13F-HR filed by RAYMOND JAMES & ASSOCIATES
RAYMOND JAMES & ASSOCIATES filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 3,754 holding rows worth $91,174,340,000.
- Accession
- 0001084208-21-000001
- Filer
- CIK 1084208
- 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, 3,859 entries on the cover page, a total value of $91,174,340,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $91,174,340,000 with VALUE read as thousands by filing date, 13F file number 028-04393. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| TENNECO INC | 880349105 | COM | 13,322 | $141,000 | thousands by filing date | |
| NULL | 68620A203 | NULL | 11,480 | $141,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 17,013 | $139,000 | thousands by filing date | |
| CC NEUBERGER PRINCIPAL HLDNG | G1992Y106 | UNIT 99/99/9999 | 11,700 | $139,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 33,138 | $137,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 67,700 | $136,000 | thousands by filing date | call |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 34,440 | $136,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 28,195 | $136,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 12,975 | $132,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 30,050 | $132,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 14,382 | $131,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 43,626 | $130,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 38,090 | $129,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 12,435 | $129,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 56,585 | $129,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 10,644 | $128,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 12,034 | $128,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 40,886 | $128,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 21,811 | $125,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 14,720 | $124,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 17,910 | $122,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 20,400 | $122,000 | thousands by filing date | put |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 12,215 | $122,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 207,100 | $121,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 25,910 | $121,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 10,467 | $121,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 13,600 | $120,000 | thousands by filing date | call |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 37,814 | $120,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 10,100 | $119,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 10,435 | $119,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 12,540 | $118,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 15,648 | $116,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 10,500 | $116,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 13,778 | $115,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 54,075 | $115,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 16,264 | $115,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 15,858 | $114,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 34,150 | $113,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 17,100 | $111,000 | thousands by filing date | call |
| EXICURE INC | 30205M101 | COM | 62,500 | $111,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 10,345 | $110,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 159,511 | $110,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 17,851 | $108,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 13,227 | $108,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 12,520 | $107,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 13,118 | $106,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 23,398 | $105,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 27,056 | $105,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 35,700 | $104,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 36,400 | $104,000 | thousands by filing date | call |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 26,895 | $103,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 23,415 | $103,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 34,100 | $102,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 18,508 | $101,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 27,425 | $101,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 16,809 | $101,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 11,056 | $101,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 95,506 | $101,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 12,406 | $99,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 10,610 | $98,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 18,575 | $96,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 12,191 | $96,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 24,950 | $94,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 15,200 | $94,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 12,741 | $94,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 17,998 | $94,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 11,294 | $93,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 21,750 | $93,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 10,553 | $93,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 12,404 | $92,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 90,000 | $92,000 | thousands by filing date | principal |
| GENPREX INC | 372446104 | COM | 22,200 | $92,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 17,266 | $90,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 11,500 | $89,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 12,244 | $88,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 34,400 | $86,000 | thousands by filing date | call |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 12,350 | $86,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 19,713 | $86,000 | thousands by filing date | |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 54,724 | $86,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 11,167 | $83,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 10,878 | $83,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 21,900 | $83,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 15,503 | $82,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 43,700 | $81,000 | thousands by filing date | call |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 33,937 | $81,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 11,256 | $81,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 10,215 | $81,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 28,350 | $81,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 29,913 | $79,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 10,313 | $79,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 24,857 | $76,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 22,300 | $73,000 | thousands by filing date | put |
| CONDUENT INC | 206787103 | COM | 15,256 | $73,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 27,600 | $73,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 13,366 | $72,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 75,000 | $71,000 | thousands by filing date | principal |
| SYNCHRONYFINL | 87165B103 | STOK | 68,200 | $68,000 | thousands by filing date | call |
| PARTY CITY HOLDCO INC | 702149105 | COM | 10,856 | $67,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 97,400 | $66,000 | thousands by filing date | call |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 24,598 | $66,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 15,000 | $66,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 49,000 | $65,000 | thousands by filing date | call |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 13,758 | $65,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 38,600 | $64,000 | thousands by filing date | call |
| METLIFE INC COM | 59156R108 | Stock | 60,800 | $63,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 38,700 | $62,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 41,100 | $61,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 21,000 | $61,000 | thousands by filing date | call |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 18,550 | $61,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 12,000 | $59,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 44,200 | $58,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 21,990 | $58,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 53,600 | $57,000 | thousands by filing date | call |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 11,876 | $57,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 20,371 | $57,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 22,100 | $56,000 | thousands by filing date | call |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 11,585 | $56,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 22,000 | $55,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 13,900 | $54,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 23,620 | $54,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 90,700 | $53,000 | thousands by filing date | call |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 37,800 | $53,000 | thousands by filing date | put |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 60,000 | $53,000 | thousands by filing date | principal |
| RESEARCH FRONTIERS INC | 760911107 | COM | 18,500 | $52,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 51,864 | $52,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 23,457 | $50,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 23,550 | $50,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 32,200 | $49,000 | thousands by filing date | call |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 10,522 | $49,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 44,300 | $47,000 | thousands by filing date | call |
| AIR PRODS & CHEMS INC | 009158106 | COM | 28,600 | $46,000 | thousands by filing date | call |
| FG NEW AMER ACQUISITION CORP | 30259V114 | *W EXP 08/31/202 | 31,532 | $46,000 | thousands by filing date | |
| HOWMET AEROSPACE INC COM | 443201108 | Stock | 11,900 | $45,000 | thousands by filing date | call |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 10,725 | $44,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 14,155 | $44,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 70,355 | $44,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 10,200 | $43,000 | thousands by filing date | call |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 16,200 | $42,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 13,976 | $41,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 14,500 | $41,000 | thousands by filing date | call |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 25,000 | $41,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 24,205 | $41,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 23,473 | $41,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 81,100 | $40,000 | thousands by filing date | call |
| DANA INC | 235825205 | COM | 18,100 | $40,000 | thousands by filing date | call |
| ENGLOBAL CORP | 293306106 | COM | 47,500 | $40,000 | thousands by filing date | call |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 11,200 | $39,000 | thousands by filing date | call |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 24,200 | $39,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 11,726 | $39,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 23,300 | $38,000 | thousands by filing date | call |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 14,803 | $38,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 53,000 | $37,000 | thousands by filing date | call |
| SYNLOGIC INC | 87166L100 | COM | 16,500 | $36,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 19,878 | $35,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 93,100 | $34,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 82,500 | $33,000 | thousands by filing date | put |
| NOVAN INC | 66988N106 | COM | 40,697 | $33,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 12,223 | $32,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 43,100 | $31,000 | thousands by filing date | call |
| SYSCOCORP | 871829107 | COM | 19,800 | $31,000 | thousands by filing date | call |
| VBI VACCINES INC | 91822J103 | COM NEW | 68,200 | $31,000 | thousands by filing date | call |
| CORVUS GOLD INC | 221013105 | COM | 13,225 | $31,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 27,100 | $29,000 | thousands by filing date | call |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,700 | $29,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 49,000 | $29,000 | thousands by filing date | call |
| PULTE GROUP INC COM | 745867101 | Stock | 46,000 | $28,000 | thousands by filing date | call |
| BIG LOTS INC | 089302103 | COM | 11,200 | $28,000 | thousands by filing date | call |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 20,812 | $28,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 10,400 | $28,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 21,605 | $27,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 20,090 | $27,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 36,700 | $26,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 39,140 | $26,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 30,000 | $26,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 11,100 | $25,000 | thousands by filing date | call |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 12,000 | $25,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 15,000 | $25,000 | thousands by filing date | principal |
| HAPPEN INC COM NEW | 52603A208 | Stock | 21,300 | $24,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 23,900 | $23,000 | thousands by filing date | call |
| TOLL BROTHERS INC COM | 889478103 | Stock | 35,300 | $23,000 | thousands by filing date | call |
| WPX ENERGY INC | 98212B103 | COM | 16,200 | $22,000 | thousands by filing date | call |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 20,000 | $22,000 | thousands by filing date | principal |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 17,681 | $22,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 11,200 | $21,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 56,800 | $20,000 | thousands by filing date | call |
| ZYNGA INC. | 98986T108 | CL A | 21,500 | $20,000 | thousands by filing date | call |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 16,500 | $20,000 | thousands by filing date | call |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 10,700 | $20,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 101,300 | $19,000 | thousands by filing date | call |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $19,000 | thousands by filing date | principal |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 15,000 | $19,000 | thousands by filing date | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 15,000 | $19,000 | thousands by filing date | principal |
| Altria Group Inc | 02209S103 | COM | 26,400 | $18,000 | thousands by filing date | call |
| CME Group Inc. Class A | 12572Q105 | COM | 35,600 | $18,000 | thousands by filing date | call |
| ENERGOUS CORP | 29272C103 | COM | 10,225 | $18,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 25,000 | $18,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 38,452 | $18,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 12,000 | $17,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 32,900 | $17,000 | thousands by filing date | call |
| Pfizer Inc. | 717081103 | COM | 82,100 | $17,000 | thousands by filing date | call |
| HECLA MNG CO | 422704106 | COM | 26,500 | $17,000 | thousands by filing date | call |
| VAXART INC NEW | 92243A200 | COM | 15,000 | $17,000 | thousands by filing date | call |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 15,000 | $17,000 | thousands by filing date | principal |
| KAMAN CORP | 483548AF0 | BOND | 15,000 | $17,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 15,000 | $17,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 15,000 | $16,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 15,000 | $16,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 15,000 | $16,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 15,000 | $16,000 | thousands by filing date | principal |
| Amgen Inc. | 031162100 | COM | 13,200 | $15,000 | thousands by filing date | call |
| International Business Machines Corporation | 459200101 | COM | 16,500 | $15,000 | thousands by filing date | call |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 17,100 | $15,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 43,000 | $15,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 15,000 | $15,000 | thousands by filing date | principal |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 11,600 | $15,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 25,500 | $14,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 79,900 | $14,000 | thousands by filing date | call |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 18,900 | $14,000 | thousands by filing date | call |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 54,600 | $14,000 | thousands by filing date | call |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TRIP COM GROUP LTD | 22943FAM2 | DBCV 1.250% 9/1 | 15,000 | $14,000 | thousands by filing date | principal |
| Verizon Communications Inc | 92343V104 | COM | 188,900 | $13,000 | thousands by filing date | call |
| EDGIO INC | 53261M104 | COM | 12,000 | $13,000 | thousands by filing date | call |
| IBIO INC | 451033203 | COM NEW | 11,000 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 11,400 | $11,000 | thousands by filing date | call |
| ADT INC DEL COM | 00090Q103 | Stock | 12,000 | $11,000 | thousands by filing date | call |
| Inflarx Nv | N44821101 | COM | 18,000 | $11,000 | thousands by filing date | call |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 13,000 | $11,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 41,200 | $10,000 | thousands by filing date | call |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 44,100 | $9,000 | thousands by filing date | call |
| EQT CORP COM | 26884L109 | Stock | 12,500 | $8,000 | thousands by filing date | call |
| Veru Inc | 92536C103 | Common Stock | 75,000 | $8,000 | thousands by filing date | call |
| Altria Group Inc | 02209S103 | COM | 11,500 | $7,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 22,600 | $7,000 | thousands by filing date | call |
| Chevron Corporation | 166764100 | COM | 59,100 | $7,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 19,600 | $7,000 | thousands by filing date | call |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 10,500 | $7,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 11,300 | $6,000 | thousands by filing date | put |
| ZOMEDICA CORP COM | 98980M109 | Stock | 21,186 | $5,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 10,900 | $3,000 | thousands by filing date | call |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 14,900 | $3,000 | thousands by filing date | put |
| B & G FOODS INC | 05508R106 | COM | 59,200 | $3,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 13,000 | $3,000 | thousands by filing date | call |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 11,200 | $3,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 14,500 | $2,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 15,300 | $1,000 | thousands by filing date | call |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 17,500 | $1,000 | thousands by filing date | call |
| Raytheon Technologies Corporation | 75513E101 | COM | 22,000 | $1,000 | thousands by filing date | call |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,100 | $1,000 | thousands by filing date | call |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 16,400 | $1,000 | thousands by filing date | put |
| 3M CO COM | 88579Y101 | Stock | 13,800 | $1,000 | thousands by filing date | call |
| ADMA BIOLOGICS INC | 000899104 | COM | 18,000 | $1,000 | thousands by filing date | call |
| GENWORTH FINL INC | 37247D106 | COM SHS | 12,000 | $1,000 | thousands by filing date | call |
| iShares Gold Trust | 464285105 | ISHARES | 14,500 | $1,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001084208-21-000001 | this filing | 2021-02-12 | acceptance time not in the bulk data set |