | thousands by filing date | |
| PROFESSIONAL DIVERSITY NET I | 74312Y202 | COM | 14,548 | $18,000 | thousands by filing date | |
| WILHELMINA INTL INC | 968235200 | COM NEW | 3,434 | $18,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D200 | COMMON | 6,000 | $18,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 2,391 | $18,000 | thousands by filing date | |
| DUDDELL STREET ACQUISITN COR | G28553108 | CMN | 1,826 | $18,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726106 | COM | 24,000 | $18,000 | thousands by filing date | |
| TAT TECHNOLOGIES LTD | M8740S227 | ORD NEW | 2,899 | $17,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P889 | HORIZON DMST ETF | 522 | $17,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 470 | $17,000 | thousands by filing date | |
| NIXXY INC COM NEW | 75630B303 | Stock | 5,000 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 498 | $17,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 2,411 | $17,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 567 | $17,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 580 | $17,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 7,290 | $17,000 | thousands by filing date | |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 5,000 | $17,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AC4 | BOND | 16,000 | $17,000 | thousands by filing date | principal |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 1,058 | $17,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 17,713 | $17,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 10,000 | $17,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 1,300 | $17,000 | thousands by filing date | |
| INVITAE CORP | 46185LAB9 | NOTE 2.000% 9/0 | 14,000 | $17,000 | thousands by filing date | principal |
| GWG HLDGS INC | 36192A109 | COM | 1,732 | $17,000 | thousands by filing date | |
| INTEGRATED MEDIA TECHNLOGY L | Q49376108 | SHS | 3,688 | $17,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817302 | UNIT 12/31/2026 | 1,693 | $17,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L206 | UNIT 99/99/9999 | 1,700 | $17,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 1,500 | $16,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 844 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 400 | $16,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 654 | $16,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 5,906 | $16,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 3,453 | $16,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 1,712 | $16,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,100 | $16,000 | thousands by filing date | |
| FINANCE OF AMERICA COMPAN CL A NEW | 31738L107 | Stock | 3,586 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 995 | $16,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 7,108 | $16,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 3,263 | $16,000 | thousands by filing date | |
| EQT CORP | 26884LAK5 | NOTE 1.750% 5/0 | 10,000 | $16,000 | thousands by filing date | principal |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 16,000 | $16,000 | thousands by filing date | principal |
| CYBIN INC | 23256X100 | COM | 7,235 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922B204 | DEFIANCE NXT GN | 724 | $16,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 7,926 | $16,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 5,619 | $16,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 3,500 | $16,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 4,120 | $16,000 | thousands by filing date | |
| SWITCHBACK II CORPORATION | G8633T107 | *W EXP 01/07/202 | 11,842 | $16,000 | thousands by filing date | |
| ALDEL FINANCIAL ACQ CRP; TNT ACQ DT: 10/9/2022; CASH: $10.10 | 01407X104 | CL A COM | 1,490 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 854 | $15,000 | thousands by filing date | |
| IMPACT SHARES NAACP MINORITY EMPOWERMENT ETF | 45259A209 | ETF | 475 | $15,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 700 | $15,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E737 | CMN | 400 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 500 | $15,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 1,163 | $15,000 | thousands by filing date | |
| SHIP FIN INTL LTD | 824689AG8 | NOTE 4.875% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 13,000 | $15,000 | thousands by filing date | principal |
| GLEN BURNIE BANCORP | 377407101 | COM | 1,259 | $15,000 | thousands by filing date | |
| NISUN INTL ENT DVPMT GP CO L | G6593L106 | COM | 1,283 | $15,000 | thousands by filing date | |
| CHEER HLDG INC | G39973113 | *W EXP 02/13/202 | 220,970 | $15,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y116 | CSI300 CHINA1X | 877 | $15,000 | thousands by filing date | |
| ROSS ACQUISITION CORP II | G7641C106 | SHS CL A | 1,500 | $15,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 29,470 | $15,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W630 | MEDIA ENTRNMNT | 400 | $15,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 14,000 | $15,000 | thousands by filing date | principal |
| INNOVATOR ETFS TR | 45782C193 | CMN | 485 | $15,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D108 | SHS | 1,479 | $15,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 6,677 | $15,000 | thousands by filing date | |
| ECP ENVIRONMENTAL GW OPT COR | 26829T209 | UNIT 03/01/2026 | 1,500 | $15,000 | thousands by filing date | |
| PANBELA THERAPEUTICS INC | 69833Q100 | COM | 6,800 | $15,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 1,500 | $15,000 | thousands by filing date | |
| QUHUO LTD | 74841Q100 | ADS | 5,765 | $15,000 | thousands by filing date | |
| WEIDAI LTD | 94861A108 | SPONS ADS | 20,124 | $15,000 | thousands by filing date | |
| EDGEWISE THERAPEUTICS INC | 28036F105 | COM | 866 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 156 | $14,000 | thousands by filing date | |
| SMITH MIDLAND CORP | 832156103 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 330 | $14,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H260 | MONA AM INCO ETF | 559 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 270 | $14,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 4,453 | $14,000 | thousands by filing date | |
| Jaws Mustang Acquisition Corp | G50737124 | Warrant | 12,462 | $14,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC COMMON SHARES | Y67305121 | Stock | 2,656 | $14,000 | thousands by filing date | |
| IMAC HLDGS INC | 44967K104 | COM | 9,628 | $14,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 3,913 | $14,000 | thousands by filing date | |
| INTEGRA RES CORP | 45826T301 | COM NEW | 6,050 | $14,000 | thousands by filing date | |
| STATERA BIOPHARMA INC | 857561104 | COM | 6,000 | $14,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 10,871 | $14,000 | thousands by filing date | |
| VIVEON HEALTH ACQUISITION CO | 92853V205 | UNIT 99/99/9999 | 1,364 | $14,000 | thousands by filing date | |
| CRUCIBLE ACQUISITION CORP | 22877P207 | UNIT 12/26/2025 | 1,400 | $14,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 4,455 | $14,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 9,260 | $14,000 | thousands by filing date | |
| AUTHID INC | 46264C206 | COM NEW | 1,330 | $14,000 | thousands by filing date | |
| ATLAS CREST INVESTMENT CORP | 049287204 | UNIT 99/99/9999 | 1,386 | $14,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W205 | UNIT 99/99/9999 | 1,307 | $14,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 1,728 | $14,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 487 | $14,000 | thousands by filing date | |
| 23ANDME HOLDING CO WT EXP 061626 | 90138Q116 | Stock | 7,408 | $14,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q204 | Cmn | 1,266 | $14,000 | thousands by filing date | |
| FLEX LNG LTD | G35947202 | SHS | 700 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C862 | INNOVATOR DEEPW | 250 | $13,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 483 | $13,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 2,560 | $13,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 17,634 | $13,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 2,678 | $13,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 965 | $13,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 361 | $13,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 10,000 | $13,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 12,000 | $13,000 | thousands by filing date | principal |
| BENSON HILL INC | 082490111 | WT | 9,536 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 1,131 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B490 | ULTRA MSCI BRAZI | 517 | $13,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 10,419 | $13,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 1,621 | $13,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 3,125 | $13,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 1,595 | $13,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P449 | FUND | 220 | $13,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 683 | $13,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 4,258 | $13,000 | thousands by filing date | |
| CC NEUBERGER PRINCIPAL HOLDN | G1992N118 | UNIT 99/99/9999 | 1,334 | $13,000 | thousands by filing date | |
| INVESTMENT MANAGERS SER TR | 46143U849 | KNWLDL LD ETF | 272 | $13,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BEAR 2X SHARES | 25460E554 | ETF | 974 | $13,000 | thousands by filing date | |
| GORES METROPOULOS II INC | 382873206 | UNIT 01/31/2028 | 1,252 | $13,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 347 | $12,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D606 | LNG DUR OPRTUN | 432 | $12,000 | thousands by filing date | |
| NORTHERN LTS FD TR III | 66538R730 | HCM DEFEN 500 | 296 | $12,000 | thousands by filing date | |
| QUIPT HOME MEDICAL CORP | 74880P104 | COM | 2,000 | $12,000 | thousands by filing date | |
| IMMURON LTD | 45254U101 | SPONSORED ADR | 3,121 | $12,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 630 | $12,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 562 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q282 | CARBON TRANITIN | 200 | $12,000 | thousands by filing date | |
| ELEVATION ONCOLOGY INC COM | 28623U101 | Stock | 1,580 | $12,000 | thousands by filing date | |
| VITRU LTD | G9440D103 | COM | 730 | $12,000 | thousands by filing date | |
| AEQUI ACQUISITION CORP | 00775W110 | *W EXP 11/30/202 | 20,000 | $12,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 10,600 | $12,000 | thousands by filing date | |
| PIONEER MERGER CORP | G7S24C129 | UNIT 99/99/9999 | 1,109 | $12,000 | thousands by filing date | |
| FFBW INC MD | 30260M103 | COM | 1,001 | $12,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 110,471 | $12,000 | thousands by filing date | |
| RECON TECHNOLOGY LTD | G7415M124 | COMMON | 4,270 | $12,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379AA9 | NOTE | 15,000 | $12,000 | thousands by filing date | principal |
| GLORY STAR NEW MED GP HLDG L | G39973105 | SHS | 7,031 | $12,000 | thousands by filing date | |
| HILLMAN SOLUTIONS CORP | 431636117 | *W EXP 10/01/202 | 4,263 | $12,000 | thousands by filing date | |
| PALISADE BIO INC | 696389105 | COM | 4,675 | $12,000 | thousands by filing date | |
| REGENCELL BIOSCIENCE HLDGS LTD ORDINARY SHARES | G7487R100 | Stock | 503 | $11,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347G804 | K-1 FREE CRD OIL | 186 | $11,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 258 | $11,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 6,558 | $11,000 | thousands by filing date | |
| JOBY AVIATION INC | G65163118 | *W EXP 08/10/202 | 5,153 | $11,000 | thousands by filing date | |
| SPRING VALLEY ACQ CORP | G8377A124 | COMMON STOCK | 15,000 | $11,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 2,289 | $11,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAH1 | NOTE 1.500% 6/1 | 9,000 | $11,000 | thousands by filing date | principal |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 5,940 | $11,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 7,987 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 27,142 | $11,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 396 | $11,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U105 | UNIT 10/15/2025 | 1,041 | $11,000 | thousands by filing date | |
| ROCKLEY PHOTONICS HLDGS LTD | G7614L117 | *W EXP 08/11/202 | 4,466 | $11,000 | thousands by filing date | |
| VIRPAX PHARMACEUTICALS INC | 928251107 | COM | 2,225 | $11,000 | thousands by filing date | |
| VELOCITY ACQUISITION CORP | 92259E104 | COM CL A | 1,088 | $11,000 | thousands by filing date | |
| THUNDER BRDG CAP PRTNRS IV I | 88605L107 | CLASS A COM | 1,119 | $11,000 | thousands by filing date | |
| ARES ACQUISITION CORPORATION | G33032122 | *W EXP 02/02/202 | 13,080 | $11,000 | thousands by filing date | |
| GENERATIONS BANCORP NY INC | 37149G108 | COM | 1,013 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAK3 | NOTE 6.750% 2/1 | 11,000 | $11,000 | thousands by filing date | principal |
| PRIMAVERA CAPITAL ACQUIST CO | G7255E117 | WTS | 13,300 | $11,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 306 | $11,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 5,177 | $11,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP UNIT EX | G23726121 | Stock | 1,046 | $11,000 | thousands by filing date | |
| LISTED FD TR | 53656F441 | mc | 1,003 | $11,000 | thousands by filing date | |
| PROCURE ETF TR I | 74280T201 | LGBTQ+100ESG ETF | 400 | $11,000 | thousands by filing date | |
| TIDAL ETF TR | 886364603 | RPAR RISK PARI | 400 | $10,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,685 | $10,000 | thousands by filing date | |
| PACER FDS TR | 69374H873 | DEVELOPED MRKT | 322 | $10,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 2,714 | $10,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,988 | $10,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 801 | $10,000 | thousands by filing date | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 518 | $10,000 | thousands by filing date | |
| STRATEGY SHS | 86280R506 | NS 7HANDL IDX | 401 | $10,000 | thousands by filing date | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 3,000 | $10,000 | thousands by filing date | principal |
| ARQIT QUANTUM INC | G0567U119 | WTS | 5,000 | $10,000 | thousands by filing date | |
| LISTED FDS TR | 53656F706 | ROUNDHILL VIDEO | 406 | $10,000 | thousands by filing date | |
| AKSO HEALTH GROUP | 98422P108 | ADS | 4,587 | $10,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 1,550 | $10,000 | thousands by filing date | |
| GYRODYNE LLC | 403829104 | COM | 780 | $10,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 373 | $10,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 410 | $10,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 2,064 | $10,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 950 | $10,000 | thousands by filing date | |
| A K A BRANDS HLDG CORP COM SHS | 00152K101 | Stock | 1,131 | $10,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753UAB2 | NOTE 3.500% 9/1 | 8,000 | $10,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 10,000 | $10,000 | thousands by filing date | principal |
| FOCUS UNVL INC | 34417J104 | COM | 1,143 | $10,000 | thousands by filing date | |
| BARCLAYS BANK | 06742A750 | IPATH S&P MLP | 825 | $10,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 400 | $10,000 | thousands by filing date | |
| BILANDER ACQUISITION CORP | 09001T106 | CL A COM | 1,000 | $10,000 | thousands by filing date | |
| ENSYSCE BIOSCIENCES INC | 293602108 | COM | 3,269 | $10,000 | thousands by filing date | |
| FOREST ROAD ACQUISITION COR | 34619V202 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 9,190 | $10,000 | thousands by filing date | |
| FREEDOM ACQUISITION I CORP | G3663X102 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| MEDTECH ACQUISITION CORP | 58507N204 | UNIT 12/18/2025 | 1,000 | $10,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 1,133 | $10,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 9,050 | $10,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 21,084 | $10,000 | thousands by filing date | |
| IRON SPARK I INC | 46301G103 | CMN | 1,077 | $10,000 | thousands by filing date | |
| ATLANTIC AVE ACQUISITION COR | 04906P101 | CMN | 998 | $10,000 | thousands by filing date | |
| H I G ACQUISITION CORP | G44898107 | CMN | 1,004 | $10,000 | thousands by filing date | |
| VIVOS THERAPEUTICS INC | 92859E108 | COM | 2,530 | $10,000 | thousands by filing date | |
| FG FINANCIAL GROUP INC | 30259W104 | COM | 2,002 | $10,000 | thousands by filing date | |
| COLICITY INC UNIT EX 022426 | 194170205 | Stock | 1,000 | $10,000 | thousands by filing date | |
| CONCORD ACQUISITION CORP | 206071201 | UNIT 12/28/2025 | 900 | $10,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 302 | $10,000 | thousands by filing date | |
| CYXTERA TECHNOLOGIES INC | 23284C110 | *W EXP 09/10/202 | 4,839 | $10,000 | thousands by filing date | |
| ION ACQUISITION CORP 2 LTD | G49393120 | UNIT 99/99/9999 | 1,000 | $10,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 1,002 | $10,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 358 | $9,000 | thousands by filing date | |
| BEL FUSE INC CL A | 077347201 | COMMON STOCK | 607 | $9,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,798 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 153 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 500 | $9,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 564 | $9,000 | thousands by filing date | |
| RAPID MICRO BIOSYSTEMS INC | 75340L104 | CLASS A COM | 475 | $9,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 2,399 | $9,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 950 | $9,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q510 | ACTIVE EQTY OPPT | 200 | $9,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 2,100 | $9,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 3,284 | $9,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 375 | $9,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 716 | $9,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 378 | $9,000 | thousands by filing date | |
| RA MED SYS INC | 74933X203 | COM | 3,000 | $9,000 | thousands by filing date | |
| ONION GLOBAL LTD | 68277G107 | SPONSORED ADS | 1,000 | $9,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 10,000 | $9,000 | thousands by filing date | principal |
| AUDDIA INC | 05072K107 | COM | 3,891 | $9,000 | thousands by filing date | |
| HUIZE HLDG LTD | 44473E105 | SPONSORED ADS | 3,732 | $9,000 | thousands by filing date | |
| LISTED FD TR | 53656F466 | MORGAN CREEK | 505 | $9,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 5,539 | $9,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 900 | $9,000 | thousands by filing date | |
| MIDWEST HLDG INC | 59833J206 | COM NEW | 228 | $9,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPT | G0411R114 | *W EXP 10/29/202 | 11,072 | $9,000 | thousands by filing date | |
| STRATIM CLOUD ACQUISITION CO | 86309R206 | UNIT 03/05/2026 | 900 | $9,000 | thousands by filing date | |
| BIT ORIGIN LTD | G21621100 | SHS | 8,344 | $9,000 | thousands by filing date | |
| BLUE OWL CAPITAL INC | 09581B111 | *W EXP 05/19/202 | 1,851 | $9,000 | thousands by filing date | |
| CYNERGISTEK INC | 23258P105 | COM | 5,136 | $9,000 | thousands by filing date | |
| PROCEPT BIOROBOTICS CORP COM | 74276L105 | Stock | 200 | $8,000 | thousands by filing date | |
| BLACKROCK ETF TRUST | 09290C509 | ISHA US AWAR ETF | 169 | $8,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 1,431 | $8,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072794 | FOCUSED LRG CAP | 132 | $8,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 800 | $8,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 2,547 | $8,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 2,123 | $8,000 | thousands by filing date | |
| ACUMEN PHARMACEUTICALS INC | 00509G209 | CMN | 569 | $8,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,172 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 185 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G823 | DAIL ROBO AR ETF | 176 | $8,000 | thousands by filing date | |
| CRYO-CELL INTL INC | 228895108 | COM | 700 | $8,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y529 | DORSY SHRT ETF | 934 | $8,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 1,503 | $8,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 218 | $8,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 6,000 | $8,000 | thousands by filing date | principal |
| PROSHARES TR | 74347G556 | FUND | 485 | $8,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 350 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 757 | $8,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 3,080 | $8,000 | thousands by filing date | |
| DOLPHIN ENTMT INC | 25686H209 | COM NEW | 691 | $8,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 14,100 | $8,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 5,513 | $8,000 | thousands by filing date | |
| FORTRESS CAPITAL ACQUISITION | G36427113 | UNIT 99/99/9999 | 812 | $8,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505764 | CAPITAL LINK GBL | 200 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 150 | $8,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 185 | $8,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 6,389 | $8,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 6,000 | $8,000 | thousands by filing date | |
| DPCM CAPITAL, INC. | 23344P200 | COM | 800 | $8,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,037 | $7,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 2,232 | $7,000 | thousands by filing date | |
| FIRST NATIONAL CORP VA | 32106V107 | COMMON STOCK | 313 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E461 | PURBTA MSCI US | 149 | $7,000 | thousands by filing date | |
| BRILLIANT EARTH GROUP INC | 109504100 | CMN | 533 | $7,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 230 | $7,000 | thousands by filing date | |
| OMEGA THERAPEUTICS INC | 68217N105 | COMMON STOCK | 396 | $7,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 4,000 | $7,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 4,000 | $7,000 | thousands by filing date | principal |
| RH | 74967XAA1 | BOND | 2,000 | $7,000 | thousands by filing date | principal |
| HOME PT CAPITAL INCORPORATED | 43734L106 | COM | 1,667 | $7,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G106 | COM | 957 | $7,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 476 | $7,000 | thousands by filing date | |
| NULL | 032108854 | NULL | 352 | $7,000 | thousands by filing date | |
| LATCH INC | 51818V114 | *W EXP 06/04/202 | 2,220 | $7,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678507 | COM | 1,730 | $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 |
| BIOMERICA INC | 09061H307 | COM NEW | 1,645 | $7,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 2,265 | $7,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 1,823 | $7,000 | thousands by filing date | |
| LUCID GROUP INC | 549498111 | W EXP 07/23/202 | 566 | $7,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 9,662 | $7,000 | thousands by filing date | |
| COLICITY INC | 194170106 | COM CL A | 632 | $7,000 | thousands by filing date | |
| ENVIRONMENTAL IMPACT ACQU CO | 29408N106 | COM CL A | 653 | $7,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 686 | $7,000 | thousands by filing date | |
| LIFESCI ACQUISITION II CORP | 53229E103 | COM | 755 | $7,000 | thousands by filing date | |
| Athena Technology Acquisition | 04687A109 | COM CLASS A | 653 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 70 | $6,000 | thousands by filing date | |
| SYLVAMO CORP | 871332102 | COMMON STOCK | 200 | $6,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C680 | US EQTY PWR BF | 221 | $6,000 | thousands by filing date | |
| FURY GOLD MINES LTD | 36117T100 | COM | 9,600 | $6,000 | thousands by filing date | |
| GAIN THERAPEUTICS INC | 36269B105 | COM | 800 | $6,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 1,389 | $6,000 | thousands by filing date | |
| Lexaria Bioscience Corp Com New | 52886N406 | Common Stock | 1,000 | $6,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 701 | $6,000 | thousands by filing date | |
| CLPS INCORPORATION | G31642104 | COM | 2,000 | $6,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 760 | $6,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 2,000 | $6,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| BENSON HILL INC | 082490103 | COM | 838 | $6,000 | thousands by filing date | |
| EPIPHANY TECHNOLOGY ACQUISIT | 29429X109 | COM | 611 | $6,000 | thousands by filing date | |
| BIOMX INC | 09090D103 | COM | 2,000 | $6,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 2,398 | $6,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 381 | $6,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 5,000 | $6,000 | thousands by filing date | principal |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 200 | $6,000 | thousands by filing date | |
| NULL | 84862C203 | NULL | 3,200 | $6,000 | thousands by filing date | |
| EVOLVE TRANSITION INFRASTRU | 30053M104 | COM UNITS REP B | 5,798 | $6,000 | thousands by filing date | |
| IM CANNABIS CORP | 44969Q208 | COM NEW | 1,700 | $6,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 5,000 | $6,000 | thousands by filing date | principal |
| HEALTH SCIENCES ACQ CORP 2 | G4411D109 | ORD SHS | 657 | $6,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B112 | *W EXP 11/15/202 | 10,000 | $6,000 | thousands by filing date | |
| WAVERLEY CAPITAL ACQUIS CORP | G06536125 | UNIT 99/99/9999 | 600 | $6,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 300 | $6,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 1,496 | $6,000 | thousands by filing date | |
| CONVEY HEALTH SOLUTIONS HLDG | 21258C108 | CMN | 724 | $6,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 506 | $6,000 | thousands by filing date | |
| KRANESHARES TR | 500767207 | CICC CHINA 100 | 200 | $6,000 | thousands by filing date | |
| NOVUS CAPITAL CORPORATION II | 67012W112 | *W EXP 02/02/202 | 5,629 | $6,000 | thousands by filing date | |
| FANGDD NETWORK GROUP LTD | 30712L109 | SPONSORED ADS | 5,000 | $6,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP | G0682V125 | *W EXP 99/99/999 | 9,010 | $6,000 | thousands by filing date | |
| ARK GLOBAL ACQUISITION CORP | 66981N202 | COM | 600 | $6,000 | thousands by filing date | |
| SPARTACUS ACQ CORP; TNT ACQ DT: 7/15/2022; CASH: $10.15 | 84677L109 | CL A | 551 | $6,000 | thousands by filing date | |
| YUCAIPA ACQ CRP; TNT ACQ DT; 8/4/2022; CASH: $10.00 | G9879L105 | COM | 584 | $6,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 67 | $5,000 | thousands by filing date | |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 60 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 105 | $5,000 | thousands by filing date | |
| THE REAL BROKERAGE INC | 75585H206 | COM NEW | 2,500 | $5,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 950 | $5,000 | thousands by filing date | |
| NORTHERN LTS FD TR III | 66538R748 | HCM DEFND 100 | 100 | $5,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN IN | 76665T102 | COM | 269 | $5,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,007 | $5,000 | thousands by filing date | |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N103 | US EQT PLS CNVEX | 150 | $5,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 101 | $5,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 534 | $5,000 | thousands by filing date | |
| Karooooo Ltd | Y4600W108 | COM | 153 | $5,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 10,000 | $5,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 1,049 | $5,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 1,900 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347R172 | ULTRA 20YR TRE | 100 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 141 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 155 | $5,000 | thousands by filing date | |
| GLIMPSE GROUP INC | 37892C106 | COM | 774 | $5,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 1,157 | $5,000 | thousands by filing date | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 884 | $5,000 | thousands by filing date | |
| AGILETHOUGHT INC 11.5000EXP01/10/2025 | 00857F118 | WARR | 5,200 | $5,000 | thousands by filing date | |
| TIDAL TRUST I | 886364405 | SOFI SOCIAL 50 | 125 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-21-000571 | this filing | 2021-11-15 | acceptance time not in the bulk data set |