13F-HR filed by BANK OF MONTREAL /CAN/
BANK OF MONTREAL /CAN/ filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 4,958 holding rows worth $151,182,955,000.
- Accession
- 0000950123-21-001902
- Filer
- CIK 927971
- Filed
- 2021-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 16,041 entries on the cover page, a total value of $151,182,955,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $151,182,955,000 with VALUE read as thousands by filing date, 13F file number 028-07640. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBMO HARRIS BANK N.A.
- included managerBMO ASSET MANAGEMENT CORP.
- included managerSTOKER OSTLER WEALTH ADVISORS, INC.
- included managerBMO NESBITT BURNS INC.
- included managerBMO PRIVATE INVESTMENT COUNSEL INC.
- included managerBMO ASSET MANAGEMENT INC.
- included managerF&C ASSET MANAGEMENT
- included managerBMO HARRIS FINANCIAL ADVISORS, INC.
- included managerBMO FAMILY OFFICE LLC
- included managerBANK OF MONTREAL IRELAND P.L.C.
- included managerPYRFORD INTERNATIONAL LIMITED
- included managerBMO CAPITAL MARKETS CORP.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| RBB BANCORP | 74930B105 | COMMON STOCK | 2,540 | $45,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 7,747 | $45,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 1,003 | $45,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 1,341 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 3,400 | $45,000 | thousands by filing date | |
| DUN & BRADSTREET HLDGS INC | 26484T106 | COM | 1,718 | $45,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 1,705 | $45,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 1,627 | $45,000 | thousands by filing date | |
| CTO REALTY GROWTH INC | 22948P103 | COM | 1,074 | $45,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 4,000 | $44,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 5,306 | $44,000 | thousands by filing date | |
| SPHERE ENTERTAINMENT CO CL A | 55826T102 | Stock | 438 | $44,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 2,341 | $44,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 450 | $44,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 2,391 | $44,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 400 | $44,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 352 | $44,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 2,218 | $44,000 | thousands by filing date | |
| CARTER BANKSHARES INC | 146103106 | COMMON STOCK | 3,881 | $44,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 1,200 | $44,000 | thousands by filing date | put |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 2,255 | $44,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 7,017 | $44,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 3,775 | $44,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 10,800 | $44,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 10,800 | $44,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F796 | COM | 734 | $44,000 | thousands by filing date | principal |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 395 | $43,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 3,500 | $43,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 350 | $43,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 1,274 | $43,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 2,508 | $43,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 2,060 | $43,000 | thousands by filing date | |
| TARSUS PHARMACEUTICALS INC | 87650L103 | COMMON STOCK | 965 | $43,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 2,646 | $43,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 3,775 | $43,000 | thousands by filing date | |
| AKOUOS INC | 00973J101 | COM | 2,249 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 294 | $42,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 438 | $42,000 | thousands by filing date | |
| GRANITESHARES GOLD TR | 38748G101 | SHS BEN INT | 2,300 | $42,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 4,698 | $42,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,044 | $42,000 | thousands by filing date | |
| INVESCO NASDAQ NEXT GEN 100 ETF | 46138G631 | ETF | 1,300 | $42,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 2,145 | $42,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 5,081 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 2,570 | $42,000 | thousands by filing date | |
| INHIBRX INC | 45720L107 | COM | 1,274 | $42,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 1,550 | $42,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 2,667 | $42,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 4,917 | $41,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 3,005 | $41,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,013 | $41,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 7,021 | $41,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 6,358 | $41,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 7,077 | $41,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 3,067 | $41,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,764 | $41,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 12,971 | $41,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 2,120 | $40,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 3,553 | $40,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,625 | $40,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 607 | $40,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 764 | $40,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 2,645 | $40,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 2,238 | $40,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 4,188 | $40,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 4,823 | $40,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 5,275 | $40,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 2,023 | $39,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 1,574 | $39,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 2,287 | $39,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 952 | $39,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 3,753 | $39,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 5,104 | $39,000 | thousands by filing date | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 638 | $39,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 25,834 | $39,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 11,069 | $39,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 2,475 | $39,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 15,156 | $39,000 | thousands by filing date | |
| NORTHERN GENESIS ACQUISITION | 66516T203 | UNIT 07/31/2027 | 1,419 | $39,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 468 | $38,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 7,027 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 215 | $38,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 1,107 | $38,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 1,250 | $38,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 2,442 | $38,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 3,973 | $38,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,186 | $38,000 | thousands by filing date | |
| TAYSHA GENE THERAPIES INC | 877619106 | COMMON STOCK | 1,364 | $38,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 1,554 | $38,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 7,597 | $38,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 303 | $38,000 | thousands by filing date | |
| PERSHING SQUARE TONTINE HLDG COM | 71531R109 | CL A | 1,333 | $38,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 3,791 | $38,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 30,129 | $38,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 2,479 | $37,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 12,205 | $37,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 4,018 | $37,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 1,459 | $37,000 | thousands by filing date | |
| NETSTREIT CORP | 64119V303 | COM | 2,118 | $37,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 400 | $37,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 6,120 | $37,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 4,564 | $37,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 6,628 | $37,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 2,269 | $37,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 2,807 | $37,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 13,731 | $37,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 1,382 | $37,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 11,177 | $37,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 10,367 | $37,000 | thousands by filing date | |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 22,576 | $37,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 14,572 | $36,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 10,836 | $36,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 803 | $36,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 2,879 | $36,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 1,017 | $36,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 2,227 | $36,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 299 | $36,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 18,985 | $36,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 1,689 | $36,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 14,099 | $36,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 1,677 | $36,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 10,516 | $36,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 8,157 | $36,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 7,889 | $36,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 2,011 | $36,000 | thousands by filing date | |
| HARMONY BIOSCIENCES HLDGS IN | 413197104 | COM | 975 | $35,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 2,157 | $35,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 2,001 | $35,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 590 | $35,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,149 | $35,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 2,530 | $35,000 | thousands by filing date | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 1,137 | $35,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 13,661 | $35,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,574 | $35,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,200 | $35,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 814 | $35,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 2,900 | $35,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 3,006 | $35,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 3,808 | $35,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 4,613 | $35,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 381 | $34,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 1,056 | $34,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 589 | $34,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,311 | $34,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 11,154 | $34,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,825 | $34,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 3,981 | $34,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 5,317 | $34,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 829 | $34,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 2,717 | $34,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 63,694 | $34,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 7,122 | $34,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 11,539 | $34,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 1,875 | $34,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T282 | XLNKS REIT ETN36 | 6,000 | $34,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 200 | $33,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 3,139 | $33,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 1,656 | $33,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 467 | $33,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 3,119 | $33,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,477 | $33,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 3,988 | $33,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 1,236 | $33,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,064 | $33,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,082 | $33,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 244 | $33,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,047 | $33,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC | 16961L106 | COM | 2,031 | $33,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 1,265 | $33,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 7,500 | $33,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 4,786 | $33,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 4,909 | $33,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 508 | $33,000 | thousands by filing date | |
| BRILLIANT ACQUISITION CORP | G1643W129 | *W EXP 03/30/202 | 43,692 | $33,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 2,319 | $33,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 5,541 | $33,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 7,017 | $33,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 720 | $32,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 768 | $32,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 6,000 | $32,000 | thousands by filing date | put |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 535 | $32,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 1,611 | $32,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 1,500 | $32,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 7,817 | $32,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 6,564 | $32,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 974 | $32,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 2,648 | $32,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,338 | $32,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 13,000 | $32,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 1,500 | $32,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 1,315 | $32,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 2,402 | $32,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 1,043 | $32,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 3,797 | $32,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 7,785 | $32,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,588 | $32,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 100 | $31,000 | thousands by filing date | call |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 1,414 | $31,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 1,800 | $31,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 600 | $31,000 | thousands by filing date | put |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 7,000 | $31,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 2,140 | $31,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,669 | $31,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 498 | $31,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 2,386 | $31,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 10,279 | $31,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 2,581 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 750 | $31,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 4,249 | $31,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W609 | FLEX BD LEAD ETF | 1,226 | $31,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 1,844 | $31,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 425 | $31,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 2,587 | $31,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 2,885 | $31,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 2,159 | $31,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 2,000 | $31,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 9,846 | $31,000 | thousands by filing date | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 7,330 | $31,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 11,400 | $31,000 | thousands by filing date | put |
| CRH MEDICAL CORP | 12626F105 | COM | 14,530 | $31,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 1,577 | $31,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 1,710 | $30,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 5,000 | $30,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 1,000 | $30,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 1,100 | $30,000 | thousands by filing date | put |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 6,388 | $30,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 3,501 | $30,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 1,750 | $30,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 3,076 | $30,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 197 | $30,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 1,203 | $30,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 1,250 | $30,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 2,199 | $30,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 4,226 | $30,000 | thousands by filing date | |
| SHIFT4 PMTS INC CL A | 82452J109 | Stock | 400 | $29,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 1,633 | $29,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 285 | $29,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 815 | $29,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 2,060 | $29,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 4,470 | $29,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 3,550 | $29,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 4,553 | $29,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 1,752 | $29,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 5,800 | $29,000 | thousands by filing date | put |
| LUTHER BURBANK CORP | 550550107 | COM | 2,818 | $29,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 4,730 | $29,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 37,935 | $29,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 10,163 | $29,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 803 | $28,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 448 | $28,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 2,680 | $28,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 7,722 | $28,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 590 | $28,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 896 | $28,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 1,000 | $28,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,825 | $28,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 854 | $28,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 4,183 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 1,500 | $28,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 1,868 | $28,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM | 06368B504 | CMN | 256 | $28,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 427 | $28,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 1,297 | $28,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 12,247 | $28,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 3,222 | $28,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 9,207 | $28,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 3,001 | $28,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 2,066 | $28,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 1,969 | $28,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 1,028 | $28,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 4,500 | $28,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 4,372 | $28,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 8,666 | $28,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 7,487 | $28,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 135 | $27,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 35,115 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 764 | $27,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 377 | $27,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 3,495 | $27,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 1,617 | $27,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 1,715 | $27,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 2,010 | $27,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,121 | $27,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 898 | $27,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 582 | $27,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 6,215 | $27,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 1,578 | $27,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 4,665 | $27,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 3,753 | $27,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 3,373 | $27,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 5,849 | $27,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 3,823 | $27,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 113 | $26,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 3,000 | $26,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 3,608 | $26,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 2,227 | $26,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,080 | $26,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 3,069 | $26,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 3,106 | $26,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 1,510 | $26,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 1,123 | $26,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 1,200 | $26,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,261 | $26,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 751 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 395 | $26,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 4,136 | $26,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 3,410 | $26,000 | thousands by filing date | |
| BLUEGREEN VACATIONS HLDG COR | 096308101 | COM | 1,996 | $26,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 2,233 | $26,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 800 | $25,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 89 | $25,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 820 | $25,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 20,070 | $25,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 6,272 | $25,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 6,400 | $25,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 3,804 | $25,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 3,395 | $25,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 1,066 | $25,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 1,838 | $25,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 913 | $25,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,113 | $25,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 5,988 | $25,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,350 | $25,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 8,337 | $25,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,030 | $25,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 1,853 | $25,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 1,404 | $25,000 | thousands by filing date | |
| BANK OF MONTREAL | 063679872 | MICROSECTRS IDX | 91 | $25,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,656 | $24,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 540 | $24,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 1,200 | $24,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 600 | $24,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 902 | $24,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 2,208 | $24,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 1,100 | $24,000 | thousands by filing date | put |
| TELENAV INC | 879455103 | COMMON STOCK | 5,070 | $24,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 1,410 | $24,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 1,316 | $24,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 35,097 | $24,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 5,656 | $24,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 901 | $24,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 3,439 | $24,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 2,239 | $24,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 2,026 | $24,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 2,976 | $24,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 1,847 | $24,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,408 | $24,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 790 | $24,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 700 | $24,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 6,800 | $23,000 | thousands by filing date | put |
| ABRDN PRECIOUS METALS BASKET | 003263100 | PHYSCL PRECS MET | 244 | $23,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 4,849 | $23,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 1,054 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 500 | $23,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 785 | $23,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 151 | $23,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 1,489 | $23,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,037 | $23,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,176 | $23,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 4,260 | $23,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 1,583 | $23,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 867 | $23,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 1,490 | $23,000 | thousands by filing date | |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 1,096 | $23,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 8,179 | $23,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 6,514 | $23,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 10,162 | $23,000 | thousands by filing date | |
| CODIAK BIOSCIENCES INC | 192010106 | COM | 877 | $23,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 1,564 | $23,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 420 | $22,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 10,338 | $22,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 420 | $22,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 190 | $22,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 3,718 | $22,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 2,000 | $22,000 | thousands by filing date | |
| BERKELEY LTS INC | 084310101 | COM | 257 | $22,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,471 | $22,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 1,130 | $22,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 1,882 | $22,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 2,288 | $22,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 1,322 | $22,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 908 | $22,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 1,831 | $22,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 871 | $22,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 5,810 | $22,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 13,844 | $22,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,281 | $22,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 8,248 | $22,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 771 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H607 | OIL SERVICES ETF | 119 | $21,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 576 | $21,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 16,752 | $21,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,321 | $21,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A150 | COM | 939 | $21,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,417 | $21,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 1,006 | $21,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 549 | $21,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 2,608 | $21,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 290 | $21,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 2,163 | $21,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 6,300 | $21,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 5,222 | $21,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 939 | $21,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 721 | $21,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,881 | $21,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 1,725 | $21,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 1,945 | $21,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 889 | $21,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 3,923 | $21,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 4,530 | $21,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 9,258 | $21,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 635 | $21,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 700 | $20,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 3,741 | $20,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 400 | $20,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,154 | $20,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,151 | $20,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 1,816 | $20,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 135 | $20,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 300 | $20,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 846 | $20,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,096 | $20,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 6,427 | $20,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 1,203 | $20,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 2,584 | $20,000 | thousands by filing date | |
| KRANESHARES TR | 500767660 | MSCI CN ESG LEAD | 617 | $20,000 | thousands by filing date | |
| PANDION THERAPEUTICS INC | 698340106 | COM | 1,164 | $20,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 5,936 | $20,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 477 | $19,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 225 | $19,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,404 | $19,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 986 | $19,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 1,230 | $19,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,266 | $19,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 813 | $19,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 7,578 | $19,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 1,879 | $19,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,857 | $19,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 484 | $19,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 2,510 | $19,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 3,481 | $19,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 575 | $19,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,203 | $19,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 239 | $19,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 292 | $19,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 2,087 | $19,000 | thousands by filing date | |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 700 | $19,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 4,120 | $19,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 9,707 | $19,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 493 | $18,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 300 | $18,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 62 | $18,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 2,000 | $18,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 3,678 | $18,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F643 | MRNGSTR WDE MOAT | 280 | $18,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 3,410 | $18,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 900 | $18,000 | thousands by filing date | put |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 989 | $18,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 877 | $18,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,209 | $18,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,055 | $18,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 868 | $18,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 731 | $18,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 2,500 | $18,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,235 | $18,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 531 | $18,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 260 | $18,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 7,412 | $18,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 6,932 | $18,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 951 | $18,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 1,359 | $18,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 10,717 | $18,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 724 | $18,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 2,031 | $18,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 22,124 | $18,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 1,322 | $18,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 2,025 | $18,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 4,238 | $18,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 437 | $17,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 492 | $17,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 130 | $17,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 318 | $17,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C813 | US EQTY PWR BUF | 600 | $17,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 20,000 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 599 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 458 | $17,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 3,982 | $17,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 120 | $17,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 314 | $17,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 1,300 | $17,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 2,245 | $17,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 626 | $17,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 982 | $17,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 1,000 | $17,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 7,363 | $17,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 3,179 | $17,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 9,348 | $17,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 324 | $17,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 3,015 | $17,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 350 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-001902 | this filing | 2021-02-12 | acceptance time not in the bulk data set |