13F-HR filed by BlackRock Inc.
BlackRock Inc. filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 5,047 holding rows worth $2,505,351,103,000.
- Accession
- 0001086364-20-000070
- Filer
- CIK 1364742
- Filed
- 2020-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A combination report, 44,147 entries on the cover page, a total value of $2,505,351,103,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,505,351,103,000 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 |
|---|---|---|---|---|---|---|
| DERMTECH INC | 24984K105 | COM | 398,690 | $5,275,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 808,900 | $5,274,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 66,623 | $5,250,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 529,748 | $5,243,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 75,831 | $5,231,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 740,555 | $5,206,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 250,785 | $5,204,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 499,420 | $5,179,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 769,220 | $5,162,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 894,269 | $5,142,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,735,119 | $5,140,000 | thousands by filing date | |
| ISHARES TR | 46436E759 | COM | 100,000 | $5,121,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 557,916 | $5,105,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 3,002,958 | $5,104,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 755,454 | $5,084,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 1,457,276 | $5,072,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 721,398 | $5,071,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 243,780 | $5,058,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 5,135,000 | $5,025,000 | thousands by filing date | principal |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 416,997 | $5,021,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 1,276,839 | $5,019,000 | thousands by filing date | |
| iShares 0-3 Month Treasury Bond ETF | 46436E718 | SHS | 50,000 | $5,001,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 1,082,169 | $4,977,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 2,598,615 | $4,964,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 4,380,572 | $4,951,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 331,738 | $4,942,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 36,678 | $4,907,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 1,307,556 | $4,905,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 172,348 | $4,882,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 394,204 | $4,872,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 178,033 | $4,859,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 690,294 | $4,846,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 340,163 | $4,837,000 | thousands by filing date | |
| JOYY INC | 98426TAD8 | NOTE 0.750% 6/1 | 4,419,000 | $4,833,000 | thousands by filing date | principal |
| OP BANCORP | 67109R109 | COMMON STOCK | 699,571 | $4,827,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 2,707,608 | $4,820,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 213,111 | $4,805,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 322,368 | $4,790,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 267,819 | $4,786,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 514,370 | $4,778,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 285,799 | $4,749,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 308,763 | $4,723,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 223,500 | $4,716,000 | thousands by filing date | call |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 310,923 | $4,711,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 728,584 | $4,684,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 63,505 | $4,666,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 1,600,000 | $4,665,000 | thousands by filing date | principal |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,093,435 | $4,658,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 348,868 | $4,653,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 186,041 | $4,652,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 521,424 | $4,639,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 638,912 | $4,632,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 349,916 | $4,618,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 2,330,775 | $4,614,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 1,814,390 | $4,608,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 586,112 | $4,607,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 74,475 | $4,589,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 155,078 | $4,586,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 1,511,248 | $4,579,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 58,232 | $4,574,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 1,467,575 | $4,519,000 | thousands by filing date | |
| ISHARES TR | 46436E775 | FACTORS US SMALL | 150,000 | $4,507,000 | thousands by filing date | |
| ISHARES TR | 46435U184 | IBONDS 24 TRM HG | 196,000 | $4,504,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 1,731,802 | $4,503,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 871,976 | $4,491,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 109,430 | $4,485,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 281,938 | $4,472,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 2,440,000 | $4,435,000 | thousands by filing date | principal |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 200,311 | $4,431,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 3,125,000 | $4,419,000 | thousands by filing date | principal |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 1,359,394 | $4,404,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 346,674 | $4,396,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 410,162 | $4,389,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 2,950,000 | $4,384,000 | thousands by filing date | principal |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 372,021 | $4,379,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 261,118 | $4,371,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,441,398 | $4,368,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 179,628 | $4,361,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 427,565 | $4,353,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 373,421 | $4,350,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 1,115,560 | $4,350,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 830,492 | $4,335,000 | thousands by filing date | |
| ISHARES TR | 46436E783 | FACTORS US MID | 150,000 | $4,332,000 | thousands by filing date | |
| ISHARES TR | 46436E791 | FACTORS US | 150,000 | $4,311,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 196,725 | $4,293,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 1,240,565 | $4,292,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 213,977 | $4,265,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 4,520,000 | $4,259,000 | thousands by filing date | principal |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 709,895 | $4,259,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 77,310 | $4,250,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 761,566 | $4,211,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 1,065,940 | $4,210,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 157,241 | $4,209,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 199,861 | $4,183,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 166,879 | $4,172,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 239,759 | $4,167,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 435,628 | $4,166,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 217,988 | $4,153,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 179,187 | $4,100,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 4,864,004 | $4,080,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 1,062,383 | $4,080,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 1,970,307 | $4,078,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 230,046 | $4,065,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 252,672 | $4,045,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 71,777 | $4,032,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 652,118 | $4,024,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 821,011 | $4,023,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 396,670 | $4,002,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 383,737 | $3,998,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 172,872 | $3,997,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 355,852 | $3,978,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 534,940 | $3,975,000 | thousands by filing date | |
| CLIMB GLOBAL SOLUTIONS INC | 946760105 | COMMON STOCK | 154,412 | $3,968,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 59,530 | $3,949,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 2,705,000 | $3,941,000 | thousands by filing date | principal |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 4,109,000 | $3,927,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 102,000 | $3,915,000 | thousands by filing date | put |
| BILIBILI INC | 090040AB2 | NOTE 1.375% 4/0 | 2,045,000 | $3,915,000 | thousands by filing date | principal |
| CULP INC | 230215105 | CMN | 454,348 | $3,912,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 71,351 | $3,898,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 3,194,724 | $3,896,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 1,370,106 | $3,891,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 239,521 | $3,887,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 1,873,283 | $3,877,000 | thousands by filing date | |
| iShares MSCI USA Quality GARP ETF | 46436E403 | SHS | 150,000 | $3,869,000 | thousands by filing date | |
| T-Mobile US Inc Rights 20 | 872590112 | RIGHT 07/27/2020 | 22,979,083 | $3,861,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 268,222 | $3,857,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 401,088 | $3,838,000 | thousands by filing date | |
| ISHARES TR | 46436E767 | COM | 150,000 | $3,827,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 701,420 | $3,824,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 76,816 | $3,820,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 3,500,000 | $3,819,000 | thousands by filing date | principal |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 1,036,104 | $3,792,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 91,576 | $3,768,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 151,645 | $3,747,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 415,541 | $3,744,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 1,043,805 | $3,738,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 758,073 | $3,738,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,143,522 | $3,716,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 419,035 | $3,688,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 1,731,753 | $3,653,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 57,873 | $3,646,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 2,975,000 | $3,636,000 | thousands by filing date | principal |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 4,068,668 | $3,621,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 76,932 | $3,619,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 1,703,000 | $3,605,000 | thousands by filing date | principal |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 174,325 | $3,595,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 2,391,604 | $3,588,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 349,848 | $3,586,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 285,451 | $3,584,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 250,524 | $3,571,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 51,670 | $3,566,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 203,261 | $3,565,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 756,668 | $3,556,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 1,816,827 | $3,544,000 | thousands by filing date | |
| REALPAGE INC | 75606NAB5 | NOTE | 2,200,000 | $3,541,000 | thousands by filing date | principal |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 1,671,544 | $3,527,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 151,732 | $3,521,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 584,308 | $3,494,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 219,329 | $3,477,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 63,900 | $3,453,000 | thousands by filing date | call |
| TELA BIO INC | 872381108 | COM | 265,313 | $3,439,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 319,165 | $3,438,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 1,545,174 | $3,430,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,091,643 | $3,427,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 153,534 | $3,424,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 2,918,299 | $3,415,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 82,382 | $3,397,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 77,831 | $3,373,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 2,750,523 | $3,355,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 132,890 | $3,350,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 607,031 | $3,338,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAC9 | NOTE 1.375% 5/1 | 935,000 | $3,329,000 | thousands by filing date | principal |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 896,993 | $3,319,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 460,898 | $3,319,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 419,981 | $3,301,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 284,000 | $3,286,000 | thousands by filing date | call |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 296,338 | $3,286,000 | thousands by filing date | |
| ISHARES TR | 46435U168 | IBONDS 25 TRM HG | 140,000 | $3,284,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 184,283 | $3,280,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 465,795 | $3,274,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 419,445 | $3,263,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 1,887,624 | $3,248,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 129,000 | $3,246,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 769,654 | $3,241,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 461,606 | $3,236,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,374,821 | $3,230,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 527,109 | $3,205,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 46,716 | $3,175,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 343,071 | $3,172,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 9,021,232 | $3,171,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 228,105 | $3,167,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 504,826 | $3,164,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 3,000,000 | $3,148,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 1,875,000 | $3,118,000 | thousands by filing date | principal |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 81,500 | $3,114,000 | thousands by filing date | put |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 694,387 | $3,104,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 390,931 | $3,088,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 250,000 | $3,082,000 | thousands by filing date | put |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 227,098 | $3,082,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 2,200,000 | $3,067,000 | thousands by filing date | principal |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 250,316 | $3,061,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 51,802 | $3,057,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 310,106 | $3,052,000 | thousands by filing date | |
| IQIYI INC | 46267XAB4 | NOTE 3.750%12/0 | 2,775,000 | $3,043,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 2,500,000 | $3,034,000 | thousands by filing date | principal |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 2,925,000 | $3,030,000 | thousands by filing date | principal |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 2,336,000 | $3,019,000 | thousands by filing date | principal |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 1,215,297 | $2,966,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 106,711 | $2,947,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 1,975,000 | $2,938,000 | thousands by filing date | principal |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 339,299 | $2,908,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 803,522 | $2,908,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 177,303 | $2,904,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 233,564 | $2,898,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 163,272 | $2,882,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 425,324 | $2,869,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 311,497 | $2,847,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 256,362 | $2,840,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 1,475,000 | $2,839,000 | thousands by filing date | principal |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 397,177 | $2,836,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,125,000 | $2,830,000 | thousands by filing date | principal |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 165,296 | $2,823,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 47,172 | $2,803,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 1,475,000 | $2,801,000 | thousands by filing date | principal |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 85,487 | $2,775,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 2,400,000 | $2,759,000 | thousands by filing date | principal |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 372,648 | $2,738,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 304,113 | $2,737,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 342,429 | $2,733,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 2,594,458 | $2,724,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 552,770 | $2,721,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 92,384 | $2,708,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 1,889,275 | $2,702,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 170,281 | $2,689,000 | thousands by filing date | |
| NIO INC | 62914VAB2 | NOTE 4.500% 2/0 | 2,750,000 | $2,688,000 | thousands by filing date | principal |
| VALUE LINE INC | 920437100 | COMMON STOCK | 99,607 | $2,687,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 1,762,530 | $2,661,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 714,735 | $2,659,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 661,170 | $2,658,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 1,434,617 | $2,654,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 759,751 | $2,652,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 2,897,000 | $2,649,000 | thousands by filing date | principal |
| ISHARES U S ETF TR | 46431W655 | EVOLVED FINLS | 130,000 | $2,624,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 199,427 | $2,622,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,173,691 | $2,617,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 47,388 | $2,603,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 243,000 | $2,600,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 24,592 | $2,580,000 | thousands by filing date | |
| ISHARES TR | 46436E668 | ESG AWARE 80/20 | 100,000 | $2,576,000 | thousands by filing date | |
| ISHARES TR | 46436E676 | ESG AWARE 60/40 | 100,000 | $2,562,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 33,466 | $2,561,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 111,000 | $2,561,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 3,079,087 | $2,555,000 | thousands by filing date | |
| DELMAR BANCORP | 247035207 | COM NEW | 388,750 | $2,554,000 | thousands by filing date | |
| ISHARES ESG AWARE 40/60 MODERATE ALLOCATION ETF | 46436E684 | UIT EXCHANGE TRADED | 100,000 | $2,553,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 2,340,000 | $2,552,000 | thousands by filing date | principal |
| BOGOTA FINL CORP | 097235105 | COM | 291,247 | $2,545,000 | thousands by filing date | |
| ISHARES TR | 46436E692 | ESG AWARE 30/70 | 100,000 | $2,540,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 209,039 | $2,534,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 164,520 | $2,533,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 2,176,000 | $2,531,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 2,140,000 | $2,525,000 | thousands by filing date | principal |
| VAXCYTE INC COM | 92243G108 | Stock | 79,812 | $2,523,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 138,053 | $2,520,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 632,360 | $2,517,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 3,500,865 | $2,486,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 7,688,839 | $2,469,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 1,644,000 | $2,463,000 | thousands by filing date | principal |
| GARRISON CAP INC | 366554103 | COM | 722,708 | $2,443,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 622,453 | $2,427,000 | thousands by filing date | |
| ISHARES MSCI JAPAN VALUE ETF | 46435U374 | ETF | 110,000 | $2,421,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 396,180 | $2,418,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 400,990 | $2,418,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 1,645,000 | $2,398,000 | thousands by filing date | principal |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 2,250,000 | $2,398,000 | thousands by filing date | principal |
| ISHARES TR | 46435U176 | IBONDS 22 TRM HG | 103,000 | $2,386,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 16,888 | $2,365,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 822,844 | $2,353,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 466,157 | $2,331,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 22,736 | $2,328,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 205,260 | $2,328,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAH4 | NOTE 2.750% 5/1 | 2,000,000 | $2,325,000 | thousands by filing date | principal |
| KURA SUSHI USA INC | 501270102 | CL A COM | 162,751 | $2,324,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 99,323 | $2,323,000 | thousands by filing date | |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 1,975,000 | $2,320,000 | thousands by filing date | principal |
| BARINGS BDC INC | 06759L103 | COM | 291,097 | $2,311,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RXR7 | MTNF 0.250% 6/2 | 2,360,000 | $2,300,000 | thousands by filing date | principal |
| BLINK CHARGING CO | 09354A100 | COM | 401,488 | $2,281,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 357,021 | $2,281,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 650,000 | $2,270,000 | thousands by filing date | principal |
| Delta Apparel Inc | 247368103 | COM | 186,361 | $2,258,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 1,040,341 | $2,248,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 36,801 | $2,234,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 167,661 | $2,229,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 439,217 | $2,223,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 1,690,000 | $2,221,000 | thousands by filing date | principal |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 134,900 | $2,215,000 | thousands by filing date | put |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 2,280,000 | $2,204,000 | thousands by filing date | principal |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 2,500,000 | $2,193,000 | thousands by filing date | principal |
| KBR INC | 48242WAB2 | BOND | 1,950,000 | $2,190,000 | thousands by filing date | principal |
| LOGAN RIDGE FINANCE CORP | 14054R403 | cp | 113,545 | $2,186,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 694,454 | $2,181,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 1,010,910 | $2,174,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 162,696 | $2,156,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 506,584 | $2,142,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 45,406 | $2,135,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 71,481 | $2,127,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 2,346,000 | $2,122,000 | thousands by filing date | principal |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 286,293 | $2,107,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 1,675,000 | $2,099,000 | thousands by filing date | principal |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 1,650,000 | $2,085,000 | thousands by filing date | principal |
| TTOO | 89853L104 | Stock | 1,637,729 | $2,079,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 160,845 | $2,079,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 163,257 | $2,062,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 189,821 | $2,061,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 265,557 | $2,059,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 191,344 | $2,054,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 150,054 | $2,053,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 9,076 | $2,033,000 | thousands by filing date | |
| ALBERTSONS COMPANIES INC COMMON STOCK | 013091103 | Stock | 127,891 | $2,017,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 483,573 | $2,016,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 196,535 | $2,013,000 | thousands by filing date | |
| 8X8 INC NEW | 282914AB6 | BOND | 2,250,000 | $2,013,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 712,468 | $2,009,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 268,299 | $2,007,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 2,285,000 | $2,006,000 | thousands by filing date | principal |
| ISHARES TR | 46435G243 | COM | 77,017 | $2,003,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 84,987 | $1,973,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 1,300,000 | $1,935,000 | thousands by filing date | principal |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 228,963 | $1,923,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 3,736,787 | $1,913,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 352,214 | $1,910,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 258,360 | $1,901,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 2,134,000 | $1,889,000 | thousands by filing date | principal |
| B2GOLD CORP COM | 11777Q209 | Stock | 331,351 | $1,885,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 557,828 | $1,880,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 1,725,000 | $1,870,000 | thousands by filing date | principal |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 978,087 | $1,868,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 1,875,000 | $1,857,000 | thousands by filing date | principal |
| ISHARES TR | 46429B408 | CMN | 68,990 | $1,856,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 230,000 | $1,854,000 | thousands by filing date | call |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 52,420 | $1,844,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 257,684 | $1,835,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 178,188 | $1,832,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 1,179,131 | $1,829,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 612,432 | $1,825,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 1,125,000 | $1,810,000 | thousands by filing date | principal |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 1,005,768 | $1,800,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 945,487 | $1,796,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 103,741 | $1,792,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 2,480,721 | $1,792,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 112,310 | $1,791,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 615,855 | $1,779,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 194,531 | $1,779,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 2,495,946 | $1,776,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 1,334,387 | $1,775,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 586,693 | $1,755,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 199,562 | $1,752,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 2,313,906 | $1,751,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 967,176 | $1,750,000 | thousands by filing date | |
| DOUYU INTL HLDGS LTD | 25985W105 | SPONSORED ADS | 150,305 | $1,735,000 | thousands by filing date | |
| NICE SYS INC | 65366HAB9 | BOND | 755,000 | $1,725,000 | thousands by filing date | principal |
| SACHEM CAP CORP | 78590A109 | COM | 582,471 | $1,724,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,560,000 | $1,720,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 2,250,801 | $1,720,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 648,224 | $1,717,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 603,637 | $1,708,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 142,477 | $1,708,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 2,204,542 | $1,704,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,047,816 | $1,697,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 24,600 | $1,690,000 | thousands by filing date | put |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 208,912 | $1,682,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 195,515 | $1,676,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 1,718,000 | $1,673,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 1,775,000 | $1,664,000 | thousands by filing date | principal |
| YAMANA GOLD INC | 98462Y100 | COM | 304,094 | $1,660,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 1,710,000 | $1,656,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 1,340,000 | $1,656,000 | thousands by filing date | principal |
| MACYS INC COM | 55616P104 | Stock | 240,000 | $1,650,000 | thousands by filing date | put |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,107,679 | $1,650,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 1,675,000 | $1,643,000 | thousands by filing date | principal |
| RH | 74967XAA1 | BOND | 1,169,000 | $1,636,000 | thousands by filing date | principal |
| NUTRIEN LTD COM | 67077M108 | Stock | 50,784 | $1,630,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 98,158 | $1,630,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 1,350,000 | $1,626,000 | thousands by filing date | principal |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 106,297 | $1,618,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 434,740 | $1,613,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 189,014 | $1,605,000 | thousands by filing date | |
| CHIMERA INVT CORP | 16934QAA7 | NOTE 7.000% 4/0 | 1,100,000 | $1,603,000 | thousands by filing date | principal |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 207,852 | $1,600,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 723,415 | $1,592,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 519,315 | $1,589,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 22,319 | $1,588,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 1,107,044 | $1,573,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 419,012 | $1,572,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 1,615,000 | $1,570,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 1,625,000 | $1,570,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 1,324,000 | $1,569,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 818,690 | $1,564,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 51,999 | $1,561,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 844,057 | $1,561,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 1,673,000 | $1,560,000 | thousands by filing date | principal |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 185,500 | $1,545,000 | thousands by filing date | put |
| AWARE INC MASS | 05453N100 | CMN | 478,529 | $1,539,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 1,125,000 | $1,536,000 | thousands by filing date | principal |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 598,070 | $1,531,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 325,891 | $1,522,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 298,167 | $1,520,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 5,931 | $1,515,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 229,762 | $1,507,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 207,703 | $1,506,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 949,277 | $1,500,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 1,498,449 | $1,498,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 110,777 | $1,493,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 21,985 | $1,490,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 1,086,867 | $1,489,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 214,142 | $1,480,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 58,661 | $1,478,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 438,643 | $1,478,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 2,226,031 | $1,478,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 1,700,000 | $1,477,000 | thousands by filing date | principal |
| BRIGGS & STRATTON CORP | 109043109 | COM | 1,123,681 | $1,473,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 186,699 | $1,467,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 33,916 | $1,464,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 1,125,000 | $1,456,000 | thousands by filing date | principal |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,170,272 | $1,451,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 2,739,529 | $1,447,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 1,465,000 | $1,447,000 | thousands by filing date | principal |
| Pareteum Corporation | 69946T207 | COM | 2,327,105 | $1,444,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 900,000 | $1,440,000 | thousands by filing date | principal |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 2,275,000 | $1,439,000 | thousands by filing date | principal |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 204,810 | $1,437,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 1,697,164 | $1,430,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 353,298 | $1,424,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 756,187 | $1,421,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 338,320 | $1,417,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 619,222 | $1,413,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 349,373 | $1,413,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 145,275 | $1,409,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 400,359 | $1,405,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 1,350,000 | $1,403,000 | thousands by filing date | principal |
| RED LION HOTELS CORP | 756764106 | COM | 600,774 | $1,400,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 26,772 | $1,397,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 966,732 | $1,392,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 23,178 | $1,391,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 1,594,577 | $1,387,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 434,622 | $1,387,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 39,792 | $1,379,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 1,390,000 | $1,368,000 | thousands by filing date | principal |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 120,429 | $1,367,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 1,895,710 | $1,365,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 100,733 | $1,358,000 | thousands by filing date | |
| ISHARES TR | 46436E825 | IBONDS 29 TRM TS | 50,000 | $1,332,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 241,672 | $1,332,000 | thousands by filing date | |
| ISHARES TR | 46436E833 | IBONDS 28 TRM TS | 50,000 | $1,330,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 40,324 | $1,327,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 379,071 | $1,326,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 177,295 | $1,325,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 171,483 | $1,322,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 1,075,000 | $1,322,000 | thousands by filing date | principal |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 145,484 | $1,320,000 | thousands by filing date | |
| ISHARES TR | 46436E841 | IBONDS 27 TRM TS | 50,000 | $1,320,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 1,025,000 | $1,318,000 | thousands by filing date | principal |
| ISHARES TR | 46436E858 | IBONDS 26 TRM TS | 50,000 | $1,314,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 17,472 | $1,310,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 547,961 | $1,310,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 101,239 | $1,310,000 | thousands by filing date | |
| ISHARES TR | 46436E866 | IBONDS 25 TRM TS | 50,000 | $1,309,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 285,629 | $1,309,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,055,932 | $1,309,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 573,504 | $1,308,000 | thousands by filing date | |
| ISHARES TR | 46436E874 | IBONDS 24 TRM TS | 50,000 | $1,300,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 1,511,160 | $1,295,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 980,043 | $1,294,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 67,250 | $1,284,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 1,250,000 | $1,280,000 | thousands by filing date | principal |
| ISHARES TR IBONDS 22 TRM TS ETF | 46436E809 | EXCHANGE-TRADED FUND | 50,000 | $1,279,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 76,916 | $1,275,000 | thousands by filing date | |
| ISHARES TR | 46436E700 | IBONDS 21 TRM TS | 50,000 | $1,269,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 497,180 | $1,268,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 371,999 | $1,268,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 90,000 | $1,255,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 375,452 | $1,254,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 171,541 | $1,254,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 67,059 | $1,253,000 | thousands by filing date | |
| REALPAGE INC | 75606NAC3 | NOTE 1.500% 5/1 | 1,164,000 | $1,252,000 | thousands by filing date | principal |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 217,567 | $1,248,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,176,000 | $1,246,000 | thousands by filing date | principal |
| BIGLARI HLDGS INC | 08986R408 | CMN | 3,712 | $1,244,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 217,648 | $1,234,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 193,964 | $1,232,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 2,275,532 | $1,216,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,010,269 | $1,212,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 446,154 | $1,209,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 708,300 | $1,203,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 1,400,000 | $1,191,000 | thousands by filing date | principal |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 357,420 | $1,190,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 443,270 | $1,188,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 134,276 | $1,187,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001086364-20-000070 | this filing | 2020-08-14 | acceptance time not in the bulk data set |