13F-HR/A filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR/A for the quarter ended 2018-06-30, filed 2020-04-21, with 5,431 holding rows worth $200,800,774,000.
- Accession
- 0000948046-20-000075
- Filer
- CIK 948046
- Filed
- 2020-04-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A combination report, amendment of type new holdings, 21,882 entries on the cover page, a total value of $200,800,774,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $200,800,774,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRussell Investments Group, Ltd.028-17598
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDWS Investment GmbH028-10155
- included managerDWS INVESTMENT MANAGEMENT AMERICAS, INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Bank (Suisse) SA028-11509
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerDWS Investments UK Ltd028-13988
- included managerDBX Advisors LLC028-18169
- included managerDWS Investments Hong Kong Ltd028-19303
- included managerDWS Investment S.A.028-19307
- included managerDWS International GmbH028-19304
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 |
|---|---|---|---|---|---|---|
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 65,578 | $905,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 26,475 | $902,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 78,873 | $900,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 90,351 | $900,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 43,070 | $893,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 118,723 | $893,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 204,779 | $893,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A110 | UNIT 99/99/9999 | 85,600 | $893,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 55,946 | $892,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 33,198 | $890,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 14,601 | $890,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 31,097 | $887,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 12,072 | $886,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 29,197 | $886,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 55,022 | $879,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,836 | $878,000 | thousands by filing date | call |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 36,815 | $878,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 117,593 | $877,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 28,423 | $877,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 31,356 | $877,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 44,922 | $877,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 66,868 | $876,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 196,623 | $875,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 57,197 | $872,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 44,296 | $872,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 99,679 | $871,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 6,384 | $870,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 430,617 | $870,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 780,000 | $868,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 950,000 | $862,000 | thousands by filing date | principal |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 87,399 | $861,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 57,918 | $860,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 34,959 | $859,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 36,439 | $859,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 40,474 | $858,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 7,497 | $857,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 23,982 | $857,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E537 | NATL AMT MUNI | 34,060 | $856,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 66,791 | $854,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 26,384 | $852,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 751,000 | $852,000 | thousands by filing date | principal |
| HARBORONE BANCORP INC | 41165F101 | COM | 44,841 | $850,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 500,000 | $850,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 12,416 | $845,000 | thousands by filing date | put |
| MESABI TR | 590672101 | CTF BEN INT | 34,400 | $845,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 36,344 | $845,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 177,847 | $845,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 10,292 | $845,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 30,500 | $843,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 198,003 | $842,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 26,083 | $838,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 270,035 | $837,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 92,043 | $836,000 | thousands by filing date | |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 30,104 | $836,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 90,615 | $835,000 | thousands by filing date | |
| REIS INC | 75936P105 | COM | 38,268 | $834,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 79,943 | $833,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 200,908 | $833,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 21,949 | $832,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 25,371 | $830,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 55,172 | $827,000 | thousands by filing date | |
| TPG PACE ENERGY HLDGS CORP | 872656111 | *W EXP 99/99/999 | 300,718 | $827,000 | thousands by filing date | call |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 27,027 | $825,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 118,666 | $825,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 58,011 | $824,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 29,331 | $823,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 51,771 | $823,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 252,000 | $823,000 | thousands by filing date | call |
| SYSTEMAX INC | 871851101 | COM | 23,994 | $823,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 124,586 | $821,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 23,380 | $819,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 263,897 | $818,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 825,000 | $818,000 | thousands by filing date | principal |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 22,624 | $815,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 62,106 | $814,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 27,612 | $813,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 22,916 | $813,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 60,439 | $813,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 42,595 | $813,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 123,918 | $812,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 556,214 | $812,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 4,975 | $809,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 72,525 | $809,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 97,883 | $805,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 23,313 | $802,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 65,041 | $797,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 99,914 | $797,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 141,291 | $797,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 37,541 | $795,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 35,862 | $793,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 363,527 | $793,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 41,468 | $791,000 | thousands by filing date | |
| SENDGRID INC | 816883102 | COM | 29,747 | $789,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 52,840 | $787,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 37,859 | $783,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 65,052 | $781,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 59,980 | $779,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 257,654 | $778,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 75,820 | $777,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 22,225 | $776,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 18,168 | $775,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 61,619 | $773,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 51,112 | $772,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 53,821 | $769,000 | thousands by filing date | |
| United Community Bancorp | 90984R101 | Common Stock | 28,257 | $769,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 127,976 | $768,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 23,093 | $767,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 24,336 | $766,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 104,874 | $765,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 20,000 | $763,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 26,654 | $763,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 224,190 | $762,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 31,620 | $762,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 69,013 | $761,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 25,084 | $759,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 37,944 | $757,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 47,840 | $755,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 96,920 | $755,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 214,414 | $744,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 9,730 | $743,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 147,630 | $738,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 335,224 | $737,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 10,971 | $736,000 | thousands by filing date | put |
| STRATUS PPTYS INC | 863167201 | COM NEW | 24,005 | $733,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 45,850 | $732,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 122,057 | $732,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 46,840 | $731,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 468,067 | $730,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 34,863 | $729,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 4,066 | $725,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 25,200 | $725,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827110 | *W EXP 06/27/202 | 439,034 | $724,000 | thousands by filing date | call |
| OCI PARTNERS LP | 67091N108 | COM UNIT REP LP | 62,900 | $723,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W115 | *W EXP 06/01/202 | 900,000 | $720,000 | thousands by filing date | call |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 13,600 | $719,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 22,211 | $719,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 27,677 | $719,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 79,738 | $718,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 44,392 | $715,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 17,400 | $715,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 276,206 | $712,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 26,712 | $711,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 44,685 | $708,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 767,000 | $707,000 | thousands by filing date | principal |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 41,368 | $706,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 62,831 | $704,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 64,116 | $704,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 3,809 | $703,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 27,673 | $703,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 12,497 | $701,000 | thousands by filing date | put |
| LSB INDS INC | 502160104 | COM | 132,246 | $701,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 57,450 | $701,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 17,326 | $699,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 42,731 | $699,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 45,600 | $699,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 101,284 | $696,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 116,617 | $695,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 131,796 | $695,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 145,153 | $694,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 26,953 | $692,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 41,404 | $691,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N824 | VCSHS US EQ INCM | 14,920 | $691,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 69,233 | $691,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 48,476 | $690,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 143,200 | $689,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 4,229 | $686,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 100,751 | $685,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 61,226 | $685,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 21,399 | $685,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 97,721 | $684,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 26,263 | $683,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 5,818 | $682,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 26,672 | $681,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 14,441 | $680,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 52,401 | $680,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 47,239 | $680,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTON CORP I | 42588L113 | *W EXP 06/15/202 | 472,452 | $680,000 | thousands by filing date | call |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 29,824 | $679,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 36,377 | $679,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 126,281 | $675,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 1,812,825 | $674,000 | thousands by filing date | |
| DOWDUPONT INC | 26078J100 | COM | 10,174 | $671,000 | thousands by filing date | call |
| Vanguard Small-Cap ETF | 922908751 | SHS | 4,306 | $670,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 32,845 | $670,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 96,282 | $667,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 20,891 | $666,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 124,355 | $665,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 103,957 | $664,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 68,227 | $663,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 84,889 | $662,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 43,671 | $662,000 | thousands by filing date | |
| ENERGY XXI GULF COAST INC | 29276K101 | COM | 74,379 | $658,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 168,423 | $657,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 54,616 | $656,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 970,175 | $655,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 37,903 | $655,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 40,042 | $652,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 69,711 | $651,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 10,400 | $650,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 26,690 | $650,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 6,581 | $649,000 | thousands by filing date | put |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 500,000 | $649,000 | thousands by filing date | principal |
| Bank of America Corp | 060505104 | COM | 22,958 | $647,000 | thousands by filing date | put |
| ACHAOGEN INC | 004449104 | COM | 74,662 | $647,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 11,967 | $645,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 28,906 | $645,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 26,363 | $644,000 | thousands by filing date | |
| TWO RIV BANCORP | 90207C105 | COMMON | 33,603 | $643,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 33,290 | $643,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 14,576 | $641,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 56,500 | $640,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 91,705 | $640,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 17,914 | $639,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 13,569 | $637,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 222,582 | $637,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 23,166 | $637,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 31,113 | $632,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 12,574 | $631,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 21,576 | $630,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 25,836 | $629,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 107,434 | $629,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 100,523 | $627,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 73,746 | $627,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 5,000 | $625,000 | thousands by filing date | put |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 12,003 | $622,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 46,559 | $622,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 10,781 | $620,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 15,893 | $619,000 | thousands by filing date | put |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 506,000 | $617,000 | thousands by filing date | principal |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 15,562 | $616,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 16,690 | $615,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 620,000 | $615,000 | thousands by filing date | principal |
| SECUREWORKS CORP | 81374A105 | CL A | 49,320 | $614,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 33,820 | $613,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 26,354 | $612,000 | thousands by filing date | put |
| CAMBRIDGE BANCORP | 132152109 | COM | 7,077 | $612,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 41,348 | $611,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 48,098 | $608,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 195,013 | $608,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 76,254 | $607,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 21,004 | $606,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 147,444 | $605,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 33,794 | $605,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 7,313 | $604,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 33,616 | $604,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 12,079 | $601,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 15,452 | $599,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 352 | $598,000 | thousands by filing date | call |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 11,620 | $597,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 149,503 | $597,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 373,029 | $597,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 16,344 | $595,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 525,000 | $592,000 | thousands by filing date | principal |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 31,582 | $591,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 55,280 | $591,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N881 | VCSHS INTL HG DV | 17,279 | $591,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 39,655 | $590,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 517,000 | $589,000 | thousands by filing date | principal |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 112,049 | $588,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 111,651 | $587,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 42,441 | $585,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 70,851 | $585,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 307,329 | $584,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 493,000 | $584,000 | thousands by filing date | principal |
| MITEK SYS INC | 606710200 | COM NEW | 65,379 | $582,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 26,271 | $582,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 141,109 | $582,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 104,531 | $580,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 18,018 | $579,000 | thousands by filing date | call |
| TRANSCAT INC | 893529107 | COM | 30,640 | $579,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,476 | $578,000 | thousands by filing date | put |
| LIMONEIRA CO | 532746104 | COM | 23,445 | $577,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 43,924 | $576,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 21,464 | $575,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 303,988 | $575,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 125,006 | $575,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 61,836 | $575,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 56,400 | $575,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 59,457 | $573,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 81,021 | $572,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 472,000 | $569,000 | thousands by filing date | principal |
| ALLOT LTD | M0854Q105 | SHS | 105,689 | $566,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 16,426 | $564,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 14,113 | $563,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 481,192 | $563,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 5,292 | $562,000 | thousands by filing date | put |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 74,046 | $562,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 227,617 | $560,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 110,297 | $559,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 2,813 | $557,000 | thousands by filing date | call |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 54,055 | $557,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 97,138 | $554,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 33,401 | $554,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 30,916 | $552,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 18,873 | $551,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 129,732 | $551,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 3,286 | $550,000 | thousands by filing date | call |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 35,561 | $548,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 37,851 | $548,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 73,337 | $547,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 101,378 | $547,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 26,648 | $547,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 66,282 | $544,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 307,361 | $544,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 181,980 | $542,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 9,767 | $541,000 | thousands by filing date | call |
| SOUNDTHINKING INC | 82536T107 | COM | 14,237 | $540,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 53,986 | $540,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 37,983 | $538,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 23,317 | $538,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 10,613 | $538,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 35,436 | $538,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 15,079 | $537,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,141 | $536,000 | thousands by filing date | put |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 54,669 | $533,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 8,207 | $532,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 21,565 | $530,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 53,781 | $527,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 48,198 | $526,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 127,910 | $526,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 58,425 | $526,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 15,377 | $524,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 83,683 | $521,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 29,195 | $519,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 102,113 | $519,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 8,129 | $518,000 | thousands by filing date | call |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 11,773 | $518,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 250,801 | $517,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 33,768 | $514,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 4,645 | $513,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 10,446 | $513,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F201 | UNIT 06/12/2023 | 50,100 | $512,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 72,936 | $511,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 102,276 | $511,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 58,989 | $510,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 517,000 | $510,000 | thousands by filing date | principal |
| AXT INC | 00246W103 | COM | 72,275 | $509,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 54,557 | $509,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 42,207 | $507,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 23,128 | $504,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 3,703 | $503,000 | thousands by filing date | put |
| PCM INC | 69323K100 | COM | 33,238 | $503,000 | thousands by filing date | |
| WEIBO CORP | G9515TAA6 | DEBT 1.250%11/1 | 500,000 | $503,000 | thousands by filing date | principal |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 4,342 | $502,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 71,323 | $499,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 8,653 | $498,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 1,016,271 | $498,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 465,851 | $498,000 | thousands by filing date | call |
| SIMULATIONS PLUS INC | 829214105 | COM | 22,346 | $497,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 21,101 | $497,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 133,924 | $496,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 50,805 | $495,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 520,000 | $494,000 | thousands by filing date | principal |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 76,291 | $493,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 367,178 | $492,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,134 | $491,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 22,941 | $491,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 61,228 | $491,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 137,175 | $490,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 466,000 | $490,000 | thousands by filing date | principal |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 23,000 | $488,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 98,014 | $488,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 19,557 | $485,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 45,898 | $482,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 298,673 | $481,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 70,113 | $481,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 18,122 | $478,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 948,317 | $477,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 228,128 | $477,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 1,415 | $475,000 | thousands by filing date | put |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 24,898 | $475,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 439,300 | $474,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 28,949 | $474,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 19,845 | $473,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 18,034 | $473,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 18,320 | $472,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 3,265 | $469,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 238,197 | $469,000 | thousands by filing date | |
| AQUANTIA CORP | 03842Q108 | COM | 40,581 | $469,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 15,087 | $467,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 61,962 | $467,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 12,280 | $464,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 13,257 | $464,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 661,000 | $464,000 | thousands by filing date | principal |
| ROCKWELL MED INC | 774374102 | COM | 94,267 | $464,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 34,999 | $463,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 18,747 | $462,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 18,486 | $461,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 13,543 | $459,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,072 | $457,000 | thousands by filing date | put |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 10,285 | $456,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 87,624 | $456,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 12,420 | $455,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,850 | $454,000 | thousands by filing date | call |
| NEWLINK GENETICS CORP | 651511107 | COM | 95,249 | $454,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 14,321 | $451,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 19,594 | $449,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 84,063 | $448,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 19,581 | $448,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 14,119 | $447,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 17,906 | $447,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 205,402 | $444,000 | thousands by filing date | |
| CONVERGEONE HLDGS INC | 212481105 | COM CL A | 47,309 | $444,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 21,405 | $443,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 6,601 | $442,000 | thousands by filing date | put |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 21,837 | $442,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 13,344 | $441,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 51,293 | $441,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 32,884 | $440,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 47,080 | $440,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 38,533 | $439,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 194,020 | $439,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 35,155 | $438,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 31,010 | $437,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E653 | DLY EUR STX 3X | 20,300 | $437,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 8,398 | $436,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 48,300 | $435,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 11,810 | $435,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 22,198 | $435,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 46,249 | $434,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 17,184 | $433,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 265,333 | $433,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 56,403 | $431,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 44,137 | $430,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 24,739 | $429,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 10,116 | $427,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 32,413 | $424,000 | thousands by filing date | put |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 8,912 | $423,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 62,492 | $422,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 10,948 | $422,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 84,292 | $421,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 438,738 | $421,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 108,232 | $420,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 23,537 | $419,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867117 | *W EXP 01/13/202 | 261,765 | $419,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 21,450 | $418,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 49,191 | $418,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 5,632 | $417,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 68,429 | $417,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 8,498 | $417,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 14,449 | $415,000 | thousands by filing date | put |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 34,152 | $415,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 20,350 | $415,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 14,231 | $414,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 5,569 | $413,000 | thousands by filing date | |
| PROSHARES TR II | 74347W460 | PROSHS U/SHAUS | 8,192 | $412,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 8,126 | $411,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 31,041 | $411,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 29,923 | $411,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 138,947 | $411,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 370,000 | $410,000 | thousands by filing date | principal |
| AUDIOCODES LTD | M15342104 | ORD | 52,561 | $409,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 64,200 | $407,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 8,303 | $406,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 11,438 | $406,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 400,000 | $406,000 | thousands by filing date | principal |
| ASTRONOVA INC | 04638F108 | COM | 21,467 | $405,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 97,576 | $405,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 32,611 | $403,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 41,243 | $403,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 33,871 | $402,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 62,743 | $400,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 58,000 | $400,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 10,620 | $399,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 13,807 | $398,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 4,945 | $396,000 | thousands by filing date | call |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 255,150 | $395,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 12,766 | $394,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 80,500 | $394,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 347,878 | $393,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 22,125 | $391,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 9,080 | $390,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 40,528 | $390,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 88,421 | $389,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 1,320 | $387,000 | thousands by filing date | put |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 56,829 | $387,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 44,205 | $387,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 292,570 | $386,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 22,833 | $385,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 71,633 | $385,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 1,573 | $384,000 | thousands by filing date | put |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 23,774 | $384,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 20,133 | $382,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 98,691 | $382,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 34,653 | $381,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 97,226 | $381,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 61,086 | $381,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 8,775,000 | $377,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 17,125 | $376,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 13,521 | $375,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 710,083 | $375,000 | thousands by filing date | principal |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 3,450 | $372,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 11,005 | $372,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 66,481 | $372,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 4,453 | $371,000 | thousands by filing date | call |
| Rafael Holdings Inc Class B | 75062E106 | COM | 40,306 | $371,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 331 | $369,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 5,215 | $369,000 | thousands by filing date | call |
| TOCAGEN INC | 888846102 | COM | 39,489 | $369,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 7,343 | $367,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-18-000096 | superseded | 2018-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000948046-20-000075 | this filing | 2020-04-21 | acceptance time not in the bulk data set |