13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-01, with 5,013 holding rows worth $2,044,379,405,000.
- Accession
- 0001086364-20-000038
- Filer
- CIK 1364742
- Filed
- 2020-05-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A combination report, 43,747 entries on the cover page, a total value of $2,044,379,405,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,044,379,405,000 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 |
|---|---|---|---|---|---|---|
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 658,344 | $3,259,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 545,210 | $3,243,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 613,880 | $3,241,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 2,475,000 | $3,227,000 | thousands by filing date | principal |
| ASTRONOVA INC | 04638F108 | COM | 413,933 | $3,211,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,210,589 | $3,208,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 99,097 | $3,205,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 2,727,396 | $3,191,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 2,678,988 | $3,189,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 2,950,000 | $3,176,000 | thousands by filing date | principal |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 396,592 | $3,172,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 686,544 | $3,164,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 3,217,166 | $3,164,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 1,275,773 | $3,163,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 464,955 | $3,162,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 129,000 | $3,154,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 166,562 | $3,133,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 1,703,000 | $3,128,000 | thousands by filing date | principal |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 57,431 | $3,125,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 144,121 | $3,124,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 3,130,000 | $3,120,000 | thousands by filing date | principal |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 3,110,873 | $3,111,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 2,800,000 | $3,099,000 | thousands by filing date | principal |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 410,359 | $3,090,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 133,185 | $3,089,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 1,763,397 | $3,068,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 141,000 | $3,066,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 499,093 | $3,063,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 2,757,000 | $3,046,000 | thousands by filing date | principal |
| iShares MSCI USA Quality GARP ETF | 46436E403 | SHS | 150,000 | $3,040,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 328,256 | $3,037,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L206 | SPONSRED ADS NEW | 164,241 | $3,034,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 4,632,221 | $3,011,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 75,000 | $3,002,000 | thousands by filing date | put |
| ICAD INC | 44934S206 | COM NEW | 408,527 | $2,999,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 81,644 | $2,995,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,100,936 | $2,983,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 466,320 | $2,979,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 411,397 | $2,971,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 481,332 | $2,961,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 205,000 | $2,958,000 | thousands by filing date | put |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 825,000 | $2,921,000 | thousands by filing date | principal |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 1,405,279 | $2,909,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N111 | *W EXP 05/11/202 | 1,489,813 | $2,905,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 773,135 | $2,903,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 94,502 | $2,867,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 218,504 | $2,867,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 6,117,142 | $2,863,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 177,173 | $2,854,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 296,217 | $2,847,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 49,479 | $2,840,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 3,000,000 | $2,835,000 | thousands by filing date | principal |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 176,855 | $2,822,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 305,489 | $2,817,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 3,346,000 | $2,811,000 | thousands by filing date | principal |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 1,850,000 | $2,808,000 | thousands by filing date | principal |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 2,700,000 | $2,787,000 | thousands by filing date | principal |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 1,178,020 | $2,780,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 466,737 | $2,778,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 1,414,465 | $2,772,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 257,476 | $2,771,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 213,200 | $2,750,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 7,212 | $2,740,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 293,958 | $2,737,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 2,626,521 | $2,732,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 4,327,425 | $2,727,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 359,929 | $2,718,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 360,752 | $2,716,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 27,947 | $2,715,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 163,919 | $2,708,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 654,211 | $2,675,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 216,737 | $2,672,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 93,587 | $2,664,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 226,292 | $2,634,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 1,725,445 | $2,606,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 163,021 | $2,598,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 2,475,000 | $2,594,000 | thousands by filing date | principal |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 48,428 | $2,571,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAC9 | NOTE 1.375% 5/1 | 885,000 | $2,568,000 | thousands by filing date | principal |
| RED LION HOTELS CORP | 756764106 | COM | 1,751,438 | $2,557,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 6,019,244 | $2,541,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 63,376 | $2,537,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 43,462 | $2,532,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 85,450 | $2,529,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 46,915 | $2,519,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 1,594,096 | $2,519,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 2,118,000 | $2,502,000 | thousands by filing date | principal |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 3,327,522 | $2,496,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 193,989 | $2,491,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 243,000 | $2,491,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 46,767 | $2,477,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 663,910 | $2,470,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 717,357 | $2,467,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 498,149 | $2,461,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,105,921 | $2,444,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 361,921 | $2,443,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 427,363 | $2,427,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 332,376 | $2,423,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 1,350,000 | $2,417,000 | thousands by filing date | principal |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 437,070 | $2,400,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 394,000 | $2,394,000 | thousands by filing date | call |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 2,300,000 | $2,391,000 | thousands by filing date | principal |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 23,796 | $2,377,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 56,500 | $2,352,000 | thousands by filing date | put |
| MANULIFE FINL CORP | 56501R106 | COM | 187,099 | $2,346,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 1,258,808 | $2,341,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 1,329,068 | $2,339,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 116,495 | $2,329,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 1,700,000 | $2,323,000 | thousands by filing date | principal |
| TWILIO INC | 90138FAB8 | NOTE 0.250% 6/0 | 1,650,000 | $2,302,000 | thousands by filing date | principal |
| ASTA FUNDING INC | 046220109 | COM | 278,753 | $2,300,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 130,000 | $2,298,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 419,178 | $2,289,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 545,330 | $2,285,000 | thousands by filing date | |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 2,385,000 | $2,283,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RXR7 | MTNF 0.250% 6/2 | 2,360,000 | $2,282,000 | thousands by filing date | principal |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 3,260,584 | $2,281,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 1,298,507 | $2,272,000 | thousands by filing date | |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 119,000 | $2,254,000 | thousands by filing date | put |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 308,282 | $2,251,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 2,675,000 | $2,248,000 | thousands by filing date | principal |
| ISHARES MSCI JAPAN VALUE ETF | 46435U374 | ETF | 110,000 | $2,245,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 24,592 | $2,244,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 374,184 | $2,234,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 244,000 | $2,223,000 | thousands by filing date | put |
| IQIYI INC | 46267XAB4 | NOTE 3.750%12/0 | 2,175,000 | $2,205,000 | thousands by filing date | principal |
| KBR INC | 48242WAB2 | BOND | 2,125,000 | $2,202,000 | thousands by filing date | principal |
| CALYXT INC | 13173L107 | COM | 655,925 | $2,184,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 393,340 | $2,183,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 825,810 | $2,180,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 2,090,000 | $2,175,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 2,275,000 | $2,162,000 | thousands by filing date | principal |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 2,638,798 | $2,155,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 1,502,061 | $2,148,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 230,374 | $2,136,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 504,627 | $2,124,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 813,265 | $2,123,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,676,258 | $2,112,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 1,133,230 | $2,108,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 739,586 | $2,108,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 651,085 | $2,103,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 322,123 | $2,094,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 1,152,247 | $2,086,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 1,625,000 | $2,082,000 | thousands by filing date | principal |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 359,919 | $2,081,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 2,288,901 | $2,059,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 2,205,000 | $2,059,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 2,140,000 | $2,042,000 | thousands by filing date | principal |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 325,891 | $2,037,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 1,670,055 | $2,037,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 331,931 | $2,035,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 626,589 | $2,030,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 476,702 | $2,030,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 169,641 | $2,029,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 1,172,658 | $2,018,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 2,300,000 | $2,011,000 | thousands by filing date | principal |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 297,500 | $2,009,000 | thousands by filing date | call |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 31,308 | $2,006,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 267,853 | $2,004,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 463,071 | $1,973,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 196,600 | $1,970,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 83,753 | $1,968,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 1,325,000 | $1,968,000 | thousands by filing date | principal |
| Renovaro Inc | 29350E104 | Common Stock | 653,794 | $1,962,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 676,440 | $1,948,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 151,645 | $1,939,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 472,397 | $1,923,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 1,109,624 | $1,907,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 339,052 | $1,902,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 611,422 | $1,901,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 1,450,000 | $1,891,000 | thousands by filing date | principal |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 1,395,000 | $1,884,000 | thousands by filing date | principal |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 357,715 | $1,864,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 1,525,000 | $1,863,000 | thousands by filing date | principal |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 710,510 | $1,847,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 292,498 | $1,831,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,746,301 | $1,816,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 2,200,000 | $1,816,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 2,140,000 | $1,806,000 | thousands by filing date | principal |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 69,798 | $1,804,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 532,164 | $1,799,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 469,275 | $1,792,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 3,908,808 | $1,792,000 | thousands by filing date | |
| MYLAN N V | N59465909 | CALL | 120,000 | $1,790,000 | thousands by filing date | call |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 24,189 | $1,789,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 1,800,000 | $1,788,000 | thousands by filing date | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 1,850,000 | $1,783,000 | thousands by filing date | principal |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 384,000 | $1,782,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 194,506 | $1,777,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 2,100,000 | $1,775,000 | thousands by filing date | principal |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 116,319 | $1,769,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 282,737 | $1,765,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 51,330 | $1,763,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 60,000 | $1,761,000 | thousands by filing date | put |
| ISHARES TR | 46429B408 | CMN | 76,316 | $1,758,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 1,702,575 | $1,754,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 245,420 | $1,747,000 | thousands by filing date | |
| ISHARES TR | 46436E304 | CMN | 100,000 | $1,746,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 75,577 | $1,744,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 500,684 | $1,733,000 | thousands by filing date | |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 1,875,000 | $1,711,000 | thousands by filing date | principal |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 98,143 | $1,707,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 900,741 | $1,702,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 726,387 | $1,700,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 90,324 | $1,697,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 374,749 | $1,694,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 940,022 | $1,692,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 49,748 | $1,691,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,622,851 | $1,688,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 9,432 | $1,683,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 211,181 | $1,677,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 695,375 | $1,675,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 1,824,000 | $1,671,000 | thousands by filing date | principal |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 357,735 | $1,663,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,500,000 | $1,660,000 | thousands by filing date | principal |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 6,243,017 | $1,642,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 175,128 | $1,637,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 1,581,737 | $1,628,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 545,424 | $1,625,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 413,509 | $1,625,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 150,229 | $1,616,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 1,780,000 | $1,616,000 | thousands by filing date | principal |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 308,122 | $1,608,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 111,066 | $1,608,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,125,000 | $1,602,000 | thousands by filing date | principal |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 5,337,433 | $1,601,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 401,407 | $1,598,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 151,900 | $1,595,000 | thousands by filing date | call |
| SO YOUNG INTERNATIONAL INC | 83356Q108 | SPONSORED ADS | 155,159 | $1,589,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 1,011,418 | $1,568,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 793,856 | $1,564,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 2,733,460 | $1,562,000 | thousands by filing date | |
| ISHARES TR | 46435G656 | ADAPTIVE ETF | 68,093 | $1,544,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 266,159 | $1,543,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 256,841 | $1,530,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 110,400 | $1,529,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AM1 | NOTE 4.500% 1/1 | 900,000 | $1,529,000 | thousands by filing date | principal |
| ROYAL BK CDA COM | 780087102 | Stock | 24,617 | $1,515,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 108,452 | $1,491,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 1,610,000 | $1,490,000 | thousands by filing date | principal |
| TREVENA INC | 89532E109 | COM | 2,627,481 | $1,489,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 1,673,000 | $1,486,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 900,000 | $1,486,000 | thousands by filing date | principal |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 291,947 | $1,481,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 552,651 | $1,470,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 775,000 | $1,469,000 | thousands by filing date | principal |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 8,277,292 | $1,466,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 490,003 | $1,461,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 456,346 | $1,456,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 227,789 | $1,456,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 99,003 | $1,447,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 1,675,000 | $1,442,000 | thousands by filing date | principal |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 438,147 | $1,437,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 804,014 | $1,431,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 1,350,000 | $1,423,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,300,000 | $1,423,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 1,734,000 | $1,412,000 | thousands by filing date | principal |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 1,225,000 | $1,409,000 | thousands by filing date | principal |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 586,662 | $1,402,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 3,263,097 | $1,402,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 151,431 | $1,399,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 490,585 | $1,398,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,719,776 | $1,393,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 1,075,000 | $1,392,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 1,871,697 | $1,391,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 177,034 | $1,390,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 11,474,060 | $1,388,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 1,100,000 | $1,385,000 | thousands by filing date | principal |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 161,436 | $1,372,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 357,630 | $1,370,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 207,852 | $1,368,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 479,883 | $1,368,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 1,625,000 | $1,368,000 | thousands by filing date | principal |
| POLARITYTE INC | 731094108 | COM | 1,265,208 | $1,367,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 621,202 | $1,366,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 147,932 | $1,361,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 226,867 | $1,359,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 1,460,863 | $1,358,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 72,911 | $1,353,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 255,103 | $1,353,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 1,340,000 | $1,349,000 | thousands by filing date | principal |
| HC2 HLDGS INC | 404139107 | COM | 862,051 | $1,336,000 | thousands by filing date | |
| NICE SYS INC | 65366HAB9 | BOND | 755,000 | $1,330,000 | thousands by filing date | principal |
| ISHARES TR | 46436E825 | IBONDS 29 TRM TS | 50,000 | $1,329,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 63,874 | $1,327,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 120,000 | $1,325,000 | thousands by filing date | put |
| ISHARES TR | 46436E833 | IBONDS 28 TRM TS | 50,000 | $1,324,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 344,130 | $1,318,000 | thousands by filing date | |
| ISHARES TR | 46436E841 | IBONDS 27 TRM TS | 50,000 | $1,315,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 1,240,000 | $1,314,000 | thousands by filing date | principal |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 2,188,936 | $1,314,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 22,792 | $1,311,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 106,297 | $1,311,000 | thousands by filing date | |
| ISHARES TR | 46436E858 | IBONDS 26 TRM TS | 50,000 | $1,310,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 194,502 | $1,309,000 | thousands by filing date | |
| ISHARES TR | 46436E866 | IBONDS 25 TRM TS | 50,000 | $1,306,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 21,742 | $1,298,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 1,375,000 | $1,298,000 | thousands by filing date | principal |
| ISHARES TR | 46436E874 | IBONDS 24 TRM TS | 50,000 | $1,296,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 757,602 | $1,289,000 | thousands by filing date | |
| ISHARES TR | 46436E882 | IBONDS 23 TRM TS | 50,000 | $1,285,000 | thousands by filing date | |
| ISHARES TR IBONDS 22 TRM TS ETF | 46436E809 | EXCHANGE-TRADED FUND | 50,000 | $1,280,000 | thousands by filing date | |
| ISHARES TR | 46436E700 | IBONDS 21 TRM TS | 50,000 | $1,269,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W622 | INOVATIV HLTCR | 50,000 | $1,267,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 1,431,567 | $1,255,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 799,994 | $1,248,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 503,141 | $1,247,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,225,000 | $1,240,000 | thousands by filing date | principal |
| LEAF GROUP LTD | 52177G102 | COM | 924,667 | $1,239,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 221,021 | $1,237,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 722,708 | $1,229,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 280,751 | $1,227,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 1,450,000 | $1,225,000 | thousands by filing date | principal |
| GOLDFIELD CORP | 381370105 | COM | 430,330 | $1,222,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 1,125,000 | $1,220,000 | thousands by filing date | principal |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,059,272 | $1,207,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 118,594 | $1,205,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 2,143,229 | $1,202,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,320,589 | $1,191,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 327,615 | $1,189,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 481,169 | $1,189,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 975,000 | $1,189,000 | thousands by filing date | principal |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 786,252 | $1,180,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 212,332 | $1,179,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 285,784 | $1,175,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 1,400,000 | $1,173,000 | thousands by filing date | principal |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 631,982 | $1,169,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 341,479 | $1,168,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 201,606 | $1,162,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 80,671 | $1,154,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 1,365,000 | $1,140,000 | thousands by filing date | principal |
| ASPEN GROUP INC | 04530L203 | COM NEW | 142,727 | $1,140,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,594,458 | $1,138,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 1,475,000 | $1,128,000 | thousands by filing date | principal |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 1,009,275 | $1,111,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 37,155 | $1,107,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 1,075,000 | $1,099,000 | thousands by filing date | principal |
| NIO INC | 62914VAB2 | NOTE 4.500% 2/0 | 2,300,000 | $1,098,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,370,000 | $1,096,000 | thousands by filing date | principal |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 147,951 | $1,095,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 581,014 | $1,092,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 53,289 | $1,092,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 1,025,000 | $1,092,000 | thousands by filing date | principal |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 212,658 | $1,088,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 47,554 | $1,087,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 452,677 | $1,083,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 1,139,330 | $1,082,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 1,250,000 | $1,082,000 | thousands by filing date | principal |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 1,250,000 | $1,081,000 | thousands by filing date | principal |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 492,648 | $1,079,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 21,193 | $1,070,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 1,125,000 | $1,066,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 1,143,580 | $1,064,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 4,060,917 | $1,056,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 121,820 | $1,052,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 92,059 | $1,051,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 49,143 | $1,046,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 716,000 | $1,044,000 | thousands by filing date | principal |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 19,991 | $1,030,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 343,330 | $1,029,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 1,140,000 | $1,027,000 | thousands by filing date | principal |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 75,424 | $1,026,000 | thousands by filing date | |
| ISHARES MSCI USA MIDCAP | 46435U143 | ETF | 50,000 | $1,025,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 538,907 | $1,019,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 208,812 | $1,015,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 1,275,000 | $1,007,000 | thousands by filing date | principal |
| B2GOLD CORP COM | 11777Q209 | Stock | 328,505 | $1,005,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 36,802 | $1,001,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 574,737 | $1,000,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 1,476,656 | $997,000 | thousands by filing date | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 1,045,341 | $994,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 128,500 | $991,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 284,328 | $989,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 292,164 | $988,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 237,235 | $985,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 2,825,000 | $982,000 | thousands by filing date | principal |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 48,929 | $977,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 925,000 | $974,000 | thousands by filing date | principal |
| CONMED CORP | 207410AF8 | BOND | 1,050,000 | $972,000 | thousands by filing date | principal |
| CAMECO CORP COM | 13321L108 | Stock | 127,055 | $970,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,056,552 | $961,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 3,674,739 | $956,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 120,000 | $953,000 | thousands by filing date | put |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 1,375,000 | $953,000 | thousands by filing date | principal |
| PRO DEX INC | 74265M205 | COMMON STOCK | 58,654 | $950,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 2,290,180 | $950,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 1,050,000 | $948,000 | thousands by filing date | principal |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 123,410 | $945,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 1,169,000 | $941,000 | thousands by filing date | principal |
| AH BELO CORP | 001282102 | COMMON STOCK | 543,934 | $936,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 169,246 | $931,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 965,000 | $930,000 | thousands by filing date | principal |
| GREENLANE HLDGS INC | 395330103 | CL A | 540,742 | $930,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 356,466 | $923,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 426,294 | $922,000 | thousands by filing date | |
| ISTAR INC | 45031UCB5 | NOTE 3.125% 9/1 | 940,000 | $920,000 | thousands by filing date | principal |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 160,142 | $919,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 517,632 | $916,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 938,230 | $912,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 925,000 | $902,000 | thousands by filing date | principal |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 7,598 | $900,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 1,182,702 | $887,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 157,287 | $884,000 | thousands by filing date | |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 1,125,000 | $884,000 | thousands by filing date | principal |
| QUOTIENT LTD | G73268107 | SHS | 223,699 | $884,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 634,986 | $883,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 293,929 | $881,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 377,307 | $880,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 202,753 | $878,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 783,182 | $877,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 314,458 | $875,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 281,121 | $874,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 167,514 | $872,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 823,190 | $872,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 1,078,297 | $871,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 1,000,000 | $871,000 | thousands by filing date | principal |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 1,775,000 | $870,000 | thousands by filing date | principal |
| EURODRY LTD | Y23508107 | COM | 180,000 | $866,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 108,308 | $860,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 629,571 | $857,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 129,114 | $855,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 2,084,197 | $855,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 341,774 | $854,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 166,840 | $853,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 650,755 | $853,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 78,726 | $849,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 276,546 | $849,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 236,042 | $849,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 1,000,000 | $849,000 | thousands by filing date | principal |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 7,072 | $848,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 495,729 | $847,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 29,721 | $846,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 233,090 | $843,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 507,460 | $837,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 304,385 | $837,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 696,712 | $836,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 865,000 | $830,000 | thousands by filing date | principal |
| USA TRUCK INC | 902925106 | COM | 261,170 | $828,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 76,568 | $826,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 439,929 | $823,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 1,737,305 | $817,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 99,100 | $816,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 967,357 | $810,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 458,794 | $794,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 108,100 | $793,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 110,502 | $785,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 84,600 | $783,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 389,726 | $775,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 198,978 | $772,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 120,494 | $772,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 583,519 | $770,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 79,010 | $767,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 347,479 | $764,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 37,119 | $763,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 209,546 | $759,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 946,000 | $757,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 376,327 | $752,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 292,171 | $746,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 775,000 | $745,000 | thousands by filing date | principal |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 952,793 | $744,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 930,000 | $744,000 | thousands by filing date | principal |
| Veru Inc | 92536C103 | Common Stock | 226,005 | $739,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 800,000 | $738,000 | thousands by filing date | principal |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 63,737 | $736,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 219,347 | $735,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 29,907 | $732,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 11,871 | $727,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 220,411 | $725,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 89,979 | $718,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 10,061 | $717,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 482,172 | $713,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 675,000 | $713,000 | thousands by filing date | principal |
| STELLUS CAP INVT CORP | 858568108 | COM | 97,359 | $710,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 1,281,452 | $708,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 161,894 | $704,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 875,000 | $703,000 | thousands by filing date | principal |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 990,000 | $694,000 | thousands by filing date | principal |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 6,037 | $693,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 753,316 | $693,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 28,260 | $693,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 212,162 | $687,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 775,000 | $686,000 | thousands by filing date | principal |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 835,000 | $685,000 | thousands by filing date | principal |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 43,287 | $680,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 71,557 | $680,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 322,542 | $674,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 255,270 | $669,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 11,441 | $668,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 1,028,294 | $668,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 4,019 | $667,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 850,000 | $667,000 | thousands by filing date | principal |
| VUZIX CORP | 92921W300 | COM NEW | 541,000 | $666,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 315,277 | $664,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 382,838 | $663,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 166,838 | $662,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 326,616 | $660,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 625,000 | $659,000 | thousands by filing date | principal |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 45,109 | $658,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 675,000 | $655,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 9,047 | $653,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-20-000038 | this filing | 2020-05-01 | acceptance time not in the bulk data set |