13F-HR filed by UBS Group AG
UBS Group AG filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-12, with 8,112 holding rows worth $265,314,949,000.
- Accession
- 0000950123-20-011384
- Filer
- CIK 1610520
- Filed
- 2020-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 13,785 entries on the cover page, a total value of $265,314,949,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $265,315,045,000 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 |
|---|---|---|---|---|---|---|
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 30,247 | $139,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 6,657 | $139,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 13,964 | $139,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 13,620 | $139,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 15,105 | $139,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,200 | $138,000 | thousands by filing date | put |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 1,700 | $138,000 | thousands by filing date | put |
| LCNB CORP | 50181P100 | COM | 10,083 | $138,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 4,500 | $138,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 4,909 | $138,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 2,214 | $138,000 | thousands by filing date | |
| INVESCO | 46138J536 | EXCHANGE TRADED | 5,377 | $138,000 | thousands by filing date | |
| DUCK CREEK TECHNOLOGIES INC | 264120106 | SHS | 3,016 | $137,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 3,693 | $137,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 6,463 | $137,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 2,465 | $136,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 11,997 | $136,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 2,794 | $136,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 16,602 | $136,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 4,177 | $136,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 6,944 | $136,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 12,032 | $135,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B201 | JR GOLD MINERS E | 3,020 | $135,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 2,320 | $135,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 55,741 | $135,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 11,103 | $134,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 119,773 | $134,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 5,264 | $134,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 15,065 | $133,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 62,114 | $133,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G658 | DLY S&P OIL GAS | 1,877 | $133,000 | thousands by filing date | |
| NRC HEALTH | 637372202 | COMMON STOCK | 2,692 | $132,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 2,286 | $132,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 42,881 | $132,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 21,393 | $132,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 11,097 | $131,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 18,228 | $131,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 9,681 | $131,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 29,416 | $131,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 3,300 | $130,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 80,531 | $130,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 7,974 | $130,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 7,663 | $130,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 6,713 | $129,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 9,183 | $129,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 7,638 | $128,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 14,330 | $128,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 6,015 | $128,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 15,295 | $128,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 6,387 | $128,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 5,500 | $127,000 | thousands by filing date | |
| MTBC INC | 55378G102 | COM | 14,340 | $127,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 5,000 | $126,000 | thousands by filing date | put |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 21,170 | $126,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 3,644 | $126,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 10,449 | $126,000 | thousands by filing date | |
| INVESCO | 46138J544 | EXCHANGE TRADED | 4,945 | $126,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 32,000 | $125,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 49,212 | $125,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 28,219 | $125,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 2,378 | $125,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 14,411 | $124,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 4,680 | $124,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 45,695 | $124,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 4,318 | $124,000 | thousands by filing date | |
| ISHARES TR | 46435G706 | MSCI CDA ETF | 4,943 | $124,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 1,779 | $123,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 9,388 | $123,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 28,558 | $123,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,957 | $123,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 185,303 | $123,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 1,580 | $123,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 9,674 | $122,000 | thousands by filing date | |
| PREMIER FINANCIAL CORP | 74052F108 | COMMON STOCK | 7,846 | $122,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 2,562 | $122,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 27,516 | $121,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 504 | $121,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J726 | RAFI STRG US ETF | 5,393 | $121,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 4,467 | $121,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 CORPORATE BOND ETF | 46138J577 | ETF | 5,643 | $121,000 | thousands by filing date | |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 16,560 | $121,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 5,861 | $121,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 5,160 | $121,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 15,212 | $120,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W540 | FUND | 2,992 | $120,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 2,142 | $119,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 2,182 | $119,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 2,678 | $119,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 4,621 | $119,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 11,517 | $119,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G872 | DAILY TECHNOLOGY | 9,000 | $119,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 4,760 | $118,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X788 | IPOX EUROPE EQ | 4,669 | $117,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 52,915 | $117,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 19,684 | $117,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 10,424 | $116,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 20,000 | $116,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 6,992 | $116,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 1,543 | $116,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 43,875 | $116,000 | thousands by filing date | |
| HESKA CORP | 42805E306 | COM | 1,175 | $116,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 12,306 | $116,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X350 | SOLACTIVE GERMNY | 1,960 | $116,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 7,129 | $115,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 990 | $115,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 23,391 | $115,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 12,162 | $115,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 8,825 | $115,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 120,000 | $115,000 | thousands by filing date | principal |
| ONESPAN INC | 68287N100 | COM | 5,464 | $114,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 7,298 | $114,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06744M836 | NT LKD SER B26 | 1,040 | $114,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 18,772 | $113,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 2,819 | $113,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 8,045 | $113,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 8,508 | $113,000 | thousands by filing date | |
| Schwab 5-10 Year Corporate Bond ETF | 808524698 | SHS | 2,117 | $112,000 | thousands by filing date | |
| HELIOS TECHNOLOGIES INC | 42328H109 | COM | 3,071 | $112,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K331 | DAIL MS INDI ETF | 3,555 | $112,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 10,613 | $112,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 92,701 | $112,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 2,646 | $112,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 2,400 | $112,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 4,402 | $111,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 4,670 | $110,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 4,461 | $110,000 | thousands by filing date | |
| VILLAGE BK & TR FINL CORP | 92705T200 | COM | 3,559 | $110,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 143,203 | $110,000 | thousands by filing date | |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 9,825 | $109,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 7,515 | $109,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 8,343 | $109,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 8,235 | $109,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 1,956 | $109,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 10,100 | $109,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 4,200 | $108,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 4,752 | $108,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 10,000 | $108,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X145 | SOLACTV HK ETF | 1,845 | $108,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 22,000 | $107,000 | thousands by filing date | call |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 2,873 | $107,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 5,392 | $107,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 10,811 | $107,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 8,700 | $106,000 | thousands by filing date | put |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 7,730 | $106,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,313 | $106,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 4,118 | $106,000 | thousands by filing date | |
| UTZ BRANDS INC | 918090119 | W EXP 08/28/202 | 16,267 | $106,000 | thousands by filing date | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 13,179 | $105,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 38,452 | $105,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 6,566 | $105,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 24,211 | $105,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 7,413 | $105,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 7,186 | $105,000 | thousands by filing date | |
| CTO REALTY GROWTH INC | 22948P103 | COM | 2,380 | $105,000 | thousands by filing date | |
| PACIFIC GLOBAL ETF TR | 69434K106 | US EQ INM ETF | 4,371 | $105,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 1,344 | $104,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 6,757 | $104,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q668 | EM SECT DIV DG | 5,665 | $104,000 | thousands by filing date | |
| DENBURY INC | 24790A101 | COM | 5,925 | $104,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 9,874 | $104,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 800 | $103,000 | thousands by filing date | put |
| MATTEL INC | 577081102 | COM | 8,800 | $103,000 | thousands by filing date | put |
| USD PARTNERS LP LP | 903318103 | STOK | 32,719 | $103,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 4,862 | $102,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 9,995 | $102,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 37,657 | $102,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 6,575 | $102,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 15,744 | $102,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 1,600 | $102,000 | thousands by filing date | call |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 58,972 | $102,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A834 | ALPHAMARK SM | 4,791 | $102,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539U107 | FI ENHNCD EUR 50 | 1,415 | $102,000 | thousands by filing date | |
| KENSINGTON CAP ACQUISITION C | 490073202 | UNIT 07/01/2027 | 5,402 | $102,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 25,065 | $101,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 6,300 | $101,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 3,344 | $101,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 8,112 | $101,000 | thousands by filing date | |
| EA SERIES TRUST | 02072L508 | ALPHA ARCHITECT | 4,230 | $101,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 3,777 | $101,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 6,200 | $100,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 6,750 | $100,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 23,647 | $100,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 7,816 | $100,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 6,086 | $100,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 6,422 | $100,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 128,455 | $100,000 | thousands by filing date | |
| Sandbridge Acquisition Corp | 799793203 | Unit | 10,000 | $100,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 4,331 | $99,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 22,498 | $99,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 32,722 | $99,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 8,435 | $99,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 693 | $99,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 220 | $99,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 10,111 | $98,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 5,391 | $98,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 1,503 | $98,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 3,161 | $98,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 2,596 | $98,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 5,476 | $98,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 10,472 | $98,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 8,094 | $98,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G203 | FLIGHT TO SAFT | 1,856 | $98,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 1,167 | $97,000 | thousands by filing date | |
| PARK AEROSPACE CORP | 70014A104 | COM | 8,798 | $97,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 9,092 | $97,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 100,000 | $97,000 | thousands by filing date | put |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,887 | $97,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q746 | USD EMRNG MKT | 2,016 | $97,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G831 | DAIL JR GOLD ETF | 746 | $97,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 11,967 | $97,000 | thousands by filing date | |
| SMART GLOBAL HLDGS INC | G8232Y101 | COM | 3,564 | $97,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 47,043 | $97,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 13,229 | $96,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 1,194 | $96,000 | thousands by filing date | |
| POLYPID LTD | M8001Q118 | SHS | 8,727 | $96,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 5,168 | $95,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N527 | CORE BD ETF | 1,752 | $95,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 3,808 | $95,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,245 | $95,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 3,451 | $95,000 | thousands by filing date | |
| PROSHARES TR | 74348A525 | ULSHOIL&GASNEW13 | 1,651 | $95,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 3,567 | $95,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 2,566 | $94,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 3,786 | $94,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 2,292 | $94,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 12,090 | $94,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 8,808 | $94,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 5,786 | $93,000 | thousands by filing date | |
| BRP INC COM SUN VTG | 05577W200 | Stock | 1,764 | $93,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 3,193 | $93,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 12,802 | $93,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 2,981 | $93,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 3,571 | $93,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 12,628 | $93,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 9,272 | $93,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 88,049 | $93,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V871 | MFS SYS VAL EQ | 1,524 | $93,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 600 | $92,000 | thousands by filing date | put |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 10,193 | $92,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 13,993 | $92,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 4,707 | $92,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G815 | CMN | 427 | $92,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 2,233 | $92,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 4,931 | $92,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 1,731 | $91,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 12,076 | $91,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 2,287 | $91,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 4,485 | $91,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 1,183 | $91,000 | thousands by filing date | |
| PROSHARES TR | 74347X708 | UL MSCI JP ETF | 2,527 | $90,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 944 | $90,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 8,589 | $90,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 2,944 | $90,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 9,027 | $89,000 | thousands by filing date | |
| SPROTT INC | 852066208 | COM NEW | 2,612 | $89,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 1,841 | $89,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 8,334 | $89,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 3,882 | $89,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 6,918 | $89,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 2,551 | $89,000 | thousands by filing date | |
| PACER TRENDPILOT FUND OF FUNDS ETF | 69374H675 | ETF | 3,540 | $89,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 456 | $89,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L821 | TREND AGGREGATIN | 3,317 | $89,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 4,110 | $88,000 | thousands by filing date | |
| PROSHARES TR II | 74347W338 | CMN | 2,161 | $88,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 18,602 | $88,000 | thousands by filing date | |
| LIV CAP ACQUISITION CORP | G5510C124 | UNIT 99/99/9999 | 8,704 | $88,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 12,912 | $87,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 3,910 | $87,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 6,306 | $87,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 12,095 | $87,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 14,330 | $87,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 2,177 | $86,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 6,454 | $86,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33741Y100 | HORIZON VOL SMCP | 3,562 | $86,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 9,241 | $85,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 4,331 | $85,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 1,425 | $85,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 16,050 | $85,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 3,500 | $85,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 3,667 | $85,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 400 | $84,000 | thousands by filing date | call |
| Q2 HLDGS INC COM | 74736L109 | Stock | 916 | $84,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 3,986 | $84,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 53,111 | $84,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 16,000 | $84,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 586 | $83,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 4,928 | $83,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 7,002 | $83,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 5,321 | $83,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 3,129 | $83,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 3,118 | $83,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 10,218 | $82,000 | thousands by filing date | |
| BERKELEY LTS INC | 084310101 | COM | 1,078 | $82,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 9,813 | $82,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 4,109 | $82,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 5,329 | $82,000 | thousands by filing date | |
| ONTO INNOVATION INC COM | 683344105 | Stock | 2,710 | $81,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 7,025 | $81,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 14,660 | $81,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 72,700 | $81,000 | thousands by filing date | call |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 3,558 | $81,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 6,161 | $81,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 4,900 | $81,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 933 | $81,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 7,808 | $81,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 7,932 | $81,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 1,620 | $81,000 | thousands by filing date | |
| METAURUS EQUITY COMPONENT TR | 59140L209 | US EQT EX 2027 | 1,101 | $81,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C383 | US EQTY PWR BUF | 2,897 | $80,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 11,066 | $80,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 13,379 | $80,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 4,059 | $80,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 29,614 | $80,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 41,363 | $80,000 | thousands by filing date | |
| FI ENHANCED GLBL HIGH YLD BCSB | 06746Q249 | COM | 937 | $80,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 1,753 | $79,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430230 | ULTR SHOR BD ETF | 1,548 | $79,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 7,094 | $79,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 7,500 | $79,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 9,252 | $79,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 4,624 | $79,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 39,764 | $79,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 6,434 | $79,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 1,558 | $79,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 3,596 | $78,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,569 | $78,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 8,173 | $78,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 917 | $78,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 1,492 | $78,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 4,019 | $78,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E487 | PURBTA FTSE DV | 3,313 | $78,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 6,077 | $77,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q774 | LDRSHS ALPFACT | 3,086 | $77,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 3,345 | $77,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 5,133 | $77,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 5,331 | $77,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 89,804 | $77,000 | thousands by filing date | |
| REALITY SHS ETF TR | 75605A405 | DIVCN LDRS ETF | 1,767 | $77,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F706 | Cmn | 5,002 | $77,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 1,561 | $76,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 2,135 | $76,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 8,703 | $76,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 8,622 | $76,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 1,800 | $76,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 11,845 | $76,000 | thousands by filing date | |
| PROSHARES TR | 74347G887 | ULSH 20YRTRE NEW | 2,671 | $76,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 7,342 | $76,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 2,977 | $76,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 2,921 | $76,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,224 | $76,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 4,663 | $76,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 1,333 | $76,000 | thousands by filing date | |
| Direxion S&P 500 High minus Low Quality ETF | 25460G401 | S&P 500 HI MIN | 1,408 | $76,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 5,617 | $75,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 2,113 | $75,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 9,295 | $75,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432342 | U S SM CP CORE | 3,510 | $75,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432334 | INTL ETF | 3,147 | $75,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 11,149 | $75,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 2,240 | $75,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 45,821 | $75,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G302 | MSCI USA ESG | 1,349 | $75,000 | thousands by filing date | |
| COLLABORATIVE INVESTMNT SER | 19423L789 | THE ACTIVE DIVID | 2,806 | $75,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 7,533 | $74,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 1,888 | $74,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 3,950 | $74,000 | thousands by filing date | |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 2,593 | $74,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 6,047 | $74,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 9,927 | $74,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 1,041 | $74,000 | thousands by filing date | |
| JANUS DETROIT | 47103U100 | MF Closed and MF Open | 1,560 | $74,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 2,681 | $74,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 5,829 | $74,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 29,720 | $74,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 5,805 | $74,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 4,011 | $74,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 1,721 | $74,000 | thousands by filing date | |
| FIRST SEACOAST BANCORP | 33631P102 | COM | 9,562 | $74,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 5,661 | $74,000 | thousands by filing date | |
| SIREN ETF TR | 829658103 | LG BLND IDX ETF | 2,709 | $74,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 394 | $73,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 3,800 | $73,000 | thousands by filing date | call |
| FIRST EAGLE SENIOR LOAN FUND | 32010E100 | COM NEW | 5,908 | $73,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 5,717 | $73,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 3,473 | $73,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 10,600 | $73,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 17,392 | $73,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H666 | FRMLAFOLIOS TATL | 3,041 | $73,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 2,679 | $73,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 4,372 | $73,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 8,492 | $72,000 | thousands by filing date | |
| FIDELITY HIGH YIELD FACTOR ETF | 316092618 | HIGH YILD ETF | 1,345 | $72,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 1,495 | $72,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,200 | $72,000 | thousands by filing date | put |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 11,097 | $72,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 1,510 | $72,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 10,415 | $72,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 137,627 | $72,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430255 | NEW AGE CONSU | 878 | $72,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 2,503 | $71,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 2,949 | $71,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 6,411 | $71,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 2,906 | $71,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 5,009 | $71,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 11,105 | $71,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 4,040 | $71,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 715 | $71,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 2,633 | $70,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 10,737 | $70,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 1,583 | $70,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 3,253 | $70,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 3,063 | $70,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 559 | $70,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 98,000 | $70,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 3,537 | $70,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 500 | $69,000 | thousands by filing date | put |
| FORTIVE CORP COM | 34959J108 | Stock | 900 | $69,000 | thousands by filing date | put |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 837 | $69,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 19,471 | $69,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 6,550 | $69,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 1,007 | $69,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 55,510 | $69,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 5,111 | $69,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 3,711 | $69,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 14,100 | $68,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 5,017 | $68,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 8,809 | $68,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 6,578 | $68,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 1,944 | $68,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 3,787 | $68,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 2,502 | $68,000 | thousands by filing date | |
| Vanguard ESG U.S. Corporate Bond ETF | 921910691 | SHS | 895 | $67,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 4,622 | $67,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 4,409 | $67,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 23,144 | $67,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 2,811 | $67,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 4,939 | $67,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 105,561 | $67,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 604 | $67,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 4,412 | $67,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 8,848 | $67,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 17,113 | $67,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 1,200 | $66,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,699 | $66,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 6,784 | $66,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 12,457 | $66,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 4,982 | $66,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 5,089 | $66,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 1,183 | $66,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 3,199 | $66,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 1,798 | $66,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 5,465 | $66,000 | thousands by filing date | |
| DBX ETF TR | 233051713 | XTRCK JP MRGN ES | 3,038 | $66,000 | thousands by filing date | |
| PERIDOT ACQUISIT | G7008A123 | UNIT | 6,598 | $66,000 | thousands by filing date | |
| ETF SER SOLUTIONS SALT HIG TRUBT | 26922A479 | Stock | 2,292 | $66,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 1,000 | $65,000 | thousands by filing date | put |
| PEABODY ENGR CORP | 704551100 | COM | 28,389 | $65,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 6,512 | $65,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C334 | GRWT100 PWR BF | 1,867 | $65,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 9,242 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74347B185 | FUND | 3,413 | $65,000 | thousands by filing date | |
| PROSHARES TR | 74348A459 | ULTSHT MSCI JAP | 3,284 | $65,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 1,602 | $64,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 1,850 | $64,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 7,856 | $64,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 28,662 | $64,000 | thousands by filing date | |
| TEAM INC | 878155100 | COM | 11,685 | $64,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 2,205 | $64,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 11,748 | $64,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 1,283 | $64,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 5,334 | $63,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 19,502 | $63,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 24,915 | $63,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,137 | $63,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 2,252 | $63,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 15,086 | $63,000 | thousands by filing date | |
| DBX ETF TR | 233051267 | XTRACKERS LOW | 1,258 | $63,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 2,926 | $63,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 2,191 | $63,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,512 | $63,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 14,290 | $63,000 | thousands by filing date | |
| AON PLC SHS CL A | G0403H108 | Stock | 300 | $62,000 | thousands by filing date | call |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,128 | $62,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 6,850 | $62,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 16,284 | $62,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 2,340 | $62,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 3,880 | $62,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 1,579 | $62,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 14,818 | $62,000 | thousands by filing date | |
| PACER FDS TR | 69374H717 | CMN | 2,467 | $62,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G807 | FUND | 5,528 | $62,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 5,000 | $62,000 | thousands by filing date | |
| ProShares UltraShort MSCI Brazil Capped | 74347B292 | ETP | 3,622 | $62,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 600 | $61,000 | thousands by filing date | put |
| SANMINA CORP COM | 801056102 | Stock | 2,268 | $61,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 7,644 | $61,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 12,444 | $61,000 | thousands by filing date | |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 831 | $61,000 | thousands by filing date | |
| ENLIVEX LTD | M4130Y106 | CMN | 10,230 | $61,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-011384 | this filing | 2020-11-12 | acceptance time not in the bulk data set |