13F-HR/A filed by PATHSTONE FAMILY OFFICE, LLC
PATHSTONE FAMILY OFFICE, LLC filed this 13F-HR/A for the quarter ended 2022-09-30, filed 2023-10-24, with 1,237 holding rows worth $5,248,544,342.
- Accession
- 0001085146-23-003871
- Filer
- CIK 1511137
- Filed
- 2023-10-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A combination report, amendment of type new holdings, 1,237 entries on the cover page, a total value of $5,248,544,342 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,248,544,342 with VALUE read as dollars as filed, 13F file number 028-14122. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
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 |
|---|---|---|---|---|---|---|
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 6,207 | $253,408 | dollars as filed | |
| AES CORP COM | 00130H105 | Stock | 10,515 | $253,012 | dollars as filed | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 4,760 | $252,865 | dollars as filed | |
| LI-CYCLE HOLDINGS CORP | 50202P105 | COMMON SHARES | 47,482 | $252,604 | dollars as filed | |
| LTC PPTYS INC COM | 502175102 | REIT | 6,741 | $252,450 | dollars as filed | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,427 | $251,704 | dollars as filed | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 4,769 | $250,270 | dollars as filed | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 2,369 | $248,932 | dollars as filed | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 15,760 | $248,535 | dollars as filed | |
| NATIONAL INSTRS CORP | 636518102 | COM | 6,579 | $248,291 | dollars as filed | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 24,574 | $247,850 | dollars as filed | |
| MEDIFAST INC | 58470H101 | COM | 2,283 | $247,386 | dollars as filed | |
| PRIMO WATER CORPORATION | 74167P108 | COM | 19,694 | $247,160 | dollars as filed | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 11,733 | $246,000 | dollars as filed | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 18,473 | $244,987 | dollars as filed | |
| MERIT MED SYS INC COM | 589889104 | Stock | 4,335 | $244,971 | dollars as filed | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 4,974 | $242,036 | dollars as filed | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 3,356 | $242,016 | dollars as filed | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 28,806 | $241,970 | dollars as filed | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 4,564 | $241,509 | dollars as filed | |
| TAPESTRY INC COM | 876030107 | Stock | 8,489 | $241,052 | dollars as filed | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,858 | $240,107 | dollars as filed | |
| Vanguard Ultra-Short Bond ETF | 92203C303 | SHS | 4,904 | $240,051 | dollars as filed | |
| NETAPP INC COM | 64110D104 | Stock | 3,861 | $238,759 | dollars as filed | |
| SITIO ROYALTIES CORP | 82982V101 | CLASS A COM | 10,787 | $238,510 | dollars as filed | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 1,697 | $238,426 | dollars as filed | |
| PROTO LABS INC | 743713109 | COM | 6,542 | $238,325 | dollars as filed | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 6,682 | $237,411 | dollars as filed | |
| LYFT INC | 55087P104 | CL A COM | 17,668 | $237,047 | dollars as filed | |
| XCELENERGY INC | 98389B100 | COM | 3,677 | $236,462 | dollars as filed | |
| BORGWARNER INC COM | 099724106 | Stock | 3,519 | $236,417 | dollars as filed | |
| LIVEPERSON, INC. | 538146101 | COM | 25,095 | $236,396 | dollars as filed | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 3,830 | $236,204 | dollars as filed | |
| ETSY INC | 29786A106 | COM | 0 | $235,800 | dollars as filed | putAmount filed as zero, left out of ratios. |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 2,619 | $235,312 | dollars as filed | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 2,264 | $233,781 | dollars as filed | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 886 | $233,537 | dollars as filed | |
| SEI INVTS CO COM | 784117103 | Stock | 4,761 | $233,287 | dollars as filed | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 12,500 | $232,375 | dollars as filed | |
| DIMENSIONAL ETF TRUST | 25434V856 | INFLATION PROTE | 5,716 | $232,355 | dollars as filed | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 32,000 | $232,000 | dollars as filed | |
| ZOOMINFO TECHNOLOGIES INC COMMON STOCK | 98980F104 | Stock | 5,569 | $231,922 | dollars as filed | |
| TIMKEN CO | 887389104 | COM | 3,935 | $231,894 | dollars as filed | |
| COUSINSPPTYSINC | 222795502 | STOK | 9,893 | $230,641 | dollars as filed | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 9,200 | $230,092 | dollars as filed | |
| PEOPLE INC | 44891N208 | COM NEW | 2,442 | $229,717 | dollars as filed | |
| ENCOMPASS HEALTH CORP COM | 29261A100 | Stock | 5,063 | $229,557 | dollars as filed | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 7,725 | $228,042 | dollars as filed | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 4,000 | $227,840 | dollars as filed | |
| PACWEST BANCORP DEL | 695263103 | COM | 9,782 | $226,231 | dollars as filed | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 5,584 | $225,705 | dollars as filed | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,017 | $225,557 | dollars as filed | |
| COVETRUS INC | 22304C100 | COM | 10,782 | $225,127 | dollars as filed | |
| INVESCO LTD SHS | G491BT108 | Stock | 16,262 | $224,883 | dollars as filed | |
| WYNN RESORTS LTD | 983134107 | COM | 3,564 | $224,822 | dollars as filed | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 2,765 | $224,242 | dollars as filed | |
| XPENG INC ADS | 98422D105 | ADR | 18,749 | $224,051 | dollars as filed | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 6,551 | $223,949 | dollars as filed | |
| VIPER | 92763M105 | COMMON STOCK | 7,769 | $222,668 | dollars as filed | |
| PROCORE TECHNOLOGIES INC COM | 74275K108 | Stock | 4,488 | $221,891 | dollars as filed | |
| BEST BUY INC COM | 086516101 | Stock | 3,470 | $221,175 | dollars as filed | |
| SIGNATURE BANK | 82669G104 | COM | 1,455 | $219,853 | dollars as filed | |
| DNOW INC | 67011P100 | COMMON STOCK | 21,813 | $219,221 | dollars as filed | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 51,337 | $219,209 | dollars as filed | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 3,291 | $218,147 | dollars as filed | |
| JACK IN THE BOX INC | 466367109 | COM | 2,943 | $217,988 | dollars as filed | |
| VMWARE, INC. | 928563402 | CL A COM | 2,029 | $216,753 | dollars as filed | |
| MKS INC. COM | 55306N104 | Stock | 2,622 | $216,551 | dollars as filed | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 4,839 | $215,850 | dollars as filed | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 2,084 | $215,465 | dollars as filed | |
| FRANCO NEV CORP COM | 351858105 | Stock | 1,803 | $215,422 | dollars as filed | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 3,412 | $215,024 | dollars as filed | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 6,884 | $214,119 | dollars as filed | |
| MILLERKNOLL INC | 600544100 | COM | 13,543 | $214,110 | dollars as filed | |
| LEGGETT & PLATT INC | 524660107 | COM | 6,368 | $213,858 | dollars as filed | |
| WD 40 CO COM | 929236107 | Stock | 1,216 | $213,604 | dollars as filed | |
| BEAM GLOBAL | 07373B109 | COM | 17,501 | $213,512 | dollars as filed | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 949 | $212,387 | dollars as filed | |
| SERVICE CORP INTL COM | 817565104 | Stock | 3,675 | $212,194 | dollars as filed | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 1,975 | $210,338 | dollars as filed | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 5,821 | $210,283 | dollars as filed | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,886 | $209,582 | dollars as filed | |
| CASEYS GEN STORES INC | 147528103 | COM | 1,031 | $208,798 | dollars as filed | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 4,500 | $208,350 | dollars as filed | |
| SPY | 78462F103 | SHS | 5,000 | $207,597 | dollars as filed | put |
| ISHARES TR | 46436E767 | COM | 7,407 | $207,544 | dollars as filed | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 3,377 | $207,178 | dollars as filed | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 3,074 | $206,481 | dollars as filed | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 3,191 | $206,478 | dollars as filed | |
| HUBSPOTINC | 443573100 | STOK | 722 | $206,111 | dollars as filed | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 10,000 | $206,086 | dollars as filed | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 5,357 | $205,656 | dollars as filed | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 3,542 | $205,530 | dollars as filed | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 8,019 | $204,457 | dollars as filed | |
| WINGSTOP INC COM | 974155103 | Stock | 1,627 | $204,415 | dollars as filed | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 22,202 | $203,812 | dollars as filed | |
| NISOURCE INC COM | 65473P105 | Stock | 8,103 | $203,664 | dollars as filed | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 7,630 | $203,034 | dollars as filed | |
| ENTEGRIS INC COM | 29362U104 | Stock | 2,448 | $202,970 | dollars as filed | |
| CLOROX CO DEL | 189054109 | COM | 1,579 | $202,513 | dollars as filed | |
| EQUIFAX INC COM | 294429105 | Stock | 1,175 | $201,591 | dollars as filed | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 1,357 | $201,460 | dollars as filed | |
| THE ARENA GROUP HOLDINGS INC | 040044109 | CMN | 15,345 | $201,024 | dollars as filed | |
| BLACKROCK HEALTH SCIENCES TE | 09260E105 | COM SHS | 13,308 | $198,687 | dollars as filed | |
| LEAD EDGE GROWTH OPRTUNTS LT | G54085124 | UNIT 04/01/2026 | 20,000 | $198,600 | dollars as filed | |
| HERCULES CAPITAL INC | 427096508 | COM | 17,090 | $197,904 | dollars as filed | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 14,456 | $195,304 | dollars as filed | |
| OLD NATL BANCORP IND | 680033107 | COM | 11,846 | $195,103 | dollars as filed | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 16,282 | $193,450 | dollars as filed | |
| iShares Silver Trust | 46428Q109 | COM | 10,789 | $188,808 | dollars as filed | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 11,790 | $188,580 | dollars as filed | |
| DIGITALBRIDGE GROUP INC | 25401T603 | CL A NEW | 14,630 | $183,162 | dollars as filed | |
| URBAN EDGE PPTYS | 91704F104 | COM | 13,567 | $181,651 | dollars as filed | |
| ABCELLERA BIOLOGICS INC COM | 00288U106 | Stock | 17,950 | $177,526 | dollars as filed | |
| PEABODY ENGR CORP | 704551100 | COM | 7,000 | $173,740 | dollars as filed | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 23,229 | $173,466 | dollars as filed | |
| SABRE CORP COM | 78573M104 | Stock | 33,623 | $173,159 | dollars as filed | |
| GINKGO BIOWORKS HOLDINGS INC | 37611X100 | CL A SHS | 55,504 | $172,999 | dollars as filed | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 10,000 | $164,500 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 66,795 | $164,316 | dollars as filed | |
| HECLA MNG CO | 422704106 | COM | 40,944 | $161,319 | dollars as filed | |
| VIATRIS INC COM | 92556V106 | Stock | 17,694 | $160,948 | dollars as filed | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 14,800 | $160,728 | dollars as filed | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 21,857 | $159,993 | dollars as filed | |
| ENERGY VAULT HOLDINGS INC | 29280W109 | COM | 30,148 | $159,181 | dollars as filed | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 11,967 | $153,149 | dollars as filed | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 10,662 | $145,766 | dollars as filed | |
| BRIDGE INVT GROUP HLDGS INC | 10806B100 | COM | 10,044 | $145,638 | dollars as filed | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 80,798 | $144,628 | dollars as filed | |
| HOPE BANCORP INC | 43940T109 | COM | 11,317 | $143,046 | dollars as filed | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 10,134 | $142,947 | dollars as filed | |
| SYROS PHARMACEUTICALS INC | 87184Q206 | COM NEW | 21,913 | $141,120 | dollars as filed | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 15,280 | $135,839 | dollars as filed | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 40,889 | $135,412 | dollars as filed | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 13,139 | $133,962 | dollars as filed | |
| SEER INC | 81578P106 | COM CL A | 17,144 | $133,000 | dollars as filed | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 31,926 | $130,773 | dollars as filed | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 30,000 | $129,900 | dollars as filed | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 10,591 | $129,740 | dollars as filed | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 11,805 | $128,199 | dollars as filed | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 21,868 | $126,944 | dollars as filed | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 18,025 | $126,716 | dollars as filed | |
| ROIVANT SCIENCES LTD | G76279101 | SHS | 38,488 | $123,931 | dollars as filed | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 14,241 | $121,476 | dollars as filed | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 10,588 | $120,564 | dollars as filed | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 10,607 | $119,491 | dollars as filed | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 12,646 | $118,371 | dollars as filed | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 10,156 | $115,881 | dollars as filed | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 28,947 | $109,709 | dollars as filed | |
| ALLOT LTD | M0854Q105 | SHS | 27,894 | $109,343 | dollars as filed | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 27,522 | $107,886 | dollars as filed | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 15,038 | $107,368 | dollars as filed | |
| NORDSTROM INC | 655664100 | COM | 0 | $107,250 | dollars as filed | callAmount filed as zero, left out of ratios. |
| ADT INC DEL COM | 00090Q103 | Stock | 13,614 | $102,029 | dollars as filed | |
| PROTERRA INC | 74374T109 | COM | 19,733 | $98,270 | dollars as filed | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 24,198 | $97,760 | dollars as filed | |
| CANOO INC | 13803R102 | COM CL A | 51,716 | $96,968 | dollars as filed | |
| STONEMOR INC | 86184W106 | COM | 28,000 | $96,040 | dollars as filed | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 25,474 | $93,490 | dollars as filed | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 27,386 | $92,007 | dollars as filed | |
| BIONANO GENOMICS INC | 09075F107 | COM | 50,000 | $91,500 | dollars as filed | |
| ENERGY FUELS INC | 292671708 | COM NEW | 14,546 | $89,022 | dollars as filed | |
| ADECOAGRO S A | L00849106 | COM | 10,500 | $87,045 | dollars as filed | |
| Allbirds Inc | 01675A109 | COM | 28,488 | $86,604 | dollars as filed | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 24,500 | $85,750 | dollars as filed | |
| ICL GROUP LTD SHS | M53213100 | Stock | 10,520 | $85,109 | dollars as filed | |
| DERMTECH INC | 24984K105 | COM | 21,176 | $83,857 | dollars as filed | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 10,127 | $81,917 | dollars as filed | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 18,075 | $81,545 | dollars as filed | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 10,428 | $78,001 | dollars as filed | |
| CERUS CORP | 157085101 | COM | 21,450 | $77,220 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 40,795 | $70,372 | dollars as filed | |
| PITNEY BOWES INC COM | 724479100 | Stock | 29,128 | $67,867 | dollars as filed | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,080 | $66,929 | dollars as filed | |
| HALEON PLC SPON ADS | 405552100 | ADR | 10,763 | $65,457 | dollars as filed | |
| WEWORK INC | 96209A104 | COM | 24,625 | $65,256 | dollars as filed | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 28,209 | $65,125 | dollars as filed | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 11,650 | $64,076 | dollars as filed | |
| Uber Technologies | 90353T100 | COM | 6,000 | $57,000 | dollars as filed | call |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 17,045 | $55,108 | dollars as filed | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 16,547 | $54,939 | dollars as filed | |
| OFFERPAD SOLUTIONS INC | 67623L109 | COM | 43,750 | $52,938 | dollars as filed | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 17,765 | $52,762 | dollars as filed | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 22,208 | $49,080 | dollars as filed | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 11,003 | $48,963 | dollars as filed | |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 10,230 | $48,081 | dollars as filed | |
| Viewra, Inc | 92672L107 | COM | 12,900 | $46,956 | dollars as filed | |
| LUMIRADX LTD | G5709L109 | SHS | 45,738 | $46,653 | dollars as filed | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 11,463 | $42,183 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 10,305 | $41,529 | dollars as filed | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 19,000 | $40,850 | dollars as filed | |
| DENISON MINES CORP | 248356107 | COM | 34,000 | $40,460 | dollars as filed | |
| KRONOS BIO INC | 50107A104 | COM | 12,034 | $40,314 | dollars as filed | |
| BLOCK INC CL A | 852234103 | Stock | 1,900 | $40,075 | dollars as filed | call |
| Apple Inc | 037833100 | COM | 12,000 | $39,750 | dollars as filed | put |
| BORQS TECHNOLOGIES INC | G1466B202 | COM | 54,275 | $39,040 | dollars as filed | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 14,499 | $35,813 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 10,000 | $35,500 | dollars as filed | |
| ARCHER AVIATION INC | 03945R110 | *W EXP 09/16/202 | 66,528 | $35,260 | dollars as filed | |
| ATHERSYS INC NEW COM NEW | 04744L205 | COM | 15,683 | $29,014 | dollars as filed | |
| MODERNA INC | 60770K107 | COM | 4,000 | $28,620 | dollars as filed | put |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 11,729 | $27,446 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 20,000 | $26,400 | dollars as filed | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 10,728 | $24,475 | dollars as filed | |
| DOMA HOLDINGS INC | 25703A104 | COM | 54,289 | $23,855 | dollars as filed | |
| MARATHON OIL CORP | 565849106 | COM | 4,000 | $20,000 | dollars as filed | call |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 11,715 | $19,330 | dollars as filed | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 10,000 | $19,100 | dollars as filed | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 4,000 | $18,400 | dollars as filed | put |
| EARGO INC | 270087109 | COM | 16,666 | $17,499 | dollars as filed | |
| GAMIDA CELL LTD | M47364100 | SHS | 10,893 | $17,320 | dollars as filed | |
| WHEELS UP EXPERIENCE I F | 96328L106 | Com | 14,198 | $16,328 | dollars as filed | |
| RIVIAN AUTOMOTIVE INC COM CL A | 76954A103 | Stock | 6,000 | $16,020 | dollars as filed | put |
| MEDIWOUND LTD | M68830104 | ORD SHS | 10,000 | $13,900 | dollars as filed | |
| QUANTUM CORP | 747906501 | COM | 10,254 | $11,074 | dollars as filed | |
| NOBLE CORP PLC ORD SHS A | G65431127 | Stock | 10,000 | $10,700 | dollars as filed | call |
| CODIAK BIOSCIENCES INC | 192010106 | COM | 12,000 | $9,384 | dollars as filed | |
| PEABODY ENGR CORP | 704551100 | COM | 4,000 | $9,200 | dollars as filed | call |
| ROYAL BK CDA COM | 780087102 | Stock | 1,200 | $6,120 | dollars as filed | put |
| LATCH ORD | 51818V106 | COMMON STOCK | 5,537 | $5,280 | dollars as filed | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 10,050 | $2,542 | dollars as filed | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 100 | $1,360 | dollars as filed | put |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 10,000 | $1,080 | dollars as filed | |
| LATCH ORD | 51818V106 | COMMON STOCK | 10,000 | $1,000 | dollars as filed | call |
| TELLURIAN INC NEW | 87968A104 | COM | 12,000 | $600 | dollars as filed | call |
| Amgen Inc. | 031162100 | COM | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| AT&T Inc | 00206R102 | COM | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Oracle Corporation | 68389X105 | COM | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 0 | $0 | dollars as filed | putValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Qualcomm Incorporated | 747525103 | COM | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ZSCALERINC | 98980G102 | STOK | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 0 | $0 | dollars as filed | putValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| HP INC COM | 40434L105 | Stock | 0 | $0 | dollars as filed | callValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-22-004077 | superseded | 2022-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-23-003871 | this filing | 2023-10-24 | acceptance time not in the bulk data set |