13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-08, with 5,031 holding rows worth $2,381,047,321,000.
- Accession
- 0001086364-19-000103
- Filer
- CIK 1364742
- Filed
- 2019-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 43,638 entries on the cover page, a total value of $2,381,047,321,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,381,047,321,000 with VALUE read as thousands by filing date, 13F file number 028-12019. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRUSSELL FRANK CO
- reports for this filerNationwide Mutual Funds/Nationwide Fund Advisors
- reports for this filerNationwide Variable Insurance Trust and Nationwide Fund Advisors
- included managerBlackRock Financial Management, Inc.
- included managerBlackRock Investment Management (Taiwan) Limited
- included managerBlackRock Investment Management (Australia) Limited
- included managerBlackRock Asset Management Canada Limited
- included managerBlackRock (Singapore) Limited
- included managerBlackRock Asset Management North Asia Ltd
- included managerBlackRock Brasil Gestora de Investimentos Ltd.
- included managerFutureAdvisor, Inc.
- included managerBlackRock Investment Management, LLC
- included managerBlackRock Advisors LLC
- included managerBlackRock Capital Management, Inc.
- included managerBlackRock Fund Advisors
- included managerBlackRock Institutional Trust Company, N.A.
- included managerBlackRock Japan Co. Ltd
- included managerBlackRock Group LTD
- included managerBlackRock Fund Managers Limited
- included managerBlackRock Investment Management (UK) Limited
- included managerBlackRock (Netherlands) B.V.
- included managerBlackRock International Limited
- included managerBlackRock Asset Management Ireland Limited
- included managerBlackRock Advisors (UK) Limited
- included managerBlackRock Asset Management Deutschland AG
- included managerBlackRock (Luxembourg) S.A.
- included managerIShares (DE) I InvAG Mit Teilgesellschaftsvermogen
- included managerBlackRock Life Limited
- included managerBlackRock Fund Management Company S.A.
- included managerBlackRock Asset Management Schweiz AG
- included managerTennenbaum Capital Partners, LLC
- included managerBlackRock Capital Investment Advisors, LLC
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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 82,005 | $4,697,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 254,551 | $4,686,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 424,510 | $4,674,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 287,238 | $4,653,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 798,128 | $4,597,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 348,063 | $4,591,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 546,453 | $4,590,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 752,179 | $4,588,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 7,625,000 | $4,556,000 | thousands by filing date | principal |
| SILVERBOW RES INC | 82836G102 | COM | 469,461 | $4,549,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 118,745 | $4,506,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 84,225 | $4,504,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 421,379 | $4,504,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 730,000 | $4,502,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,808,711 | $4,495,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,021,726 | $4,475,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 273,782 | $4,469,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 3,400,000 | $4,457,000 | thousands by filing date | principal |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 482,388 | $4,419,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 321,992 | $4,397,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 14,100 | $4,394,000 | thousands by filing date | call |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 230,589 | $4,374,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 42,900 | $4,365,000 | thousands by filing date | call |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 216,969 | $4,359,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 157,571 | $4,317,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 304,245 | $4,306,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 316,020 | $4,284,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 278,499 | $4,283,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 960,123 | $4,282,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 75,000 | $4,280,000 | thousands by filing date | put |
| MENLO THERAPEUTICS INC | 586858102 | COM | 947,050 | $4,243,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 83,561 | $4,228,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,168,015 | $4,228,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,263,831 | $4,210,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 1,254,483 | $4,203,000 | thousands by filing date | |
| SPLUNK INC | 848637AC8 | NOTE 0.500% 9/1 | 3,873,000 | $4,161,000 | thousands by filing date | principal |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 188,729 | $4,152,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 271,635 | $4,127,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 1,253,101 | $4,124,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 67,718 | $4,070,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 3,505,000 | $4,064,000 | thousands by filing date | principal |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 489,608 | $4,059,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,169,491 | $4,056,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 194,410 | $4,015,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 1,235,572 | $4,015,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 369,209 | $4,002,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 2,075,000 | $3,971,000 | thousands by filing date | principal |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 50,093 | $3,964,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 936,431 | $3,934,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 1,853,675 | $3,929,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 6,008 | $3,903,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 592,388 | $3,893,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 2,754,325 | $3,884,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 155,325 | $3,872,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 298,691 | $3,867,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 2,431,743 | $3,843,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 761,756 | $3,840,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 533,401 | $3,835,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 920,042 | $3,835,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 37,781 | $3,821,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 126,753 | $3,814,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,085,985 | $3,801,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 356,203 | $3,798,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 3,300,000 | $3,777,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 2,509,031 | $3,776,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 200,150 | $3,764,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 351,494 | $3,758,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 5,310,345 | $3,745,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 206,946 | $3,743,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 2,550,000 | $3,743,000 | thousands by filing date | principal |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 444,089 | $3,717,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 34,860 | $3,714,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 402,396 | $3,702,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 394,591 | $3,701,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 929,108 | $3,680,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 150,000 | $3,657,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 102,070 | $3,647,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 429,109 | $3,622,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 640,164 | $3,610,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 113,512 | $3,605,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 13,588,575 | $3,589,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,163,574 | $3,578,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 59,511 | $3,565,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 781,586 | $3,541,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 3,625,000 | $3,537,000 | thousands by filing date | principal |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 125,349 | $3,523,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,922,118 | $3,508,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 1,903,000 | $3,496,000 | thousands by filing date | principal |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 1,776,202 | $3,481,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 364,542 | $3,463,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 3,255,000 | $3,445,000 | thousands by filing date | principal |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 484,084 | $3,442,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 2,300,000 | $3,438,000 | thousands by filing date | principal |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 210,805 | $3,436,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 281,533 | $3,421,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 652,978 | $3,421,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 178,594 | $3,392,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 261,877 | $3,357,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 1,588,066 | $3,335,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,744,097 | $3,315,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 1,022,166 | $3,301,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 483,014 | $3,297,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 662,175 | $3,278,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 476,500 | $3,278,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 3,031,769 | $3,275,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 568,221 | $3,273,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 629,333 | $3,260,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 258,724 | $3,213,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 1,400,373 | $3,206,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 161,912 | $3,176,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 129,000 | $3,175,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 2,295,860 | $3,170,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 128,400 | $3,160,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 160,174 | $3,156,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 1,292,010 | $3,153,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 1,561,720 | $3,131,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 693,758 | $3,122,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 3,257,000 | $3,119,000 | thousands by filing date | principal |
| VERASTEM INC | 92337C104 | COM | 2,552,975 | $3,089,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 203,465 | $3,085,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 2,499,676 | $3,075,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 127,064 | $3,065,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 2,243,941 | $3,053,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,773,739 | $3,051,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 67,945 | $3,044,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 2,558,580 | $3,018,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 288,322 | $2,986,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 679,716 | $2,977,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 433,516 | $2,969,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 320,500 | $2,966,000 | thousands by filing date | call |
| CYBEROPTICS CORP COM | 232517102 | Stock | 207,387 | $2,963,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 95,385 | $2,956,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 132,920 | $2,951,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 898,914 | $2,949,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 316,389 | $2,949,000 | thousands by filing date | |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 318,840 | $2,943,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 823,845 | $2,934,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 493,283 | $2,920,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 2,265,000 | $2,914,000 | thousands by filing date | principal |
| LUNA INNOVATIONS INC | 550351100 | COM | 498,919 | $2,888,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 2,081,919 | $2,852,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 2,916,000 | $2,845,000 | thousands by filing date | principal |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 46,402 | $2,836,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 24,635 | $2,833,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 19,131 | $2,818,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 2,500,000 | $2,780,000 | thousands by filing date | principal |
| PIXELWORKS INC | 72581M305 | COM NEW | 749,986 | $2,775,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 286,744 | $2,762,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 105,000 | $2,747,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 503,924 | $2,741,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 331,180 | $2,729,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,275,000 | $2,718,000 | thousands by filing date | principal |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 51,017 | $2,713,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 285,540 | $2,703,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 265,608 | $2,696,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 110,400 | $2,674,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,314,708 | $2,669,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 2,625,000 | $2,662,000 | thousands by filing date | principal |
| TERADYNE INC | 880770AG7 | NOTE | 1,400,000 | $2,662,000 | thousands by filing date | principal |
| INTEST CORP | 461147100 | COMMON STOCK | 568,669 | $2,644,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 2,685,000 | $2,643,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 2,385,000 | $2,638,000 | thousands by filing date | principal |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 319,114 | $2,620,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 248,006 | $2,613,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 652,577 | $2,598,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 220,500 | $2,593,000 | thousands by filing date | put |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 652,883 | $2,592,000 | thousands by filing date | |
| SEA LTD | 81141RAB6 | CONV BD US | 1,481,000 | $2,586,000 | thousands by filing date | principal |
| TTOO | 89853L104 | Stock | 1,028,425 | $2,570,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 92,217 | $2,568,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 304,208 | $2,549,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 2,635,143 | $2,549,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 28,389 | $2,547,000 | thousands by filing date | |
| TWILIO INC | 90138FAB8 | NOTE 0.250% 6/0 | 1,525,000 | $2,545,000 | thousands by filing date | principal |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 707,183 | $2,539,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 1,147,746 | $2,514,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 243,000 | $2,493,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 289,625 | $2,490,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 775,087 | $2,489,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 120,692 | $2,474,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 312,700 | $2,473,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 2,090,000 | $2,469,000 | thousands by filing date | principal |
| ISHARES TR | 46429B408 | CMN | 73,715 | $2,466,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 259,101 | $2,461,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 518,065 | $2,445,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 486,356 | $2,432,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 269,000 | $2,404,000 | thousands by filing date | put |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 1,782,624 | $2,389,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 196,064 | $2,382,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 681,939 | $2,380,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 527,843 | $2,361,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 103,525 | $2,355,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 202,659 | $2,351,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 87,985 | $2,351,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 499,687 | $2,349,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 2,147,000 | $2,347,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 497,254 | $2,347,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 953,576 | $2,346,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 152,366 | $2,343,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 700,000 | $2,342,000 | thousands by filing date | principal |
| CZR | 127686103 | Stock | 200,000 | $2,332,000 | thousands by filing date | put |
| RESEARCH FRONTIERS INC | 760911107 | COM | 725,231 | $2,321,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 256,667 | $2,312,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 76,598 | $2,312,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 410,967 | $2,310,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 181,371 | $2,296,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 1,960,000 | $2,288,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 1,164,405 | $2,283,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 2,000,000 | $2,281,000 | thousands by filing date | principal |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 419,223 | $2,278,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 361,079 | $2,264,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 411,150 | $2,249,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 103,579 | $2,245,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 15,525 | $2,233,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 1,375,000 | $2,217,000 | thousands by filing date | principal |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 890,256 | $2,207,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RXR7 | MTNF 0.250% 6/2 | 2,360,000 | $2,205,000 | thousands by filing date | principal |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 133,729 | $2,203,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 2,505,000 | $2,201,000 | thousands by filing date | principal |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 462,382 | $2,173,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 308,556 | $2,172,000 | thousands by filing date | |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 88,147 | $2,152,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 321,415 | $2,151,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 183,830 | $2,145,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 186,725 | $2,142,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 142,309 | $2,138,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 106,297 | $2,130,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 106,842 | $2,126,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 172,243 | $2,125,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 298,537 | $2,115,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 985,085 | $2,109,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 35,148 | $2,105,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 1,750,000 | $2,104,000 | thousands by filing date | principal |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 725,162 | $2,102,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 438,475 | $2,100,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 51,328 | $2,098,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 1,675,000 | $2,098,000 | thousands by filing date | principal |
| STEEL CONNECT INC | 858098106 | CMN | 1,199,068 | $2,098,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 725,002 | $2,095,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 2,175,000 | $2,094,000 | thousands by filing date | principal |
| USA TRUCK INC | 902925106 | COM | 260,531 | $2,092,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 9,297 | $2,082,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 41,767 | $2,077,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 4,402,985 | $2,074,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 549,987 | $2,063,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 1,500,000 | $2,054,000 | thousands by filing date | principal |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 66,012 | $2,050,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 544,440 | $2,047,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 1,543,000 | $2,038,000 | thousands by filing date | principal |
| ACM RESH INC COM CL A | 00108J109 | Stock | 146,900 | $2,036,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 228,351 | $2,021,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 37,879 | $2,016,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 1,046,632 | $2,009,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 96,934 | $2,004,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 344,623 | $1,998,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 146,061 | $1,994,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 791,022 | $1,986,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 829,268 | $1,982,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 1,038,601 | $1,973,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 332,156 | $1,969,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 531,324 | $1,966,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 278,175 | $1,947,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 1,800,000 | $1,942,000 | thousands by filing date | principal |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 341,845 | $1,926,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 1,450,000 | $1,916,000 | thousands by filing date | principal |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 87,602 | $1,909,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 102,000 | $1,908,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 662,185 | $1,907,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 128,574 | $1,906,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 252,927 | $1,904,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 1,012,445 | $1,892,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 68,093 | $1,884,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 632,242 | $1,883,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 1,125,000 | $1,882,000 | thousands by filing date | principal |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 126,186 | $1,880,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 97,629 | $1,880,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 843,651 | $1,873,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 119,837 | $1,870,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 1,998,000 | $1,868,000 | thousands by filing date | principal |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 1,165,000 | $1,849,000 | thousands by filing date | principal |
| TPG PACE HLDGS CORP | G89827128 | CL A | 179,169 | $1,841,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 474,478 | $1,822,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 1,550,000 | $1,817,000 | thousands by filing date | principal |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 597,352 | $1,816,000 | thousands by filing date | |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 1,650,000 | $1,807,000 | thousands by filing date | principal |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 358,208 | $1,802,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 1,275,000 | $1,799,000 | thousands by filing date | principal |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 215,612 | $1,798,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 357,600 | $1,791,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 1,890,000 | $1,786,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 195,720 | $1,785,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 184,595 | $1,785,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,524,767 | $1,784,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 63,801 | $1,759,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 1,325,000 | $1,756,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 350,213 | $1,755,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 168,592 | $1,753,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 24,589 | $1,749,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 742,496 | $1,745,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 26,240 | $1,740,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 2,125,000 | $1,739,000 | thousands by filing date | principal |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 246,867 | $1,733,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 1,495,000 | $1,730,000 | thousands by filing date | principal |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 59,046 | $1,725,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,325,000 | $1,723,000 | thousands by filing date | principal |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 419,558 | $1,713,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 16,643 | $1,707,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 30,015 | $1,704,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 96,500 | $1,699,000 | thousands by filing date | put |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 850,000 | $1,695,000 | thousands by filing date | principal |
| ISHARES U S ETF TR | 46431W622 | INOVATIV HLTCR | 70,000 | $1,695,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 1,002,364 | $1,694,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 584,899 | $1,691,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 2,000,148 | $1,690,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 1,000,000 | $1,682,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052W104 | COM | 438,412 | $1,675,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 1,335,817 | $1,669,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 446,588 | $1,668,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 1,350,000 | $1,668,000 | thousands by filing date | principal |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 114,757 | $1,645,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 362,267 | $1,644,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 20,196 | $1,639,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 1,750,000 | $1,630,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 1,640,000 | $1,626,000 | thousands by filing date | principal |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 1,340,000 | $1,615,000 | thousands by filing date | principal |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 103,358 | $1,608,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 211,418 | $1,591,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 1,735,000 | $1,571,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 1,650,000 | $1,562,000 | thousands by filing date | principal |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 904,190 | $1,556,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 87,615 | $1,555,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 23,252 | $1,543,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 1,850,000 | $1,542,000 | thousands by filing date | principal |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 251,121 | $1,540,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 292,365 | $1,538,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 258,026 | $1,525,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 25,940 | $1,519,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 950,000 | $1,500,000 | thousands by filing date | principal |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 153,470 | $1,496,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 1,050,000 | $1,489,000 | thousands by filing date | principal |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 221,018 | $1,483,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 943,933 | $1,483,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 1,500,000 | $1,475,000 | thousands by filing date | principal |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 236,665 | $1,474,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 1,200,000 | $1,473,000 | thousands by filing date | principal |
| LIBBEY INC | 529898108 | COM | 438,065 | $1,467,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 33,766 | $1,464,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 1,559,000 | $1,455,000 | thousands by filing date | principal |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 170,471 | $1,453,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 224,555 | $1,450,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 484,587 | $1,449,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 1,546,000 | $1,449,000 | thousands by filing date | principal |
| ULTRALIFE CORP | 903899102 | COM | 167,065 | $1,447,000 | thousands by filing date | |
| EURODRY LTD | Y23508107 | COM | 180,000 | $1,440,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 100,285 | $1,440,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 845,350 | $1,437,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 1,375,000 | $1,432,000 | thousands by filing date | principal |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 1,225,000 | $1,426,000 | thousands by filing date | principal |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 35,447 | $1,414,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 850,913 | $1,413,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 107,099 | $1,410,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 750,000 | $1,409,000 | thousands by filing date | principal |
| NAM TAI PROPERTY INC | G63907102 | Com | 154,618 | $1,391,000 | thousands by filing date | |
| NICE SYS INC | 65366HAB9 | BOND | 780,000 | $1,391,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 1,340,000 | $1,380,000 | thousands by filing date | principal |
| PHUNWARE INC | 71948P100 | COMMON | 956,268 | $1,376,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 78,492 | $1,374,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 195,142 | $1,373,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 2,412,878 | $1,360,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 47,554 | $1,359,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,060,000 | $1,356,000 | thousands by filing date | principal |
| COLLIERS INTL GROUP INC SUB VTG SHS | 194693107 | Stock | 18,005 | $1,351,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,570,000 | $1,350,000 | thousands by filing date | principal |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 1,365,000 | $1,349,000 | thousands by filing date | principal |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 75,814 | $1,346,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 1,350,000 | $1,346,000 | thousands by filing date | principal |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 277,678 | $1,338,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 271,516 | $1,332,000 | thousands by filing date | |
| ISHARES MSCI USA MIDCAP | 46435U143 | ETF | 50,000 | $1,330,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 274,117 | $1,329,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 240,492 | $1,323,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 1,315,000 | $1,322,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 825,000 | $1,321,000 | thousands by filing date | principal |
| STELLUS CAP INVT CORP | 858568108 | COM | 96,634 | $1,317,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 598,004 | $1,310,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 267,942 | $1,310,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,546,825 | $1,307,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 653,361 | $1,307,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 48,879 | $1,305,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 173,291 | $1,301,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 467,100 | $1,298,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 133,098 | $1,294,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 621,722 | $1,293,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 750,000 | $1,278,000 | thousands by filing date | principal |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 400,497 | $1,277,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 253,762 | $1,271,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 1,200,000 | $1,262,000 | thousands by filing date | principal |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 829,567 | $1,253,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 50,207 | $1,243,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 313,047 | $1,243,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 297,931 | $1,240,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 1,290,000 | $1,238,000 | thousands by filing date | principal |
| INFINERA CORP | 45667GAC7 | BOND | 1,425,000 | $1,236,000 | thousands by filing date | principal |
| QUOTIENT LTD | G73268107 | SHS | 159,014 | $1,236,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 1,600,000 | $1,234,000 | thousands by filing date | principal |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 40,339 | $1,229,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 815,000 | $1,225,000 | thousands by filing date | principal |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 78,690 | $1,220,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 332,517 | $1,220,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 533,147 | $1,215,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 10,272 | $1,211,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 17,356 | $1,210,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 28,246 | $1,207,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 142,802 | $1,204,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 99,213 | $1,200,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W630 | MEDIA ENTRNMNT | 45,000 | $1,198,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 200,000 | $1,190,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 975,000 | $1,187,000 | thousands by filing date | principal |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 370,718 | $1,179,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 445,987 | $1,178,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 675,000 | $1,177,000 | thousands by filing date | principal |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 672,124 | $1,176,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 470,031 | $1,175,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 165,801 | $1,174,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 750,000 | $1,174,000 | thousands by filing date | principal |
| ZSCALERINC | 98980G102 | STOK | 24,800 | $1,172,000 | thousands by filing date | call |
| PAN AMERN SILVER CORP | 697900108 | COM | 74,546 | $1,169,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 360,670 | $1,165,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 193,719 | $1,162,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 979,298 | $1,156,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 188,732 | $1,155,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 24,788 | $1,152,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 800,000 | $1,151,000 | thousands by filing date | principal |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,301,578 | $1,146,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 1,000,000 | $1,145,000 | thousands by filing date | principal |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 80,338 | $1,134,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 414,536 | $1,127,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 501,436 | $1,123,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 248,862 | $1,120,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 538,307 | $1,120,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 105,202 | $1,110,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 19,008 | $1,109,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 819,923 | $1,106,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 1,019,000 | $1,103,000 | thousands by filing date | principal |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 92,100 | $1,101,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 825,000 | $1,096,000 | thousands by filing date | principal |
| GWG HLDGS INC | 36192A109 | COM | 109,368 | $1,091,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 1,150,000 | $1,087,000 | thousands by filing date | principal |
| NABORS INDS INC | 62957HAB1 | BOND | 1,700,000 | $1,084,000 | thousands by filing date | principal |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 565,982 | $1,078,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 1,918 | $1,077,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 331,559 | $1,077,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 338,211 | $1,076,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 1,040,000 | $1,075,000 | thousands by filing date | principal |
| TOCAGEN INC | 888846102 | COM | 1,609,969 | $1,066,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 296,848 | $1,062,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,008,232 | $1,059,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 355,177 | $1,055,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 1,265,000 | $1,054,000 | thousands by filing date | principal |
| TELADOC HEALTH INC | 87918AAC9 | NOTE 1.375% 5/1 | 710,000 | $1,051,000 | thousands by filing date | principal |
| Schwab US REIT ETF | 808524847 | SHS | 22,186 | $1,047,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 20,809 | $1,047,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 373,047 | $1,047,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 108,100 | $1,043,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 700,000 | $1,042,000 | thousands by filing date | principal |
| THL CREDIT INC | 872438106 | COM | 153,025 | $1,041,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 109,482 | $1,037,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 489,109 | $1,037,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 1,519,909 | $1,031,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 999,000 | $1,031,000 | thousands by filing date | principal |
| GREENLANE HLDGS INC | 395330103 | CL A | 302,273 | $1,025,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 519,378 | $1,023,000 | thousands by filing date | |
| ISTAR INC | 45031UCB5 | NOTE 3.125% 9/1 | 965,000 | $1,022,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 668,556 | $1,019,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 104,989 | $1,019,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 28,509 | $1,019,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 1,025,000 | $1,013,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 1,000,000 | $1,012,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 1,025,000 | $1,008,000 | thousands by filing date | principal |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 334,096 | $1,006,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 1,025,000 | $1,005,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 969,972 | $999,000 | thousands by filing date | |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 900,000 | $976,000 | thousands by filing date | principal |
| IMAGE SENSING SYS INC | 45244C104 | COM | 208,847 | $975,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 1,075,000 | $972,000 | thousands by filing date | principal |
| MICROBOT MED INC | 59503A204 | COM NEW | 182,992 | $970,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 372,136 | $967,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 122,519 | $958,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 293,968 | $958,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,597,586 | $957,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 34,469 | $957,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 66,733 | $951,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 9,047 | $946,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 228,018 | $944,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 61,615 | $943,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 42,742 | $941,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 925,000 | $939,000 | thousands by filing date | principal |
| AMERISERV FINL INC | 03074A102 | COM | 226,622 | $938,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 940,000 | $938,000 | thousands by filing date | principal |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 1,171,531 | $931,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-19-000103 | this filing | 2019-11-08 | acceptance time not in the bulk data set |