13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-10, with 4,877 holding rows worth $133,140,705,000.
- Accession
- 0000950123-20-001255
- Filer
- CIK 927971
- Filed
- 2020-02-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 15,385 entries on the cover page, a total value of $133,140,705,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $133,140,705,000 with VALUE read as thousands by filing date, 13F file number 028-07640. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBMO HARRIS BANK N.A.
- included managerBMO ASSET MANAGEMENT CORP.
- included managerSTOKER OSTLER WEALTH ADVISORS, INC.
- included managerBMO NESBITT BURNS INC.
- included managerBMO PRIVATE INVESTMENT COUNSEL INC.
- included managerBMO ASSET MANAGEMENT INC.
- included managerF&C ASSET MANAGEMENT
- included managerBMO HARRIS FINANCIAL ADVISORS, INC.
- included managerBMO FAMILY OFFICE LLC
- included managerBANK OF MONTREAL IRELAND P.L.C.
- included managerPYRFORD INTERNATIONAL LIMITED
- included managerBMO CAPITAL MARKETS CORP.
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 |
|---|---|---|---|---|---|---|
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 724 | $13,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 241 | $13,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 6,126 | $13,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 957 | $13,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 2,643 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 456 | $13,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 6,285 | $13,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 2,849 | $13,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 8,112 | $13,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,309 | $13,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 2,500 | $12,000 | thousands by filing date | put |
| DYNATRACE INC COM NEW | 268150109 | Stock | 475 | $12,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 4,070 | $12,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 4,587 | $12,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 967 | $12,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 898 | $12,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 724 | $12,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 412 | $12,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 1,124 | $12,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,118 | $12,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 2,400 | $12,000 | thousands by filing date | put |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 980 | $12,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 859 | $12,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 1,206 | $12,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 2,599 | $12,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,867 | $12,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 37,935 | $12,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,094 | $12,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 2,034 | $12,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 2,180 | $12,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 8,286 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 1,000 | $12,000 | thousands by filing date | |
| Vanguard ESG International Stock ETF | 921910725 | SHS | 215 | $11,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 355 | $11,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 500 | $11,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 675 | $11,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 417 | $11,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 905 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 763 | $11,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 205 | $11,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 825 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 839 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 762 | $11,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,980 | $11,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 822 | $11,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 2,084 | $11,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,319 | $11,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,547 | $11,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 288 | $11,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 350 | $11,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 747 | $11,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 652 | $11,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 7,427 | $11,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 7,521 | $11,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 2,811 | $11,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 1,748 | $11,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 559 | $11,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 582 | $11,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 1,437 | $11,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 140 | $10,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 218 | $10,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 5,491 | $10,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,773 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 200 | $10,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,671 | $10,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 349 | $10,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,627 | $10,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 224 | $10,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 65 | $10,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 890 | $10,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 571 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 156 | $10,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 714 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 380 | $10,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 2,000 | $10,000 | thousands by filing date | put |
| VIPER | 92763M105 | COMMON STOCK | 400 | $10,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 370 | $10,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 1,062 | $10,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 853 | $10,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 5,000 | $10,000 | thousands by filing date | principal |
| Pareteum Corporation | 69946T207 | COM | 22,837 | $10,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 8,598 | $10,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 3,600 | $10,000 | thousands by filing date | put |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 8,087 | $10,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 8 | $10,000 | thousands by filing date | principal |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 225 | $9,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 97 | $9,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 500 | $9,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V100 | AEROSPACE DEFN | 136 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 150 | $9,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 140 | $9,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 376 | $9,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 598 | $9,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 601 | $9,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 248 | $9,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,054 | $9,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 347 | $9,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 997 | $9,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 978 | $9,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,737 | $9,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 2,085 | $9,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 700 | $9,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 596 | $9,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 4,000 | $9,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 228 | $9,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 2,000 | $9,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 3,455 | $9,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 989 | $9,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 1,391 | $9,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 4,557 | $9,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 5,668 | $9,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 1,175 | $9,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 770 | $8,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 230 | $8,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 339 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 3,004 | $8,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 560 | $8,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 2,090 | $8,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 427 | $8,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 803 | $8,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,126 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 500 | $8,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 2,444 | $8,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 586 | $8,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,399 | $8,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 2,000 | $8,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,187 | $8,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,093 | $8,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 3,060 | $8,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 10,000 | $8,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 1,709 | $7,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 447 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 160 | $7,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 580 | $7,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 240 | $7,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 800 | $7,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 1,407 | $7,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,648 | $7,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,894 | $7,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 193 | $7,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 351 | $7,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 628 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 112 | $7,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 393 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 170 | $7,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 1,434 | $7,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 153 | $7,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 430 | $7,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 679 | $7,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 6,577 | $7,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,366 | $7,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 1,057 | $7,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 3,956 | $7,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 7 | $7,000 | thousands by filing date | principal |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 957 | $7,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 75 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 350 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 100 | $6,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 273 | $6,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 1,472 | $6,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 116 | $6,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 420 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 147 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 215 | $6,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 118 | $6,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 451 | $6,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 148 | $6,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 200 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E875 | DORSEY WRGT DVLP | 200 | $6,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 200 | $6,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 406 | $6,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 402 | $6,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 2,971 | $6,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 1,080 | $6,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 916 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 785 | $6,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,538 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 237 | $6,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 3,109 | $6,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 2,739 | $6,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 4,000 | $6,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 3,206 | $6,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 6,108 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 11,603 | $5,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 100 | $5,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 180 | $5,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 300 | $5,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 54 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 327 | $5,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 200 | $5,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 589 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 335 | $5,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 219 | $5,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 983 | $5,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 6,310 | $5,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 624 | $5,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 1,659 | $5,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 200 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 270 | $5,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 12,108 | $5,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 6,953 | $5,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 4,000 | $5,000 | thousands by filing date | put |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 5,000 | $5,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 2,760 | $5,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 122 | $5,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 3,999 | $5,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 1,411 | $5,000 | thousands by filing date | |
| AVANTOR INC | 05352A209 | 6.25 PFD CNV SR | 77 | $5,000 | thousands by filing date | principal |
| CENTRIC BRANDS INC | 15644G104 | COM | 2,141 | $5,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887208 | PFD SHS CONV A | 74 | $5,000 | thousands by filing date | principal |
| POLARITYTE INC | 731094108 | COM | 2,033 | $5,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 173 | $5,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 108 | $4,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 112 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 25 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 64 | $4,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 291 | $4,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 103 | $4,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 271 | $4,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 133 | $4,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 1,726 | $4,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 91 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 115 | $4,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 160 | $4,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 1,223 | $4,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 290 | $4,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 80 | $4,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 1,762 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P522 | FUND | 83 | $4,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 1,026 | $4,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 110 | $4,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 290 | $4,000 | thousands by filing date | |
| UBS AG JERSEY BRH | 902641679 | DJ COMMD ETN39 | 265 | $4,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 944 | $4,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 5,006 | $4,000 | thousands by filing date | |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 439 | $4,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 455 | $4,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 125 | $4,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 198 | $4,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 4,991 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 125 | $4,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 2,400 | $4,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 3,078 | $4,000 | thousands by filing date | |
| 10X GENOMICS INC CL A COM | 88025U109 | Stock | 40 | $3,000 | thousands by filing date | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 91 | $3,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 75 | $3,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 32 | $3,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 7 | $3,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 219 | $3,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 100 | $3,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 647 | $3,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 211 | $3,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 173 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 3,209 | $3,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 7,716 | $3,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 4,000 | $3,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 205 | $3,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 1,731 | $3,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 4,023 | $3,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,000 | $3,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 1,600 | $3,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 1,107 | $3,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 2,315 | $3,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 2,216 | $3,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 5,500 | $3,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 5,500 | $3,000 | thousands by filing date | put |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 67 | $2,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 73 | $2,000 | thousands by filing date | put |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 217 | $2,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 79 | $2,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 215 | $2,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 730 | $2,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 34 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 30 | $2,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 31 | $2,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 217 | $2,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 834 | $2,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 310 | $2,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 700 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 100 | $2,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 2,943 | $2,000 | thousands by filing date | |
| GLOBAL X INTERNET OF THINGS ETF | 37954Y780 | UIT EXCHANGE TRADED | 90 | $2,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,310 | $2,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 63 | $2,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 24 | $2,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 308 | $2,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 300 | $2,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 300 | $2,000 | thousands by filing date | put |
| ROSETTA RES INC COM | 777385105 | Stock | 1,354 | $2,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 232 | $2,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 345 | $2,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 882 | $2,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 5,300 | $2,000 | thousands by filing date | put |
| DAVIDSTEA INC | 238661102 | COM | 1,481 | $2,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 600 | $2,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 2,400 | $2,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 7,693 | $2,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 165 | $2,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 5,668 | $2,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 589 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 100 | $2,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 33 | $1,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 121 | $1,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 50 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X578 | EM EX ST-OWNED | 37 | $1,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 18 | $1,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 45 | $1,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 117 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 41 | $1,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 15 | $1,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 51 | $1,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 13 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 800 | $1,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 41 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 20 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 30 | $1,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 142 | $1,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 75 | $1,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 1,500 | $1,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 15 | $1,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 6,100 | $1,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 330 | $1,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 100 | $1,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 500 | $1,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 1,000 | $1,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 32 | $1,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 2,186 | $1,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 30 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 50 | $1,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 529 | $1,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 93 | $1,000 | thousands by filing date | |
| CELYAD ONCOLOGY SA | 151205200 | ADR | 87 | $1,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 2,782 | $1,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y706 | ULTRA BLOOMBERG | 100 | $1,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 350 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Zedge Inc | 98923T104 | COM | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIGLARI HLDGS INC | 08986R408 | CMN | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| MICROBOT MED INC | 59503A204 | COM NEW | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOL-MYERS SQUIBB CO | 110122140 | RIGHT 12/30/2030 | 90 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIERRA METALS INC | 82639W106 | COM | 128 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASANKO GOLD INC | 04341Y105 | COM | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 34 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R125 | WARR | 36 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALIMERA SCIENCES INC | 016259202 | COM | 33 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMAGIN CORP | 29076N206 | COM | 610 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 207 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENNEY J C INC | 708160106 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| JUST ENERGY GROUP INC | 48213W101 | COM | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BROADVISION INC | 111412706 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIM IMMUNOTECH INC | 00901B105 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AETERNA ZENTARIS INC | 007975402 | COM | 44 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 66 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASHFORD INC | 044104107 | COM | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 1,171 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUORUM HEALTH CORP | 74909E106 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 300 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDOLOGIX INC | 29266S304 | COM NEW | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE NASSAU BRH | 22542D258 | VELOCITY SHS NEW | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TOP SHIPS INC | Y8897Y164 | COM NEW | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 31 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APTINYX INC | 03836N103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JAGUAR HEALTH INC | 47010C409 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELMAR PHARMACEUTICALS INC | 247078306 | COM | 427 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-001255 | this filing | 2020-02-10 | acceptance time not in the bulk data set |