13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 8,204 holding rows worth $287,399,892,000.
- Accession
- 0000950123-20-002037
- Filer
- CIK 1610520
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 13,930 entries on the cover page, a total value of $287,399,892,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $287,400,007,000 with VALUE read as thousands by filing date, 13F file number 028-16612. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUBS ASSET MANAGEMENT (AMERICAS) INC 028-02682
- reports for this filerUBS OCONNOR LLC 028-06327
- included managerUBS Financial Services Inc. 028-11496
- included managerUBS Swiss Financial Advisors AG 028-11603
- included managerUBS AG New York Branch 028-07344
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 |
|---|---|---|---|---|---|---|
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 21,860 | $730,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 9,631 | $730,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 22,067 | $729,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 5,782 | $728,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 47,103 | $727,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 168,839 | $726,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 28,013 | $726,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 78,629 | $726,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 27,410 | $725,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 19,097 | $725,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 100,000 | $724,000 | thousands by filing date | put |
| CENCORA INC COM | 03073E105 | Stock | 8,500 | $723,000 | thousands by filing date | call |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 37,246 | $721,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 9,589 | $720,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 43,734 | $720,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 187,482 | $720,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 57,168 | $719,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 14,204 | $718,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 16,162 | $718,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 43,060 | $715,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 172,709 | $715,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 21,511 | $714,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 23,689 | $713,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 15,202 | $712,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 26,908 | $712,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 137,421 | $711,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 30,100 | $707,000 | thousands by filing date | call |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 148,983 | $707,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 11,950 | $705,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 15,193 | $705,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F767 | INDIA GROWTH LDR | 21,383 | $702,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 22,375 | $701,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 61,363 | $700,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 22,632 | $700,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 47,262 | $700,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 42,910 | $700,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 8,592 | $698,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 16,513 | $698,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 20,000 | $697,000 | thousands by filing date | call |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 29,038 | $697,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 74,558 | $696,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 35,734 | $696,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 50,000 | $695,000 | thousands by filing date | call |
| AGILYSYS INC | 00847J105 | COM | 27,344 | $695,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 71,514 | $694,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 102,897 | $694,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 19,271 | $693,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 41,058 | $693,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 41,321 | $692,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 14,401 | $691,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 93,886 | $691,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 14,358 | $690,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 72,456 | $690,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 36,734 | $690,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 22,143 | $689,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 22,600 | $687,000 | thousands by filing date | call |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 10,092 | $687,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 73,249 | $684,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 109,596 | $683,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 34,918 | $681,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 19,600 | $681,000 | thousands by filing date | put |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 48,602 | $679,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 30,020 | $679,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 26,613 | $678,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 75,000 | $677,000 | thousands by filing date | call |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 243,218 | $676,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 39,884 | $676,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 35,000 | $675,000 | thousands by filing date | call |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 25,157 | $675,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 46,484 | $673,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 33,257 | $673,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 245,000 | $671,000 | thousands by filing date | put |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 11,642 | $668,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 38,165 | $667,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 12,120 | $667,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 12,700 | $667,000 | thousands by filing date | call |
| WENDYS CO COM | 95058W100 | Stock | 30,000 | $666,000 | thousands by filing date | call |
| HEALTH CATALYST INC | 42225T107 | COM | 19,186 | $666,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 37,548 | $665,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 20,101 | $665,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 77,086 | $665,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 34,865 | $664,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 59,969 | $664,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 53,693 | $662,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 45,391 | $659,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 47,844 | $659,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 46,928 | $657,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 83,370 | $657,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 19,143 | $657,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 6,070 | $656,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 18,602 | $656,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 100,000 | $656,000 | thousands by filing date | call |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 13,905 | $655,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 21,598 | $654,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 63,132 | $654,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 142,259 | $654,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 18,220 | $653,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 17,580 | $653,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 8,804 | $651,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 8,000 | $648,000 | thousands by filing date | call |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 25,762 | $648,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 24,798 | $648,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 21,030 | $647,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 91,630 | $647,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 30,000 | $645,000 | thousands by filing date | put |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 9,860 | $645,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 15,952 | $643,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 20,724 | $643,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 19,993 | $642,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 19,650 | $642,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 30,448 | $642,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 274,417 | $642,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 45,000 | $641,000 | thousands by filing date | put |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 30,638 | $641,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 171,983 | $640,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 26,028 | $640,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 8,950 | $639,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 60,092 | $639,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 10,657 | $638,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 26,687 | $638,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 12,625 | $637,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 16,051 | $634,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 98,449 | $634,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 26,515 | $633,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 174,221 | $633,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 29,069 | $633,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 97,343 | $633,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 23,284 | $633,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 18,041 | $632,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 39,856 | $631,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 43,739 | $631,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 15,117 | $630,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 6,480 | $630,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 31,403 | $628,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 24,812 | $627,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 10,054 | $625,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 7,400 | $624,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 34,073 | $624,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 21,512 | $622,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 32,644 | $621,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 37,708 | $621,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 56,273 | $620,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 24,197 | $620,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 65,000 | $619,000 | thousands by filing date | put |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 11,174 | $619,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 22,167 | $619,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 19,375 | $619,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 7,723 | $619,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 18,394 | $618,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 23,287 | $616,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 16,600 | $615,000 | thousands by filing date | call |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 19,766 | $613,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 55,867 | $612,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 12,606 | $611,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 106,889 | $609,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 24,223 | $609,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 148,792 | $607,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 12,492 | $606,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793400 | COM NEW | 25,983 | $606,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 66,994 | $605,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 20,825 | $604,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 28,049 | $602,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 44,068 | $601,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 172,752 | $601,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 38,141 | $599,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 28,798 | $599,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 40,102 | $598,000 | thousands by filing date | |
| PROVIDENCE SVC CORP | 743815102 | COM | 10,086 | $597,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 47,916 | $597,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 54,725 | $596,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 29,356 | $596,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 45,295 | $595,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 34,082 | $594,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 37,120 | $594,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 11,000 | $593,000 | thousands by filing date | put |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 26,180 | $593,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 41,590 | $593,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 37,091 | $593,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 10,000 | $591,000 | thousands by filing date | call |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 11,608 | $591,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 28,002 | $591,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 127,925 | $591,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 8,310 | $590,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 9,626 | $589,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 22,000 | $589,000 | thousands by filing date | put |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 37,680 | $589,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 55,073 | $589,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 16,217 | $588,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 20,923 | $588,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 48,000 | $588,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 11,993 | $587,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 41,280 | $587,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 87,816 | $586,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 14,581 | $585,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 109,864 | $585,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 37,441 | $584,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 3,500 | $583,000 | thousands by filing date | call |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 43,306 | $583,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 22,735 | $583,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 36,983 | $582,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 57,511 | $582,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 119,700 | $581,000 | thousands by filing date | put |
| ANTERIX INC | 03676C100 | COMMON STOCK | 13,436 | $581,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 19,143 | $581,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 39,000 | $579,000 | thousands by filing date | put |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 8,396 | $579,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 33,270 | $579,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 72,039 | $579,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 18,871 | $578,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 32,907 | $578,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 16,044 | $578,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 11,457 | $577,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 21,854 | $577,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 9,924 | $576,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 15,200 | $576,000 | thousands by filing date | call |
| HAYNES INTL INC | 420877201 | COM NEW | 16,058 | $575,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 114,311 | $573,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 41,196 | $572,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 155,955 | $571,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 19,396 | $570,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 75,191 | $570,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 76,100 | $569,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 37,340 | $569,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 4,046 | $569,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 16,516 | $568,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 42,772 | $568,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 179,858 | $568,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 19,477 | $567,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 15,662 | $567,000 | thousands by filing date | |
| ANAPLAN INC | 03272L108 | COM | 10,800 | $566,000 | thousands by filing date | call |
| UPHEALTH INC | 375036100 | Common Stock | 56,700 | $564,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 35,249 | $563,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 47,095 | $562,000 | thousands by filing date | |
| UBIQUITI INC | 90353W103 | COM | 2,974 | $562,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 80,000 | $562,000 | thousands by filing date | put |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 20,725 | $562,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 77,000 | $561,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 165,663 | $560,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 68,912 | $559,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 15,857 | $558,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 20,386 | $558,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 14,093 | $558,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 150,000 | $557,000 | thousands by filing date | call |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 13,137 | $557,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 47,854 | $557,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 72,580 | $557,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 16,995 | $556,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 86,985 | $556,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 56,966 | $556,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 17,100 | $555,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 27,853 | $553,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 52,086 | $552,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 20,556 | $552,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 11,750 | $552,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 37,092 | $552,000 | thousands by filing date | |
| US Ecology, Inc. | 91734M103 | COM | 9,512 | $551,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 166,372 | $551,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 32,200 | $551,000 | thousands by filing date | put |
| NEVRO CORP | 64157F103 | COM | 4,688 | $551,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 59,600 | $551,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 30,561 | $550,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 57,462 | $550,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 16,454 | $549,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 24,908 | $548,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 146,801 | $547,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 55,404 | $547,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 21,105 | $546,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 36,684 | $545,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 7,195 | $545,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 21,258 | $544,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 17,338 | $544,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 44,965 | $543,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 11,186 | $542,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 7,064 | $542,000 | thousands by filing date | |
| Canadian $ ETF | 46138T104 | ETF | 7,127 | $542,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 115,000 | $542,000 | thousands by filing date | put |
| WESCO INTL INC COM | 95082P105 | Stock | 9,100 | $540,000 | thousands by filing date | call |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 14,574 | $540,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 18,600 | $539,000 | thousands by filing date | put |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 9,381 | $538,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 75,940 | $537,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 196,081 | $537,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 129,549 | $537,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 34,495 | $536,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 26,180 | $536,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 6,538 | $535,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 26,549 | $535,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 252,731 | $534,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 4,600 | $531,000 | thousands by filing date | call |
| American Tower Corporation | 03027X100 | COM | 2,300 | $529,000 | thousands by filing date | put |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 36,455 | $529,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 17,182 | $529,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 31,489 | $529,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 39,389 | $527,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 17,459 | $527,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 34,835 | $527,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 13,300 | $525,000 | thousands by filing date | put |
| NOBLE CORP PLC | G65431101 | SHS USD | 428,727 | $523,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 1,796 | $522,000 | thousands by filing date | |
| PARK AEROSPACE CORP | 70014A104 | COM | 32,085 | $522,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 77,551 | $522,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 17,271 | $522,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085206 | UNIT 12/31/2026 | 51,000 | $521,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 27,500 | $519,000 | thousands by filing date | put |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 39,186 | $519,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 38,222 | $519,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 16,062 | $519,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 19,000 | $518,000 | thousands by filing date | call |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 18,291 | $517,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 18,223 | $516,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 31,638 | $516,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 8,078 | $515,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 55,030 | $515,000 | thousands by filing date | |
| BNY MELLON MUN BD INFRASTRUC | 09662W109 | COM SHS | 35,174 | $513,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 24,674 | $513,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 24,955 | $513,000 | thousands by filing date | |
| BOXWOOD MERGER CORP; TNT ACQ DT: 11/16/2020; CASH | 10319t101 | COM | 50,266 | $511,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 29,720 | $510,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 28,698 | $510,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 20,110 | $510,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 157,155 | $510,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 31,400 | $510,000 | thousands by filing date | call |
| EZCORP INC | 302301106 | CL A NON VTG | 74,711 | $509,000 | thousands by filing date | |
| CHP MERGER CORP | 12558Y205 | UNIT 11/22/2024 | 50,064 | $509,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 10,525 | $508,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 9,306 | $507,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 31,364 | $507,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 51,903 | $507,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 32,314 | $506,000 | thousands by filing date | |
| ABRDN PALLADIUM ETF TRUST | 003262102 | PHYSICAL PALLADM | 2,759 | $506,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 13,294 | $505,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 17,890 | $505,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 10,137 | $504,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 44,946 | $504,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 53,226 | $503,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 4,052 | $503,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 35,097 | $502,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 22,977 | $501,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 64,554 | $501,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 64,836 | $499,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 41,933 | $499,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 43,975 | $497,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 13,114 | $496,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 35,836 | $496,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 72,105 | $495,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 53,360 | $494,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 46,081 | $493,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 20,071 | $493,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 31,875 | $492,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 26,659 | $492,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 74,700 | $491,000 | thousands by filing date | call |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 78,323 | $490,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 24,718 | $490,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 8,268 | $490,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 27,043 | $490,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 40,611 | $490,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 14,269 | $489,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 13,129 | $489,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 223,635 | $488,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 90,556 | $488,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 10,000 | $486,000 | thousands by filing date | put |
| GRANITE CONSTR INC COM | 387328107 | Stock | 17,494 | $484,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 12,358 | $484,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 83,202 | $483,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 9,600 | $483,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 3,000 | $483,000 | thousands by filing date | put |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 9,736 | $482,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 18,886 | $482,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 28,513 | $482,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 12,534 | $481,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 35,001 | $481,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 26,174 | $481,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 32,871 | $480,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 33,462 | $480,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 65,346 | $479,000 | thousands by filing date | |
| AXONICS INC | 05465P101 | COM | 17,302 | $479,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 24,711 | $477,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 36,293 | $477,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 33,623 | $477,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 41,241 | $477,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 87,142 | $476,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 10,395 | $475,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 57,199 | $475,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 21,599 | $474,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 29,250 | $474,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 6,600 | $473,000 | thousands by filing date | put |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 15,311 | $473,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 41,930 | $472,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 88,955 | $471,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 2,000 | $470,000 | thousands by filing date | call |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 15,865 | $470,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 3,300 | $469,000 | thousands by filing date | put |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 27,575 | $469,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 48,400 | $469,000 | thousands by filing date | call |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 58,242 | $468,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 42,589 | $468,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 44,535 | $466,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 25,713 | $466,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 20,111 | $465,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 19,137 | $465,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 105,431 | $464,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 57,901 | $463,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 9,597 | $463,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 13,592 | $462,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 24,391 | $462,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 23,055 | $462,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 20,065 | $462,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 29,524 | $461,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 17,233 | $461,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 52,215 | $461,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 54,141 | $461,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 20,505 | $461,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E123 | S&P SMLCP INDL | 6,408 | $460,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 19,481 | $459,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 52,921 | $459,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 2,200 | $458,000 | thousands by filing date | call |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 519,118 | $458,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 37,518 | $457,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 18,369 | $457,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 18,051 | $456,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 32,338 | $455,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 79,363 | $454,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 53,364 | $454,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 26,312 | $454,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 66,521 | $454,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 31,266 | $453,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 88,309 | $452,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 8,962 | $451,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 25,000 | $450,000 | thousands by filing date | put |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 3,876 | $450,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 28,586 | $450,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 13,482 | $449,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 20,615 | $448,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 4,663 | $447,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 45,000 | $447,000 | thousands by filing date | put |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 18,801 | $446,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 21,067 | $446,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 15,729 | $445,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 67,827 | $445,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 207,839 | $445,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 37,590 | $444,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 41,836 | $444,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 33,038 | $443,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 14,266 | $443,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 32,820 | $442,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 10,300 | $441,000 | thousands by filing date | call |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 31,598 | $441,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 91,677 | $441,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 28,309 | $441,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 3,800 | $439,000 | thousands by filing date | put |
| CAESARSTONE LTD | M20598104 | ORD SHS | 29,144 | $439,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 14,099 | $439,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 55,260 | $439,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 78,573 | $438,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 17,585 | $438,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 48,232 | $436,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 18,452 | $436,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 23,565 | $436,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 56,254 | $435,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 39,575 | $435,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 22,844 | $434,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 42,871 | $433,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 3,610 | $433,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 16,809 | $432,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 9,064 | $432,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 57,970 | $432,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,700 | $431,000 | thousands by filing date | put |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 5,124 | $431,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 19,995 | $430,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 4,976 | $430,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 17,087 | $429,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 31,169 | $429,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 101,894 | $429,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 11,619 | $429,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 28,252 | $429,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 15,000 | $428,000 | thousands by filing date | call |
| REVLON INC | 761525609 | OPT | 20,000 | $428,000 | thousands by filing date | put |
| CUSHING RENAISSANCE FD | 231647108 | COM | 31,501 | $427,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 11,036 | $427,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 45,409 | $427,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 8,409 | $426,000 | thousands by filing date | |
| REV Group Inc | 749527107 | Common Stock | 34,826 | $426,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 104,833 | $426,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 5,841 | $426,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 8,762 | $425,000 | thousands by filing date | |
| ASSETMARK FINL HLDGS INC | 04546L106 | COM | 14,603 | $424,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 17,597 | $423,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 20,000 | $422,000 | thousands by filing date | call |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 97,086 | $421,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 432 | $421,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 26,900 | $420,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 55,003 | $420,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 10,673 | $419,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 9,577 | $419,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 126,782 | $419,000 | thousands by filing date | |
| USD PARTNERS LP LP | 903318103 | STOK | 42,291 | $419,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 34,039 | $418,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 54,752 | $417,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 16,407 | $417,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 8,262 | $416,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-002037 | this filing | 2020-02-14 | acceptance time not in the bulk data set |