13F-HR filed by Private Advisor Group, LLC
Private Advisor Group, LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-04-01, with 1,791 holding rows worth $9,596,528,000.
- Accession
- 0001085146-21-001099
- Filer
- CIK 1567755
- Filed
- 2021-04-01
- 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, 1,791 entries on the cover page, a total value of $9,596,528,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,596,528,000 with VALUE read as thousands by filing date, 13F file number 028-15851. 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 |
|---|---|---|---|---|---|---|
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 1,853 | $272,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 3,386 | $272,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 13,000 | $271,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 1,344 | $270,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 4,109 | $270,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 26,430 | $270,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 30,319 | $270,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 21,049 | $268,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 2,805 | $268,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 5,055 | $267,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 6,104 | $267,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 2,843 | $265,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 2,411 | $265,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 11,972 | $265,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 7,553 | $265,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,668 | $265,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 11,020 | $264,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 31,314 | $264,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 50,792 | $264,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 21,938 | $263,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 24,682 | $261,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 8,217 | $261,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 6,532 | $261,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,507 | $260,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 8,408 | $260,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 45,859 | $259,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 20,854 | $259,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 2,609 | $258,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 6,931 | $258,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 11,642 | $255,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 11,847 | $254,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 21,500 | $254,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 464 | $254,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 1,447 | $253,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 17,256 | $253,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 17,607 | $253,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 22,800 | $253,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 36,725 | $253,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,393 | $251,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 10,048 | $251,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 6,593 | $251,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,066 | $250,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 12,658 | $250,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 875 | $248,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 2,112 | $248,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 1,534 | $246,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,183 | $246,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 9,629 | $246,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 5,998 | $246,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 16,391 | $244,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 3,891 | $243,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 6,721 | $243,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 3,903 | $243,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 4,790 | $243,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 3,077 | $242,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 747 | $242,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 233 | $241,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 3,050 | $240,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 6,443 | $239,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 5,106 | $239,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 7,322 | $239,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 8,020 | $238,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,012 | $237,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 4,348 | $237,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 1,816 | $236,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 9,458 | $236,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 12,388 | $233,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 28,132 | $233,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 70,400 | $232,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 28,866 | $231,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 5,094 | $231,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 5,217 | $230,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 1,780 | $229,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 33,050 | $229,000 | thousands by filing date | |
| XPENG INC ADS | 98422D105 | ADR | 5,325 | $228,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 11,621 | $228,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 3,450 | $228,000 | thousands by filing date | |
| RH | 74967X103 | COM | 509 | $228,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 13,094 | $227,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 19,348 | $227,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 6,153 | $226,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR MFS SYS GWT EQ | 78467V889 | CEF | 1,950 | $226,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 13,245 | $225,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 3,712 | $224,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 1,572 | $223,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 2,098 | $223,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 1,977 | $220,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 16,853 | $220,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 6,917 | $220,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 2,684 | $220,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 2,655 | $218,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 14,994 | $218,000 | thousands by filing date | |
| TELOS CORP MD | 87969B101 | COM | 6,600 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 7,187 | $217,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 15,212 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 16,807 | $216,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 12,009 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 4,467 | $215,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 13,956 | $213,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 9,194 | $213,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 22,669 | $213,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 33,400 | $212,000 | thousands by filing date | call |
| CASEYS GEN STORES INC | 147528103 | COM | 1,190 | $212,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q647 | MUNICIPAL ETF | 3,858 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 10,461 | $211,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 21,353 | $211,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 3,943 | $210,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 5,259 | $210,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,475 | $208,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 2,079 | $207,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 10,334 | $207,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 7,241 | $207,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 1,475 | $206,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 284 | $206,000 | thousands by filing date | |
| CARLYLE GROUP INC COM | 14316J108 | Stock | 6,516 | $205,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 2,006 | $205,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 3,492 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 3,297 | $205,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 8,385 | $205,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 938 | $204,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 465 | $203,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 1,130 | $202,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,099 | $201,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 8,615 | $201,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 11,474 | $200,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S116 | CL A SHS | 15,050 | $199,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 11,270 | $198,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 17,289 | $196,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 17,865 | $196,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 18,559 | $195,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 16,822 | $192,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 18,866 | $191,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 13,165 | $190,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 22,396 | $189,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 11,407 | $188,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 26,705 | $187,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 17,500 | $185,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 10,018 | $183,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 34,559 | $182,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 18,685 | $180,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 10,957 | $176,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 10,100 | $173,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 57,922 | $173,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 18,723 | $170,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 24,542 | $169,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 19,346 | $169,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 10,937 | $169,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 16,327 | $168,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 12,275 | $167,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 41,635 | $166,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 20,575 | $165,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 30,740 | $164,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 21,989 | $163,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 10,708 | $163,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,450 | $162,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 11,673 | $160,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 14,545 | $159,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,995 | $159,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 11,670 | $159,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 17,990 | $158,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 114,915 | $156,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 34,847 | $154,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 26,750 | $154,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 20,184 | $154,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 11,765 | $153,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 20,000 | $153,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,508 | $149,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 16,000 | $148,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 17,515 | $146,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 20,924 | $145,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 61,894 | $143,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 17,074 | $139,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 22,333 | $138,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 11,414 | $134,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 25,034 | $131,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 35,008 | $130,000 | thousands by filing date | |
| Global X Cannabis ETF | 37954Y426 | EX TRD EQ FD | 13,003 | $129,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 13,169 | $125,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,077 | $125,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,830 | $117,000 | thousands by filing date | |
| HUMANCO ACQUISITION CORP | 44487N208 | UNIT 12/08/2023 | 10,000 | $110,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 25,746 | $109,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 15,180 | $106,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 11,987 | $103,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 37,100 | $102,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 16,425 | $102,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,560 | $101,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 10,056 | $101,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 147,024 | $101,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 30,646 | $96,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 14,507 | $96,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 37,250 | $95,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 12,965 | $92,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 39,046 | $90,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 14,480 | $88,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 14,384 | $88,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 10,752 | $87,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 11,000 | $85,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 240,666 | $84,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 18,785 | $83,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 17,608 | $82,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 14,469 | $81,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 24,026 | $81,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 18,618 | $80,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 34,229 | $80,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 31,100 | $77,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 26,680 | $76,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 12,709 | $73,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 54,000 | $73,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 31,864 | $72,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 18,808 | $70,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 11,904 | $69,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 10,500 | $68,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 13,000 | $66,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 12,452 | $65,000 | thousands by filing date | |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 11,825 | $65,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 11,000 | $65,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 32,531 | $64,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 13,550 | $62,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 20,177 | $60,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 19,000 | $59,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 23,800 | $52,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 20,062 | $50,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 12,320 | $48,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,000 | $47,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,200 | $47,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 11,709 | $47,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 20,620 | $43,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 13,740 | $42,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 19,188 | $41,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,300 | $40,000 | thousands by filing date | call |
| ATHERSYS INC | 04744L106 | COM | 22,284 | $39,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 41,010 | $35,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 25,061 | $35,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 24,518 | $34,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,312 | $30,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 10,441 | $28,000 | thousands by filing date | |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 18,006 | $28,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 25,783 | $26,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 10,210 | $24,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 24,804 | $24,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 20,300 | $23,000 | thousands by filing date | call |
| GENERAL MTRS CO COM | 37045V100 | Stock | 5,500 | $23,000 | thousands by filing date | call |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 200 | $23,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 13,250 | $21,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E409 | COM | 10,600 | $21,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 55,300 | $20,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 2,300 | $18,000 | thousands by filing date | put |
| Ampio Pharmaceuticals | 03209T109 | COM | 11,250 | $18,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 1,000 | $13,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 500 | $13,000 | thousands by filing date | call |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 35,000 | $13,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 10,990 | $12,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 800 | $11,000 | thousands by filing date | put |
| EQUINOX GOLD CORP | 29446Y502 | COM | 20,000 | $11,000 | thousands by filing date | call |
| BRISTOL-MYERS SQUIBB CO | 110122140 | RIGHT 12/30/2030 | 30,000 | $11,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 11,000 | $11,000 | thousands by filing date | principal |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 700 | $10,000 | thousands by filing date | call |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 600 | $10,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,707 | $10,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 10,562 | $10,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 30,000 | $10,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 200 | $9,000 | thousands by filing date | put |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,600 | $9,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 5,000 | $6,000 | thousands by filing date | put |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 1,000 | $4,000 | thousands by filing date | put |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 2,300 | $4,000 | thousands by filing date | call |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 600 | $4,000 | thousands by filing date | call |
| MODERNA INC | 60770K107 | COM | 1,000 | $3,000 | thousands by filing date | put |
| HANCOCK JAFFE LABORATORIES I | 41015N114 | *W EXP 05/30/202 | 10,000 | $3,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 1,500 | $2,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 100 | $2,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 2,500 | $1,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 200 | $1,000 | thousands by filing date | put |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 200 | $1,000 | thousands by filing date | put |
| Advanced Micro Devices,Inc. | 007903107 | COM | 400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| American Tower Corporation | 03027X100 | COM | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Boeing Company | 097023105 | COM | 0 | $0 | thousands by filing date | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Bristol-Myers Squibb Company | 110122108 | COM | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Costco Wholesale Corporation | 22160K105 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| META PLATFORMS INC CL A | 30303M102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Qualcomm Incorporated | 747525103 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Walt Disney Co | 254687106 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| PINTEREST INC CL A | 72352L106 | Stock | 0 | $0 | thousands by filing date | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| FIRST SOLAR INC COM | 336433107 | Stock | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| EASTMAN CHEM CO COM | 277432100 | Stock | 2,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 6,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ZYNGA INC. | 98986T108 | CL A | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| LAM RESEARCH CORP | 512807108 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VBI VACCINES INC | 91822J103 | COM NEW | 10,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-001099 | this filing | 2021-04-01 | acceptance time not in the bulk data set |