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 |
|---|---|---|---|---|---|---|
| HIGHPOINT RES CORP | 43114K108 | COM | 21,697 | $37,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,383 | $37,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 814 | $37,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 3,046 | $36,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 13,534 | $36,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 5,360 | $36,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 3,280 | $36,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 3,922 | $36,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 24,216 | $36,000 | thousands by filing date | put |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 1,292 | $35,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 1,402 | $35,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 2,000 | $35,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 175 | $35,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 4,994 | $35,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 1,722 | $35,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 620 | $35,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 1,996 | $35,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 2,811 | $35,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 1,217 | $35,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 866 | $35,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 2,087 | $35,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 3,807 | $35,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,283 | $35,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 2,364 | $34,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 1,793 | $34,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 839 | $34,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 2,535 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 938 | $34,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 2,782 | $34,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,026 | $34,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 8,928 | $34,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 4,247 | $34,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 5,957 | $34,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 5,787 | $34,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 3,168 | $34,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 1,155 | $33,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 1,231 | $33,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 9,342 | $33,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 849 | $33,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 12,072 | $33,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 8,204 | $33,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,964 | $33,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 11,658 | $33,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 5,000 | $33,000 | thousands by filing date | put |
| GERON CORP | 374163103 | COM | 24,073 | $32,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 11,726 | $32,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 2,481 | $32,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 853 | $32,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 2,235 | $32,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,137 | $32,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,066 | $32,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 1,840 | $32,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 5,897 | $32,000 | thousands by filing date | |
| SPARK NETWORKS SE | 846517100 | SPONSORED ADR | 7,000 | $32,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 7,761 | $32,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 23,810 | $31,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 239 | $31,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 1,090 | $31,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 8,780 | $31,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,226 | $31,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 1,054 | $31,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 2,413 | $31,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 1,944 | $31,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 4,466 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 425 | $31,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 515 | $31,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 7,933 | $31,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 3,621 | $31,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 2,527 | $31,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 885 | $31,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 6,488 | $31,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 27,933 | $31,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 5,200 | $31,000 | thousands by filing date | put |
| ISHARES TR | 46429B135 | INT PFD STK FD | 2,000 | $31,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 6,666 | $31,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 1,234 | $31,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 991 | $30,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 1,554 | $30,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 1,025 | $30,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 1,281 | $30,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 1,892 | $30,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 412 | $30,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 570 | $30,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 3,384 | $30,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 855 | $30,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 1,380 | $30,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 2,571 | $30,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 8,047 | $30,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,627 | $30,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 757 | $30,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 4,400 | $30,000 | thousands by filing date | |
| DPW HLDGS INC COM | 26140E600 | Stock | 25,000 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 294 | $29,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 815 | $29,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 2,233 | $29,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 3,732 | $29,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 1,957 | $29,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 6,770 | $29,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 10,575 | $29,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 1,523 | $29,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 1,782 | $29,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 5,321 | $29,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,277 | $29,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,143 | $29,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 3,959 | $29,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,756 | $29,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 5,108 | $29,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 4,000 | $29,000 | thousands by filing date | call |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 6,890 | $29,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,271 | $29,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,750 | $29,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 1,000 | $29,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 7,141 | $29,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 3,457 | $29,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 2,205 | $29,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 844 | $28,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 885 | $28,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 4,640 | $28,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 771 | $28,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 727 | $28,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,195 | $28,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 1,592 | $28,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 2,938 | $28,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,163 | $28,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 45,000 | $28,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 1,579 | $28,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 6,113 | $28,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 3,472 | $28,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 1,658 | $28,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 3,075 | $28,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 5,008 | $28,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 6,973 | $28,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 1,274 | $28,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 398 | $27,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 366 | $27,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,059 | $27,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 215 | $27,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 1,865 | $27,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 1,273 | $27,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 298 | $27,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 1,226 | $27,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,294 | $27,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,541 | $27,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 3,418 | $27,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 1,043 | $27,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 579 | $27,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 1,733 | $27,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 5,506 | $27,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 2,460 | $27,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,204 | $27,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 3,767 | $27,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,783 | $27,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 737 | $27,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 6,600 | $27,000 | thousands by filing date | put |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 1,565 | $27,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 1,187 | $27,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 27,430 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 245 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 905 | $26,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 468 | $26,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 1,653 | $26,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 562 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,200 | $26,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,466 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 395 | $26,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 4,561 | $26,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,131 | $26,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,637 | $26,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 8,469 | $26,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,133 | $26,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 3,585 | $26,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679104 | ETN LKD 36 | 600 | $26,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 880 | $25,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 677 | $25,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 493 | $25,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 3,125 | $25,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 845 | $25,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 1,743 | $25,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 795 | $25,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,458 | $25,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 6,481 | $25,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 1,657 | $25,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 1,826 | $25,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 377 | $25,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 1,412 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 750 | $25,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 600 | $25,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 1,500 | $25,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 878 | $25,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 2,276 | $25,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 860 | $25,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 366 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 244 | $25,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 1,621 | $25,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 5,069 | $25,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 9,278 | $25,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 2,697 | $25,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 2,275 | $25,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,155 | $25,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,125 | $25,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 6,400 | $25,000 | thousands by filing date | put |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,515 | $25,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 125 | $24,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 3,000 | $24,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 2,917 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 800 | $24,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,265 | $24,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 5,976 | $24,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 831 | $24,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 1,950 | $24,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 1,726 | $24,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 3,776 | $24,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 395 | $24,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 1,729 | $24,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 3,615 | $24,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,366 | $24,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 2,250 | $24,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,259 | $24,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,041 | $24,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,212 | $24,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 2,642 | $24,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 2,014 | $24,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,964 | $24,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 786 | $24,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 625 | $24,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 1,867 | $24,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,423 | $24,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 599 | $24,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 647 | $24,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 2,330 | $24,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 3,385 | $24,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 11,381 | $24,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 176 | $23,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 3,161 | $23,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 3,000 | $23,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 1,510 | $23,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 362 | $23,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 3,189 | $23,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 419 | $23,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 2,225 | $23,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 7,578 | $23,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,110 | $23,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 2,032 | $23,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 360 | $23,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,274 | $23,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 4,919 | $23,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 3,128 | $23,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 2,085 | $23,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 9,085 | $23,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 8,819 | $23,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 720 | $23,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 2,836 | $23,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 983 | $23,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 1,917 | $23,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 1,841 | $23,000 | thousands by filing date | |
| CHINANET ONLINE HLDGS INC | 16949H201 | COM NEW | 20,000 | $23,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 3,235 | $23,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,778 | $23,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 337 | $22,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 3,709 | $22,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,153 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 170 | $22,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 1,098 | $22,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 1,585 | $22,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 4,946 | $22,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 1,146 | $22,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 914 | $22,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 5,250 | $22,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 371 | $22,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 1,687 | $22,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 980 | $22,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 1,000 | $22,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 8,297 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 150 | $22,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,721 | $22,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 21,462 | $22,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 705 | $22,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 807 | $22,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 4,100 | $22,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 28,134 | $22,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 1,978 | $22,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 2,011 | $22,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 8,749 | $22,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 666 | $21,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 520 | $21,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 1,478 | $21,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 803 | $21,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 4,419 | $21,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 466 | $21,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 3,279 | $21,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 1,447 | $21,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,261 | $21,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 1,392 | $21,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 904 | $21,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 1,700 | $21,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 715 | $21,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 1,505 | $21,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 500 | $21,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 1,544 | $21,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 23,016 | $21,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 1,486 | $21,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 2,204 | $21,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 17,384 | $21,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 1,602 | $21,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 7,523 | $21,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,118 | $21,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 10,128 | $21,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 4,092 | $20,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 1,050 | $20,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 581 | $20,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 2,588 | $20,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 1,457 | $20,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 525 | $20,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,000 | $20,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,857 | $20,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,500 | $20,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 1,205 | $20,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 3,626 | $20,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 807 | $20,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,237 | $20,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,772 | $20,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 5,648 | $20,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 10,000 | $20,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 7,242 | $20,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,170 | $20,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 6,507 | $20,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 2,209 | $20,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 20,000 | $20,000 | thousands by filing date | principal |
| ZSCALERINC | 98980G102 | STOK | 396 | $19,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 7,468 | $19,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 2,794 | $19,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 380 | $19,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 90 | $19,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 1,017 | $19,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,741 | $19,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 4,311 | $19,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 1,713 | $19,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 968 | $19,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 439 | $19,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 6,291 | $19,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 540 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 264 | $19,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 2,251 | $19,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 2,776 | $19,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B201 | JR GOLD MINERS E | 570 | $19,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 957 | $19,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 18,333 | $19,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 611 | $19,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,271 | $19,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 2,330 | $19,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 7,643 | $19,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,213 | $19,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 4,238 | $19,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 689 | $19,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,584 | $19,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 14,586 | $19,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 2,669 | $19,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 1,108 | $18,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 3,780 | $18,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 1,714 | $18,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 500 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 1,309 | $18,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 1,860 | $18,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 6,328 | $18,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 1,319 | $18,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 721 | $18,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 969 | $18,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 561 | $18,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,637 | $18,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 494 | $18,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 19,404 | $18,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 11,779 | $18,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 10,458 | $18,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 1,676 | $18,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 4,528 | $18,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 7,102 | $18,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 10,781 | $18,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 1,100 | $18,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 1,146 | $18,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 113 | $17,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,188 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 576 | $17,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 371 | $17,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 1,252 | $17,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 484 | $17,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,887 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 540 | $17,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 4,476 | $17,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 2,704 | $17,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 709 | $17,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 2,073 | $17,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 8,747 | $17,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,048 | $17,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 2,135 | $17,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 670 | $17,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 1,790 | $17,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 20,052 | $17,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 30,000 | $17,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 1,956 | $16,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 36,750 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 600 | $16,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 988 | $16,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 858 | $16,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,400 | $16,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,400 | $16,000 | thousands by filing date | put |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 314 | $16,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 1,477 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 1,192 | $16,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 1,260 | $16,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,300 | $16,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 945 | $16,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 1,119 | $16,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 578 | $16,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 17,734 | $16,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 480 | $16,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 4,929 | $16,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 746 | $16,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 6,345 | $16,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 1,502 | $16,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 1,067 | $16,000 | thousands by filing date | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 942 | $16,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 3,802 | $16,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 31,000 | $16,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 4,604 | $16,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,494 | $16,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 6,715 | $16,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 6,744 | $16,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 4,020 | $16,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 4,106 | $16,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 6,000 | $16,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 3,556 | $16,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 13,000 | $16,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 300 | $15,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 200 | $15,000 | thousands by filing date | put |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 398 | $15,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 320 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R720 | NASDQ ARTFCIAL | 430 | $15,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 700 | $15,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 2,114 | $15,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 571 | $15,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,013 | $15,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,061 | $15,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 225 | $15,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 324 | $15,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 485 | $15,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 120 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 400 | $15,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 5,723 | $15,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 928 | $15,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 1,221 | $15,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 13,600 | $15,000 | thousands by filing date | put |
| HOOKIPA PHARMA INC | 43906K100 | COM | 1,254 | $15,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 1,395 | $15,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 10,000 | $15,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 23,700 | $15,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,277 | $15,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 936 | $15,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,054 | $15,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 2,400 | $14,000 | thousands by filing date | put |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 777 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 300 | $14,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 1,253 | $14,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 3,421 | $14,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 121 | $14,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,144 | $14,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 1,666 | $14,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,326 | $14,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 234 | $14,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 7,937 | $14,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 329 | $14,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 1,084 | $14,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 163 | $14,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 655 | $14,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 1,121 | $14,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 6,931 | $14,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 705 | $14,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 940 | $14,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 3,553 | $14,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 921 | $14,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 6,563 | $14,000 | thousands by filing date | |
| MICROSECTORS FANG INDEX -3X INVERSE LEVERAGED ETN | 063679864 | ETF | 1,227 | $14,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 200 | $13,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 588 | $13,000 | thousands by filing date | |
| AVANTOR INC COM | 05352A100 | Stock | 703 | $13,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 1,013 | $13,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 260 | $13,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 130 | $13,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 400 | $13,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 800 | $13,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 1,003 | $13,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 946 | $13,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 838 | $13,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 833 | $13,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,298 | $13,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,357 | $13,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 957 | $13,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730509 | COMMON STOCK | 186 | $13,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 885 | $13,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 893 | $13,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 818 | $13,000 | thousands by filing date |
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 |