13F-HR filed by PRINCIPAL FINANCIAL GROUP INC
PRINCIPAL FINANCIAL GROUP INC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-08, with 2,414 holding rows worth $145,838,663,000.
- Accession
- 0001126328-21-000008
- Filer
- CIK 1126328
- Filed
- 2021-02-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 3,801 entries on the cover page, a total value of $145,838,663,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $145,838,663,000 with VALUE read as thousands by filing date, 13F file number 028-10106. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- reports for this filerColumbus Circle Investors 028-10449
- reports for this filerOrigin Asset Management, LLP 028-13785
- reports for this filerPost Advisory Group, LLC 028-12454
- reports for this filerSpectrum Asset Management, Inc 028-11300
- included managerPrincipal Global Investors, LLC 028-01549
- included managerPrincipal Real Estate Investors, LLC 028-10400
- included managerPrincipal Life Insurance Co 028-00793
- included managerPrincipal Financial Services, Inc 028-10107
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 |
|---|---|---|---|---|---|---|
| AXONICS INC | 05465P101 | COM | 15,828 | $791,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 6,468 | $788,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 23,957 | $784,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 34,831 | $780,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 11,472 | $777,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 7,673 | $774,000 | thousands by filing date | |
| OPTION CARE HEALTH INC COM NEW | 68404L201 | Stock | 49,378 | $772,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 29,071 | $757,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 17,991 | $757,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 170,931 | $755,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 140,668 | $754,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 43,915 | $753,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 4,132 | $744,000 | thousands by filing date | |
| ISHARES INC | 46434G863 | COM | 17,665 | $742,000 | thousands by filing date | |
| VTI | 922908769 | COM | 3,769 | $734,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 22,892 | $728,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 22,794 | $726,000 | thousands by filing date | |
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 21,457 | $724,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 9,843 | $718,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 10,159 | $717,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 14,573 | $716,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 5,665 | $708,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 32,144 | $708,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 222,576 | $708,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 22,290 | $707,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 13,353 | $706,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 50,905 | $705,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 83,364 | $704,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 16,985 | $701,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 3,073 | $688,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 11,113 | $688,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 65,194 | $688,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 553,029 | $686,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 6,214 | $684,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 16,863 | $683,000 | thousands by filing date | |
| ROYALTY PHARMA PLC | G7709Q104 | SHS CLASS A | 13,591 | $680,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 21,570 | $676,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 75,029 | $664,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 29,891 | $663,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 11,903 | $655,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 335,558 | $655,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 30,371 | $654,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 15,760 | $652,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 9,686 | $651,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 35,769 | $646,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 58,827 | $645,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 98,747 | $639,000 | thousands by filing date | |
| ALTAIR ENGINEERING INC | 021369103 | COMMON STOCK | 10,959 | $638,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 12,750 | $635,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 7,057 | $634,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 8,126 | $634,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 25,470 | $632,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 4,220 | $629,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 30,365 | $628,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 13,380 | $626,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 89422G107 | COM | 22,903 | $625,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 24,080 | $625,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 147,482 | $620,000 | thousands by filing date | |
| PPD INC | 69355F102 | COM | 18,095 | $619,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 4,957 | $617,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 19,981 | $617,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 21,462 | $615,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 4,587 | $611,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 17,463 | $610,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 54,557 | $609,000 | thousands by filing date | |
| BALLYS CORPORATION | 05875B106 | COM | 12,139 | $609,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 16,901 | $608,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 132,619 | $606,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 10,741 | $604,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 30,723 | $603,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 13,953 | $602,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 5,407 | $601,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 32,590 | $601,000 | thousands by filing date | |
| SCHRODINGER INC COM | 80810D103 | Stock | 7,550 | $598,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 40,280 | $594,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 9,503 | $593,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 2,406 | $591,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 15,242 | $589,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 16,636 | $587,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 78,110 | $580,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 36,298 | $580,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 168,636 | $577,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 9,558 | $576,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 18,369 | $564,000 | thousands by filing date | |
| ARES MANAGEMENT CORPORATION CL A COM STK | 03990B101 | Stock | 11,982 | $564,000 | thousands by filing date | |
| PREMIER FINANCIAL CORP | 74052F108 | COMMON STOCK | 24,415 | $562,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 74,780 | $557,000 | thousands by filing date | |
| AVIDITY BIOSCIENCES INC COM | 05370A108 | Stock | 21,768 | $556,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 70,737 | $555,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 11,912 | $553,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 57,099 | $552,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 12,964 | $550,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 8,013 | $547,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 1,162,412 | $541,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 57,177 | $540,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 9,702 | $535,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 9,289 | $535,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 17,802 | $529,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 75,891 | $526,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 23,204 | $525,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 9,699 | $523,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 13,555 | $522,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 3,828 | $520,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 50,618 | $516,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 25,804 | $516,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 33,272 | $515,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 17,747 | $512,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 8,417 | $508,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 9,943 | $505,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 20,869 | $505,000 | thousands by filing date | |
| VERTIV HOLDINGS CO COM CL A | 92537N108 | Stock | 26,929 | $503,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 32,184 | $502,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 37,212 | $502,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 5,254 | $498,000 | thousands by filing date | |
| UNITY SOFTWARE INC COM | 91332U101 | Stock | 3,226 | $495,000 | thousands by filing date | |
| AMERICOLD REALTY TRUST INC COM | 03064D108 | REIT | 13,157 | $491,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 21,120 | $489,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 8,965 | $485,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 15,853 | $485,000 | thousands by filing date | |
| SENSATA TECHNOLOGIES HLDG PL | g8060n102 | SHS | 9,158 | $483,000 | thousands by filing date | |
| VEREIT INC | 92339V308 | COM | 12,773 | $483,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 25,852 | $482,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 20,414 | $477,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 3,000 | $476,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 27,200 | $475,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 4,189 | $474,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 10,382 | $472,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 7,638 | $470,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 14,888 | $467,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 954 | $465,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 11,500 | $463,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 10,610 | $460,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 5,267 | $458,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 8,417 | $457,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 215,700 | $457,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 25,496 | $456,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 33,857 | $454,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 7,570 | $454,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 6,828 | $452,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 32,495 | $452,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 8,879 | $447,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 9,324 | $447,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 5,052 | $445,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 5,895 | $444,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 5,003 | $442,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 13,042 | $434,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 14,138 | $434,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 2,977 | $431,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 14,214 | $431,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 39,799 | $431,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 28,326 | $429,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 21,555 | $427,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 10,923 | $424,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 23,776 | $422,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 30,912 | $421,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 12,500 | $420,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 6,593 | $420,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 15,359 | $419,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 29,195 | $416,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 25,426 | $415,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 11,184 | $414,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 7,842 | $414,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 13,315 | $412,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 5,611 | $411,000 | thousands by filing date | |
| YEXT INC | 98585N106 | COM | 26,086 | $410,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 19,896 | $409,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 6,249 | $409,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 4,199 | $408,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 37,572 | $408,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 23,913 | $405,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 9,816 | $402,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 28,150 | $402,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 20,948 | $401,000 | thousands by filing date | |
| TERMINIX GLOBAL HOLDINGS INC COM | 88087E100 | Stock | 7,848 | $400,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 7,194 | $399,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 6,298 | $398,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 8,976 | $397,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 13,328 | $397,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 7,822 | $394,000 | thousands by filing date | |
| DRAFTKINGS INC | 26142R104 | COM CL A | 8,452 | $394,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 9,327 | $393,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 25,329 | $389,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 10,994 | $389,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 3,468 | $388,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 8,826 | $387,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 6,561 | $387,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 23,185 | $386,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 34,826 | $385,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 14,930 | $383,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 21,980 | $381,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 5,177 | $380,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 16,304 | $376,000 | thousands by filing date | |
| HEALTH CATALYST INC | 42225T107 | COM | 8,632 | $376,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 10,910 | $375,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 44,182 | $373,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 9,257 | $372,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 2,771 | $365,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 21,175 | $364,000 | thousands by filing date | |
| ZENTALIS PHARMACEUTICALS INC | 98943L107 | COMMON STOCK | 6,932 | $360,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 4,087 | $357,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 25,439 | $354,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 5,057 | $353,000 | thousands by filing date | |
| PAGERDUTY INC COM | 69553P100 | Stock | 8,416 | $351,000 | thousands by filing date | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 7,966 | $347,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 13,786 | $345,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 10,366 | $344,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 8,138 | $338,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 5,318 | $337,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,633 | $337,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 9,182 | $332,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,768 | $332,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 79,889 | $332,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 6,317 | $330,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 22,833 | $329,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 104,736 | $328,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 20,999 | $328,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 5,202 | $325,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 10,747 | $322,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,070 | $321,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 46,939 | $319,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 9,740 | $316,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 16,100 | $315,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 6,477 | $314,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 16,223 | $313,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 102 | $309,000 | thousands by filing date | |
| DUN & BRADSTREET HLDGS INC | 26484T106 | COM | 12,400 | $309,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 6,735 | $309,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 40,830 | $309,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 8,634 | $308,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 4,164 | $306,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 3,512 | $303,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 4,559 | $303,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 4,825 | $303,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 13,845 | $302,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 14,133 | $302,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 921 | $301,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 24,978 | $300,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 5,967 | $300,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 144,364 | $299,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 5,093 | $298,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 22,300 | $297,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 4,220 | $296,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 8,492 | $296,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 11,680 | $294,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 6,064 | $291,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 10,775 | $290,000 | thousands by filing date | |
| RELAY THERAPEUTICS INC COM | 75943R102 | Stock | 6,851 | $285,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 10,538 | $285,000 | thousands by filing date | |
| EVOLENT HEALTH INC CL A | 30050B101 | Stock | 17,681 | $283,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 4,207 | $282,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 72,397 | $282,000 | thousands by filing date | |
| VAXCYTE INC COM | 92243G108 | Stock | 10,517 | $279,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 29,000 | $274,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 5,431 | $274,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 77,919 | $273,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 22,867 | $273,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 17,594 | $272,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 26,001 | $272,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 8,444 | $270,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 88,226 | $267,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 6,609 | $264,000 | thousands by filing date | |
| EASTERN BANKSHARES INC COM | 27627N105 | Stock | 15,977 | $261,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 9,016 | $260,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 16,443 | $259,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 38,986 | $258,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 12,173 | $256,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 2,963 | $255,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 6,520 | $254,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 11,989 | $251,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 5,313 | $248,000 | thousands by filing date | |
| THE SHYFT GROUP | 825698103 | COMMON STOCK | 8,734 | $248,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 21,486 | $248,000 | thousands by filing date | |
| CARLYLE GROUP INC COM | 14316J108 | Stock | 7,746 | $244,000 | thousands by filing date | |
| PENNYMAC FINL SVCS INC NEW | 70932M107 | COM | 3,717 | $244,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 4,693 | $240,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 16,682 | $240,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 34,272 | $240,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 944 | $239,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 7,414 | $238,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 523 | $237,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 7,460 | $236,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 28,483 | $236,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 1,978 | $235,000 | thousands by filing date | |
| CERENCE INC COM | 156727109 | Stock | 2,339 | $235,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 39,316 | $235,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 15,974 | $234,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 13,096 | $232,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 6,025 | $230,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 6,496 | $229,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 7,134 | $228,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 6,853 | $226,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 8,188 | $226,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 3,140 | $221,000 | thousands by filing date | |
| APPLIED MOLECULAR TRANS INC | 03824M109 | COM | 7,196 | $221,000 | thousands by filing date | |
| ONTRAK INC | 683373104 | COM | 3,562 | $220,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,175 | $219,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 7,314 | $219,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 5,125 | $218,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 2,935 | $218,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 4,227 | $218,000 | thousands by filing date | |
| NKARTA INC | 65487U108 | COMMON STOCK | 3,551 | $218,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 33,277 | $216,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 16,442 | $216,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 373 | $214,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 5,361 | $214,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 1,833 | $213,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 6,950 | $213,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 6,884 | $213,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 4,617 | $213,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 84,902 | $213,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 29,979 | $212,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 46,868 | $209,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 4,638 | $209,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,613 | $206,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 1,106 | $204,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,701 | $201,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 23,780 | $194,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 10,662 | $191,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 12,689 | $184,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 10,290 | $183,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 24,077 | $172,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 48,294 | $172,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 41,614 | $166,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 13,832 | $165,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 15,428 | $160,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 10,423 | $158,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 10,000 | $157,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 11,068 | $153,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 13,265 | $153,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 15,665 | $151,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 15,172 | $150,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 22,158 | $150,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 10,452 | $148,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 30,000 | $148,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 30,580 | $147,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 15,271 | $144,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 11,094 | $141,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 10,122 | $139,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 114,720 | $139,000 | thousands by filing date | |
| PAE INC | 69290Y109 | COM CL A | 14,956 | $137,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 55,211 | $134,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 13,802 | $133,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 32,146 | $132,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 12,520 | $132,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 19,698 | $132,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q106 | COMMON STOCK | 12,746 | $129,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 59,130 | $126,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 14,601 | $126,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 12,226 | $125,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 21,525 | $125,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 30,993 | $124,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 47,941 | $118,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 13,451 | $116,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 29,206 | $114,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 10,513 | $114,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 17,657 | $112,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 40,243 | $111,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 48,409 | $106,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 35,722 | $103,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 24,006 | $100,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 13,461 | $98,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 25,740 | $96,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 18,351 | $96,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,082 | $87,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 17,606 | $86,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 15,631 | $85,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 12,678 | $85,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 36,984 | $85,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 15,031 | $85,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 10,611 | $85,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 35,210 | $84,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 14,224 | $82,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 12,063 | $79,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 10,034 | $79,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 19,506 | $78,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 44,089 | $77,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 13,695 | $74,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 10,339 | $73,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 12,182 | $71,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 24,847 | $66,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 10,509 | $66,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 11,270 | $59,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 10,397 | $59,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 27,187 | $58,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 24,619 | $57,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 14,942 | $57,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 20,429 | $57,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 10,743 | $56,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 12,966 | $56,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 11,344 | $56,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,896 | $55,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 10,519 | $53,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,521 | $51,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 10,613 | $51,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 15,760 | $50,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 12,752 | $48,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 25,429 | $45,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,853 | $45,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 14,414 | $43,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 33,163 | $41,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 15,034 | $36,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 10,293 | $35,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 13,142 | $35,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 12,503 | $33,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 13,030 | $33,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 17,821 | $28,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 10,739 | $28,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 12,479 | $24,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,424 | $22,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 16,911 | $21,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 26,902 | $18,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 15,992 | $16,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 12,522 | $16,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 10,548 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001126328-21-000008 | this filing | 2021-02-08 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001126328-21-000092 | base | 2021-02-23 | acceptance time not in the bulk data set |