13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 7,480 holding rows worth $369,063,327,000.
- Accession
- 0001140361-23-053182
- Filer
- CIK 1000275
- Filed
- 2023-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 27,503 entries on the cover page, a total value of $369,063,327,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $369,063,327,000 with VALUE read as dollars as filed, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC CMA LLC028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRoyal Bank of Canada (Channel Islands) Ltd028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerSymphonic Financial Advisors LLC028-12672
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
- included managerAlaska Permanent Fund Corp028-20231
- included managerBREWIN DOLPHIN LTD028-22689
- included managerBREWIN DOLPHIN WEALTH MANAGEMENT LTD028-22683
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 |
|---|---|---|---|---|---|---|
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 3,638 | $32,000 | dollars as filed | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 23,200 | $32,000 | dollars as filed | |
| GRINDR INC | 39854F101 | COM | 5,516 | $32,000 | dollars as filed | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 1,522 | $32,000 | dollars as filed | |
| TPI Composites Inc | 87266J104 | Common Stock | 12,055 | $32,000 | dollars as filed | |
| ESS TECH INC | 26916J106 | COMMON STOCK | 16,874 | $32,000 | dollars as filed | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 13,602 | $32,000 | dollars as filed | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 200 | $31,000 | dollars as filed | put |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 4,016 | $31,000 | dollars as filed | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 1,150 | $31,000 | dollars as filed | |
| CADIZ INC | 127537207 | COM NEW | 9,321 | $31,000 | dollars as filed | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 11,016 | $31,000 | dollars as filed | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,188 | $31,000 | dollars as filed | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,274 | $31,000 | dollars as filed | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 6,194 | $31,000 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25460E232 | DAILY SMALL CAP | 1,000 | $31,000 | dollars as filed | |
| STERLING BANCORP INC | 85917W102 | COM | 5,397 | $31,000 | dollars as filed | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 17,786 | $31,000 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 77,760 | $31,000 | dollars as filed | |
| CLARIVATE PLC | G21810208 | CONV | 1,050 | $31,000 | dollars as filed | principal |
| CAREMAX INC | 14171W103 | COM | 14,429 | $31,000 | dollars as filed | |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 1,039 | $31,000 | dollars as filed | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 759 | $30,000 | dollars as filed | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 14,356 | $30,000 | dollars as filed | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 856 | $30,000 | dollars as filed | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 708 | $30,000 | dollars as filed | |
| VIANT TECHNOLOGY INC A | 92557A101 | COMMON STOCK | 5,207 | $30,000 | dollars as filed | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 2,630 | $30,000 | dollars as filed | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 5,835 | $30,000 | dollars as filed | |
| DBX ETF TR | 23306X407 | XTRACKRS S&P 100 | 1,195 | $30,000 | dollars as filed | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 5,467 | $30,000 | dollars as filed | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 26,998 | $30,000 | dollars as filed | |
| POTBELLY CORP | 73754Y100 | COM | 3,903 | $30,000 | dollars as filed | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 12,707 | $30,000 | dollars as filed | |
| MOGO INC | 60800C208 | COM | 18,764 | $29,000 | dollars as filed | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,973 | $29,000 | dollars as filed | |
| CS DISCO INC | 126327105 | COM | 4,331 | $29,000 | dollars as filed | |
| HUMACYTE INC | 44486Q103 | COM | 9,999 | $29,000 | dollars as filed | |
| GROWGENERATION CORP | 39986L109 | COM | 9,994 | $29,000 | dollars as filed | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 2,778 | $29,000 | dollars as filed | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 6,901 | $29,000 | dollars as filed | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 173 | $29,000 | dollars as filed | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 3,033 | $29,000 | dollars as filed | |
| TYRA BIOSCIENCES INC | 90240B106 | COMMON STOCK | 2,134 | $29,000 | dollars as filed | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 11,102 | $29,000 | dollars as filed | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 1,045 | $29,000 | dollars as filed | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 1,862 | $29,000 | dollars as filed | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 6,048 | $29,000 | dollars as filed | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 1,061 | $29,000 | dollars as filed | |
| AGILITI INC | 00848J104 | COMMON STOCK | 4,535 | $29,000 | dollars as filed | |
| CALIBERCOS INC CL A NEW | 13000T109 | Stock | 20,979 | $29,000 | dollars as filed | |
| SIENTRA INC | 82621J204 | COMMON | 10,205 | $29,000 | dollars as filed | |
| EVE HLDG INC | 29970N104 | COM | 3,306 | $28,000 | dollars as filed | |
| QUANTUM SI INC | 74765K105 | COM CL A | 17,133 | $28,000 | dollars as filed | |
| ISHARES TR | 46436E130 | IBONDS DEC 2033 | 1,171 | $28,000 | dollars as filed | |
| OFS CAPITAL CORP | 67103B100 | COM | 2,500 | $28,000 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45782C409 | US EQTY BUFR JAN | 753 | $28,000 | dollars as filed | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,130 | $28,000 | dollars as filed | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 1,411 | $28,000 | dollars as filed | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 3,573 | $28,000 | dollars as filed | |
| RLX TECHNOLOGY INC | 74969N103 | SPONSORED ADS | 18,666 | $28,000 | dollars as filed | |
| Mexico Fund Inc/The | 592835102 | COM | 1,693 | $28,000 | dollars as filed | |
| Star Hldgs Shs Ben Int | 85512G106 | Common Stock | 2,263 | $28,000 | dollars as filed | |
| BAUSCH PLUS LOMB CORP | 071705107 | COMMON SHARES | 1,632 | $28,000 | dollars as filed | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,914 | $28,000 | dollars as filed | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 6,388 | $28,000 | dollars as filed | |
| HYDROFARMS HLDGS GROUP INC | 44888K209 | COM | 23,077 | $28,000 | dollars as filed | |
| ALPS ETF TR | 00162Q379 | O SHARES INTL D | 1,084 | $28,000 | dollars as filed | |
| DONEGAL GROUP INC | 257701300 | CL B | 2,022 | $28,000 | dollars as filed | |
| ISHARES TR | 46436E452 | USD SYSTM BD ETF | 352 | $28,000 | dollars as filed | |
| ERASCA INC COM | 29479A108 | Stock | 13,549 | $27,000 | dollars as filed | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 771 | $27,000 | dollars as filed | |
| ASTRIA THERAPEUTICS INC COM | 04635X102 | Stock | 3,633 | $27,000 | dollars as filed | |
| LARIMAR THERAPEUTICS INC | 517125100 | COM | 6,878 | $27,000 | dollars as filed | |
| DLOCAL LTD | G29018101 | CLASS A COM | 1,415 | $27,000 | dollars as filed | |
| TCW CONV SECS FD INC | 872340104 | COM | 5,847 | $27,000 | dollars as filed | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 3,886 | $27,000 | dollars as filed | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 13,084 | $27,000 | dollars as filed | |
| GLOBAL X FDS | 37954Y574 | ADAPTIVE US | 855 | $27,000 | dollars as filed | |
| ISHARES TR | 46436E668 | ESG AWARE 80/20 | 924 | $27,000 | dollars as filed | |
| FIRST TR EXCHNG TRADED FD VI | 33740U869 | FT VEST INT JUNE | 1,373 | $27,000 | dollars as filed | |
| KRANESHARES TRUST | 500767850 | MSCI CHINA CLEAN | 1,097 | $27,000 | dollars as filed | |
| BARK Inc. | 68622E104 | COM | 22,407 | $27,000 | dollars as filed | |
| ITERIS INC NEW | 46564T107 | COM | 6,537 | $27,000 | dollars as filed | |
| MONEYLION INC | 60938K304 | CL A | 1,244 | $27,000 | dollars as filed | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 728 | $26,000 | dollars as filed | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,370 | $26,000 | dollars as filed | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,017 | $26,000 | dollars as filed | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 6,554 | $26,000 | dollars as filed | |
| VIRGINIA NATIONAL BANKSHARES | 928031103 | COMMON STOCK | 851 | $26,000 | dollars as filed | |
| BIT DIGITAL INC | G1144A105 | COMMON STOCK | 12,278 | $26,000 | dollars as filed | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 3,616 | $26,000 | dollars as filed | |
| CRAWFORD & CO | 224633107 | COM | 3,084 | $26,000 | dollars as filed | |
| BRIGHTCOVE INC | 10921T101 | COM | 7,996 | $26,000 | dollars as filed | |
| Akoustis Technologies Inc | 00973N102 | COM | 34,903 | $26,000 | dollars as filed | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 700 | $26,000 | dollars as filed | |
| GRANDSTAND LTD ORDINARY SHARES | G3R239101 | Stock | 1,981 | $25,000 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 41,275 | $25,000 | dollars as filed | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 1,242 | $25,000 | dollars as filed | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 4,960 | $25,000 | dollars as filed | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 2,726 | $25,000 | dollars as filed | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 2,944 | $25,000 | dollars as filed | |
| ECB BANCORP INC | 26828M106 | COMMON STOCK | 2,316 | $25,000 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 1,000 | $25,000 | dollars as filed | |
| Pagaya Technologies Ltd. | M7S64L115 | CL A | 15,870 | $25,000 | dollars as filed | |
| ALLAKOS INC | 01671P100 | COM | 11,178 | $25,000 | dollars as filed | |
| WILLIAM PENN BANCORPORATION | 96927A105 | COM | 2,000 | $25,000 | dollars as filed | |
| RBC BEARINGS INC | 75524B203 | CONV | 224 | $25,000 | dollars as filed | principal |
| TDCX INC | 87190U100 | ADR | 4,115 | $25,000 | dollars as filed | |
| iShares Gold Trust Micro ETF of Benef Interest | 46436F103 | SHS | 1,313 | $24,000 | dollars as filed | |
| SHARKNINJA INC COM SHS | G8068L108 | Stock | 519 | $24,000 | dollars as filed | |
| FREEDOM HOLDING CORP | 356390104 | COM | 288 | $24,000 | dollars as filed | |
| LISTED FDS TR | 53656F268 | WAHED DOW JONES | 1,200 | $24,000 | dollars as filed | |
| ISHARES TR | 46435G847 | MSCI ACWI EXUS | 856 | $24,000 | dollars as filed | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 1,503 | $24,000 | dollars as filed | |
| FLEXSHARES TR | 33939L670 | CRE SLCT BD FD | 1,134 | $24,000 | dollars as filed | |
| EA SERIES TRUST | 02072L656 | ALTRIUS GBL DIV | 804 | $24,000 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E156 | S&P SMLCP FINL | 581 | $24,000 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 10,323 | $24,000 | dollars as filed | |
| INOZYME PHARMA INC | 45790W108 | COM | 5,683 | $24,000 | dollars as filed | |
| CONTEXTLOGIC INC | 21077C305 | COM | 5,483 | $24,000 | dollars as filed | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 47,600 | $24,000 | dollars as filed | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 500 | $23,000 | dollars as filed | call |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 1,110 | $23,000 | dollars as filed | |
| INOGEN INC | 45780L104 | COM | 4,474 | $23,000 | dollars as filed | |
| LANDS END INC | 51509F105 | COMMON STOCK | 2,908 | $23,000 | dollars as filed | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 1,173 | $23,000 | dollars as filed | |
| DIREXION SHS TR ETF DAILY S&P OIL & GAS EXP & PROD BULL 2X | 25460G500 | ETF | 600 | $23,000 | dollars as filed | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 500 | $23,000 | dollars as filed | principal |
| IZEA WORLDWIDE INC | 46604H204 | CMN | 10,474 | $23,000 | dollars as filed | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 538 | $23,000 | dollars as filed | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 400 | $23,000 | dollars as filed | principal |
| THIRD HARMONIC BIO INC | 88427A107 | COM | 3,627 | $23,000 | dollars as filed | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 20,073 | $23,000 | dollars as filed | |
| BRIACELL THERAPEUTICS CORP | 107930109 | COM | 3,600 | $23,000 | dollars as filed | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 8,460 | $23,000 | dollars as filed | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 100 | $22,000 | dollars as filed | put |
| BIOATLA INC | 09077B104 | COM | 12,776 | $22,000 | dollars as filed | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 8,390 | $22,000 | dollars as filed | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 5,083 | $22,000 | dollars as filed | |
| NEW PAC METALS CORP | 64782A107 | COM | 12,862 | $22,000 | dollars as filed | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 7,814 | $22,000 | dollars as filed | |
| EXPENSIFY INC | 30219Q106 | COM CL A | 7,071 | $22,000 | dollars as filed | |
| TELA BIO INC | 872381108 | COM | 2,768 | $22,000 | dollars as filed | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 985 | $22,000 | dollars as filed | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 628 | $22,000 | dollars as filed | |
| NN INC | 629337106 | COM | 12,000 | $22,000 | dollars as filed | |
| BATTALION OIL CORP | 07134L107 | COM | 3,495 | $22,000 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 4,960 | $22,000 | dollars as filed | |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 11,740 | $22,000 | dollars as filed | |
| GLOBAL X FDS | 37954Y178 | GLOBAL X AGTECH | 1,975 | $22,000 | dollars as filed | |
| MARINE PRODS CORP | 568427108 | cs | 1,553 | $22,000 | dollars as filed | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 9,731 | $22,000 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 22,000 | $22,000 | dollars as filed | principal |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 9,651 | $22,000 | dollars as filed | |
| PROSHARES TR II | 74347Y763 | FUND | 400 | $22,000 | dollars as filed | |
| NOVO INTEGRATED SCIENCES INC | 67011T201 | CMN | 75,264 | $22,000 | dollars as filed | |
| VanEck Merk Gold Trust | 921078101 | SHS | 1,200 | $21,000 | dollars as filed | |
| TENAYA THERAPEUTICS INC | 87990A106 | COM | 7,939 | $21,000 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC COMMON STOCK | 03214Q108 | Stock | 4,373 | $21,000 | dollars as filed | |
| NIOCORP DEVS LTD | 654484609 | COM NEW | 5,784 | $21,000 | dollars as filed | |
| CONCENTRIX CORP | 20602D101 | COM | 260 | $21,000 | dollars as filed | |
| PSQ HOLDINGS INC | 693691107 | CL A | 2,250 | $21,000 | dollars as filed | |
| MINERALYS THERAPEUTICS INC | 603170101 | COM | 2,192 | $21,000 | dollars as filed | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,237 | $21,000 | dollars as filed | |
| USCB FINANCIAL HOLDINGS INC | 90355N101 | COMMON STOCK | 1,972 | $21,000 | dollars as filed | |
| KALTURA INC | 483467106 | COMMON STOCK | 12,246 | $21,000 | dollars as filed | |
| ISHARES TR | 46436E742 | EGSADVNCDMSCI EM | 635 | $21,000 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 940 | $21,000 | dollars as filed | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 1,400 | $21,000 | dollars as filed | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 3,599 | $21,000 | dollars as filed | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 767 | $21,000 | dollars as filed | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $21,000 | dollars as filed | |
| FiscalNote Holdings Inc | 337655104 | Common Stock | 9,915 | $21,000 | dollars as filed | |
| VIGIL NEUROSCIENCE INC | 92673K108 | COM | 3,819 | $21,000 | dollars as filed | |
| MONDEE HOLDINGS INC | 465712107 | COM | 5,958 | $21,000 | dollars as filed | |
| AFFIMED N V | N01045108 | COM | 43,606 | $21,000 | dollars as filed | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 4,000 | $21,000 | dollars as filed | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 27,000 | $21,000 | dollars as filed | principal |
| CANAAN INC | 134748102 | SPONSORED ADS | 10,810 | $20,000 | dollars as filed | |
| GOLDMAN SACHS ETF TR | 38149W812 | FUTURE TECH LEAD | 830 | $20,000 | dollars as filed | |
| FLEXSHARES INTERNATIONALQUALITY DIVIDEND DYNAMICINDEX FUND | 33939L829 | ETF | 777 | $20,000 | dollars as filed | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 18,043 | $20,000 | dollars as filed | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 3,483 | $20,000 | dollars as filed | |
| AQUA METALS INC | 03837J101 | COM | 17,265 | $20,000 | dollars as filed | |
| INTEVAC INC | 461148108 | COM | 6,688 | $20,000 | dollars as filed | |
| CARTESIAN GROWTH CORP | G19276107 | COM | 2,881 | $20,000 | dollars as filed | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 450 | $20,000 | dollars as filed | |
| PROSHARES TR | 74347G416 | ULTRASHRT S&P500 | 510 | $19,000 | dollars as filed | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 237 | $19,000 | dollars as filed | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 3,641 | $19,000 | dollars as filed | |
| AMERICAN CENTY ETF TR | 025072356 | REAL ESTATE ETF | 502 | $19,000 | dollars as filed | |
| LOOP INDS INC | 543518104 | COM | 5,296 | $19,000 | dollars as filed | |
| JPMORGAN BETABUILDERS US AGGREGA ETF | 46641Q241 | COM | 420 | $19,000 | dollars as filed | |
| HAGERTY INC A | 405166109 | COMMON STOCK | 2,413 | $19,000 | dollars as filed | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 16,602 | $19,000 | dollars as filed | |
| AUDIOCODES LTD | M15342104 | ORD | 1,889 | $19,000 | dollars as filed | |
| IMPACT SHARES NAACP MINORITY EMPOWERMENT ETF | 45259A209 | ETF | 620 | $19,000 | dollars as filed | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,580 | $19,000 | dollars as filed | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 325 | $19,000 | dollars as filed | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 8,446 | $19,000 | dollars as filed | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 10,767 | $19,000 | dollars as filed | |
| GLOBAL X FDS | 37960A743 | INFORMATION TEC | 645 | $19,000 | dollars as filed | |
| CAMBRIA ETF TR | 132061607 | GLB ASSET ALLO | 706 | $19,000 | dollars as filed | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 14,930 | $19,000 | dollars as filed | |
| AEROVATE THERAPEUTICS INC | 008064107 | COM | 1,400 | $19,000 | dollars as filed | |
| CARISMA THERAPEUTICS INC | 14216R101 | COM | 4,477 | $19,000 | dollars as filed | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 5,875 | $19,000 | dollars as filed | |
| VELO3D INC | 92259N104 | COM | 12,145 | $19,000 | dollars as filed | |
| ELECTRA BATTERY MATERIALS CO | 28474P201 | COM | 31,099 | $19,000 | dollars as filed | |
| ANNEXON INC | 03589W102 | COM | 7,663 | $18,000 | dollars as filed | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 4,632 | $18,000 | dollars as filed | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 11,139 | $18,000 | dollars as filed | |
| AIRSCULPT TECHNOLOGIES INC | 009496100 | COMMON STOCK | 2,544 | $18,000 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092816 | MOMENTUM FACTR | 390 | $18,000 | dollars as filed | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 339 | $18,000 | dollars as filed | |
| FIRST TR EXCHNG TRADED FD VI | 33740F557 | FT VEST NAS | 820 | $18,000 | dollars as filed | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 479 | $18,000 | dollars as filed | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 185 | $18,000 | dollars as filed | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 2,039 | $18,000 | dollars as filed | |
| NOODLES & CO | 65540B105 | COM CL A | 7,494 | $18,000 | dollars as filed | |
| NEUEHEALTH INC | 10920V404 | COM NEW | 2,886 | $18,000 | dollars as filed | |
| IKENA ONCOLOGY INC | 45175G108 | COM | 4,282 | $18,000 | dollars as filed | |
| THESEUS PHARMACEUTICALS INC | 88369M101 | COM | 6,756 | $18,000 | dollars as filed | |
| ALLOVIR INC | 019818103 | COM | 8,547 | $18,000 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 67,346 | $18,000 | dollars as filed | |
| OSISKO DEVELOPMENT CORP | 68828E114 | *W EXP 12/01/202 | 300,500 | $18,000 | dollars as filed | |
| KRANESHARES TRUST | 500767611 | CICC CHIN 5G SEM | 1,256 | $18,000 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 212 | $17,000 | dollars as filed | |
| ANGEL OAK MORTGAGE REIT INC COM | 03464Y108 | REIT | 1,985 | $17,000 | dollars as filed | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 49,918 | $17,000 | dollars as filed | |
| KOSMOS ENERGY LTD | 500688106 | COM | 2,100 | $17,000 | dollars as filed | call |
| PERPETUA RESOURCES CORP | 714266103 | COM | 5,402 | $17,000 | dollars as filed | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 502 | $17,000 | dollars as filed | |
| AMPLIFY ETF TR | 032108722 | CWP INTL ENHANCE | 629 | $17,000 | dollars as filed | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 1,471 | $17,000 | dollars as filed | |
| ORCHESTRA BIOMED HOLDINGS IN | 68572M106 | COMMON STOCK | 1,993 | $17,000 | dollars as filed | |
| SANARA MEDTECH INC | 79957L100 | COMMON STOCK | 531 | $17,000 | dollars as filed | |
| ALX ONCOLOGY HOLDINGS INC | 00166B105 | COMMON STOCK | 3,680 | $17,000 | dollars as filed | |
| INVESCO EXCHANGE TRADED FD T | 46137V522 | BLOO AN RATI ETF | 306 | $17,000 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 20,865 | $17,000 | dollars as filed | |
| Galiano Gold Inc | 36352H100 | COM | 28,908 | $17,000 | dollars as filed | |
| EMPIRE PETE CORP | 292034303 | COM | 1,796 | $17,000 | dollars as filed | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 1,400 | $17,000 | dollars as filed | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 406 | $17,000 | dollars as filed | |
| RALLYBIO CORP | 75120L100 | COM | 5,189 | $17,000 | dollars as filed | |
| ZILLOW GROUP INC | 98954MAH4 | NOTE 2.750% 5/1 | 17,000 | $17,000 | dollars as filed | principal |
| GRAPHITE BIO INC | 38870X104 | COM | 6,698 | $17,000 | dollars as filed | |
| ZHIHU INC | 98955N108 | ADR | 16,539 | $17,000 | dollars as filed | |
| GLOBAL X FDS | 37960A750 | HEALTH CARE COVR | 714 | $17,000 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 27,000 | $16,000 | dollars as filed | |
| CIPHER DIGITAL INC COM | 17253J106 | Stock | 6,861 | $16,000 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 15,221 | $16,000 | dollars as filed | |
| INNOVAGE HLDG CORP | 45784A104 | COM | 2,765 | $16,000 | dollars as filed | |
| SKYX PLATFORMS CORP | 78471E105 | COM | 11,287 | $16,000 | dollars as filed | |
| DERMTECH INC | 24984K105 | COM | 11,045 | $16,000 | dollars as filed | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 1,955 | $16,000 | dollars as filed | |
| EGAIN CORP | 28225C806 | COM NEW | 2,735 | $16,000 | dollars as filed | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 33,986 | $16,000 | dollars as filed | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 2,370 | $16,000 | dollars as filed | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER APRIL | 45782C805 | ETF | 628 | $16,000 | dollars as filed | |
| VANECK SOCIAL SENTIMENT ETF | 92189H839 | UIT EXCHANGE TRADED | 1,035 | $16,000 | dollars as filed | |
| P3 HEALTH PARTNERS INC | 744413105 | COM CL A | 10,646 | $16,000 | dollars as filed | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,341 | $16,000 | dollars as filed | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 4,000 | $16,000 | dollars as filed | |
| HUBSPOT INC | 443573AD2 | NOTE 0.375% 6/0 | 9,000 | $16,000 | dollars as filed | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 15,000 | $16,000 | dollars as filed | principal |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,952 | $16,000 | dollars as filed | |
| GLOBAL X FDS | 37960A768 | FINANCIALS COVRD | 712 | $16,000 | dollars as filed | |
| VISION MARINE TECHNOLOGIES I | C96657116 | COM | 6,453 | $16,000 | dollars as filed | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 6,988 | $15,000 | dollars as filed | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 415 | $15,000 | dollars as filed | |
| ARS PHARMACEUTICALS INC | 82835W108 | COM | 3,842 | $15,000 | dollars as filed | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 732 | $15,000 | dollars as filed | |
| PAYMENTUS HOLDINGS INC | 70439P108 | COM CL A | 888 | $15,000 | dollars as filed | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 777 | $15,000 | dollars as filed | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 491 | $15,000 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45782C649 | US EQTY ULTRA B | 511 | $15,000 | dollars as filed | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 13,778 | $15,000 | dollars as filed | |
| STEALTHGAS INC | Y81669106 | COM | 3,043 | $15,000 | dollars as filed | |
| EUROSEAS LTD | Y23592135 | COM | 534 | $15,000 | dollars as filed | |
| ACRIVON THERAPEUTICS INC | 004890109 | CMN | 1,561 | $15,000 | dollars as filed | |
| WHITEHAWK THERAPEUTICS INC | 00032Q104 | CMN | 3,084 | $15,000 | dollars as filed | |
| BIOCERES CROP SOLUTIONS CORP | G1117K114 | CMN | 1,300 | $15,000 | dollars as filed | |
| PRELUDE THERAPEUTICS INC | 74065P101 | CMN | 5,063 | $15,000 | dollars as filed | |
| VISTAGEN THERAPEUTICS INC | 92840H400 | COM | 2,860 | $15,000 | dollars as filed | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 1,200 | $15,000 | dollars as filed | |
| AMERICAN CENTY ETF TR | 025072760 | MID CAP GRW IMP | 338 | $15,000 | dollars as filed | |
| GLATFELTER CORP | 377320106 | COMMON STOCK | 7,432 | $15,000 | dollars as filed | |
| SOHO HOUSE & CO INC | 586001109 | COM CL A | 2,240 | $15,000 | dollars as filed | |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 18,000 | $15,000 | dollars as filed | principal |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 2,535 | $15,000 | dollars as filed | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 19,025 | $15,000 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46641Q142 | CLIMATE CHANGE S | 400 | $15,000 | dollars as filed | |
| CHINA FD INC | 169373107 | COM | 1,447 | $15,000 | dollars as filed | |
| VOR BIOPHARMA INC | 929033108 | COM | 7,149 | $15,000 | dollars as filed | |
| LONGBOARD PHARMACEUTICALS IN | 54300N103 | COM | 2,670 | $15,000 | dollars as filed | |
| RENEO PHARMACEUTICALS INC | 75974E103 | COM | 1,975 | $15,000 | dollars as filed | |
| LUTHER BURBANK CORP | 550550107 | COM | 1,877 | $15,000 | dollars as filed | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 3,900 | $14,000 | dollars as filed | |
| RIMINI STR INC DEL | 76674Q107 | COM | 6,590 | $14,000 | dollars as filed | |
| NUVECTIS PHARMA INC | 67080T108 | COMMON STOCK | 1,088 | $14,000 | dollars as filed | |
| ARHAUS INC | 04035M102 | COMMON STOCK | 1,455 | $14,000 | dollars as filed | |
| FORAFRIC GLOBAL PLC | X3R81D102 | COMMON STOCK | 1,250 | $14,000 | dollars as filed | |
| BACKBLAZE INC A | 05637B105 | COMMON STOCK | 2,462 | $14,000 | dollars as filed | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 3,091 | $14,000 | dollars as filed | |
| ETF SER SOLUTIONS | 26922A321 | DISTILLATE US | 316 | $14,000 | dollars as filed | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 5,273 | $14,000 | dollars as filed | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 7,270 | $14,000 | dollars as filed | |
| Gilat Satellite Network | M51474118 | COM | 2,269 | $14,000 | dollars as filed | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 400 | $14,000 | dollars as filed | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 7,529 | $14,000 | dollars as filed | |
| GENASYS INC | 36872P103 | CMN | 6,987 | $14,000 | dollars as filed | |
| PROSHARES TR II | 74347Y888 | CMN | 400 | $14,000 | dollars as filed | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 750 | $14,000 | dollars as filed | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 1,600 | $14,000 | dollars as filed | |
| PROSHARES TR | 74348A566 | MERGER ETF | 354 | $14,000 | dollars as filed | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 5,555 | $14,000 | dollars as filed | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 1,503 | $14,000 | dollars as filed | |
| Skillsoft Corp. | 83066P200 | Common | 15,479 | $14,000 | dollars as filed | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 11,982 | $14,000 | dollars as filed | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 2,000 | $14,000 | dollars as filed | |
| CARA THERAPEUTICS INC | 140755109 | COM | 8,302 | $14,000 | dollars as filed | |
| AKOYA BIOSCIENCES INC COM | 00974H104 | Stock | 3,157 | $14,000 | dollars as filed | |
| TERRAN ORBITAL CORPORATION | 88105P103 | COM | 16,550 | $14,000 | dollars as filed | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 20,061 | $14,000 | dollars as filed | |
| BAKKT HOLDINGS INC | 05759B107 | COM | 11,698 | $14,000 | dollars as filed | |
| INNOVATE CORP | 45784J105 | COM | 8,755 | $14,000 | dollars as filed | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 407 | $14,000 | dollars as filed | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 2,370 | $13,000 | dollars as filed | |
| AVEANNA HEALTHCARE HLDGS INC | 05356F105 | COM | 10,812 | $13,000 | dollars as filed | |
| DESIGN THERAPEUTICS INC | 25056L103 | COM | 5,501 | $13,000 | dollars as filed | |
| KODIAK SCIENCES INC | 50015M109 | COM | 7,453 | $13,000 | dollars as filed | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 1,404 | $13,000 | dollars as filed | |
| FIBROGEN INC | 31572Q808 | COM | 15,265 | $13,000 | dollars as filed | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 216 | $13,000 | dollars as filed | |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 382 | $13,000 | dollars as filed | |
| INTEGRA RES CORP | 45826T509 | COM | 14,657 | $13,000 | dollars as filed | |
| BONDBLOXX USD HIGH YIELD BOND SECTOR ROTATION ETF | 09789C770 | ETF | 908 | $13,000 | dollars as filed | |
| INNOVATOR ETFS TRUST | 45782C565 | US EQTY ULTRA BU | 413 | $13,000 | dollars as filed | |
| ASTORIA REAL ASSET ETF | 46141T117 | UIE | 516 | $13,000 | dollars as filed | |
| URANIUM RTY CORP | 91702V101 | COM | 4,792 | $13,000 | dollars as filed | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 285 | $13,000 | dollars as filed | |
| MIND MEDICINE MINDMED INC | 60255C885 | COM NEW | 4,446 | $13,000 | dollars as filed | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $13,000 | dollars as filed | principal |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 30,868 | $13,000 | dollars as filed | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 3,271 | $13,000 | dollars as filed | |
| ARBE ROBOTICS LTD ORDINARY SHARES | M1R95N100 | Stock | 4,785 | $12,000 | dollars as filed | |
| CIBUS INC | 17166A101 | CL A COM STK | 649 | $12,000 | dollars as filed | |
| TFS FINL CORP | 87240R107 | COM | 1,005 | $12,000 | dollars as filed | |
| THE REAL BROKERAGE INC | 75585H206 | COM NEW | 8,000 | $12,000 | dollars as filed | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 274 | $12,000 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33738D820 | FT VEST SMID | 653 | $12,000 | dollars as filed | |
| CONTANGO SILVER GOLD INC | 21077F100 | COMMON STOCK | 635 | $12,000 | dollars as filed | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 769 | $12,000 | dollars as filed | |
| SPORTRADAR GROUP AG | H8088L103 | COM | 1,167 | $12,000 | dollars as filed | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 285 | $12,000 | dollars as filed | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 421 | $12,000 | dollars as filed | |
| USCF ETF TR | 90290T882 | MIDS ENE INC ETF | 337 | $12,000 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 144 | $12,000 | dollars as filed | |
| STRIDE INC | 86333MAA6 | NOTE 1.125% 9/0 | 11,000 | $12,000 | dollars as filed | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 653 | $12,000 | dollars as filed | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 231 | $12,000 | dollars as filed | |
| ELECTROVAYA INC | 28617B606 | COM | 4,200 | $12,000 | dollars as filed | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 419 | $12,000 | dollars as filed | |
| TIGO ENERGY INC | 88675P103 | CMN | 1,664 | $12,000 | dollars as filed | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 628 | $12,000 | dollars as filed | |
| MANNATECH INC | 563771203 | COM NEW | 1,150 | $12,000 | dollars as filed | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 50,936 | $12,000 | dollars as filed | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 26,000 | $12,000 | dollars as filed | |
| 5E ADVANCED MATERIALS INC | 33830Q109 | COMMON STOCK | 5,150 | $12,000 | dollars as filed | |
| OPTINOSE INC | 68404V100 | COM | 9,781 | $12,000 | dollars as filed | |
| DARIOHEALTH CORP | 23725P209 | COM | 3,669 | $12,000 | dollars as filed | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAK3 | NOTE 6.750% 2/1 | 7,000 | $12,000 | dollars as filed | principal |
| PROCESSA PHARMACEUTICALS INC COM NEW | 74275C205 | Stock | 46,382 | $12,000 | dollars as filed | |
| C4 THERAPEUTICS INC | 12529R107 | COM STK | 5,804 | $11,000 | dollars as filed | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 188 | $11,000 | dollars as filed | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 6,083 | $11,000 | dollars as filed | |
| STARLING ONCOLOGY INC | 68236X100 | COMMON STOCK | 7,870 | $11,000 | dollars as filed | |
| SMITH MIDLAND CORP | 832156103 | COMMON STOCK | 550 | $11,000 | dollars as filed | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 10,272 | $11,000 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 319 | $11,000 | dollars as filed | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 535 | $11,000 | dollars as filed | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 250 | $11,000 | dollars as filed | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 4,050 | $11,000 | dollars as filed | |
| ALLOT LTD | M0854Q105 | SHS | 4,925 | $11,000 | dollars as filed | |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 224 | $11,000 | dollars as filed | |
| SILICOM LTD | M84116108 | ORD | 394 | $11,000 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46641Q746 | USD EMRNG MKT | 295 | $11,000 | dollars as filed | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 480 | $11,000 | dollars as filed | |
| VERITONE INC | 92347M100 | COM | 4,379 | $11,000 | dollars as filed | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 195 | $11,000 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 164 | $11,000 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 207 | $11,000 | dollars as filed | |
| DYADIC INTL INC DEL | 26745T101 | COM | 5,885 | $11,000 | dollars as filed | |
| ABACUS FCF ETF TR | 89628W708 | ABACUS FCF REAL | 390 | $11,000 | dollars as filed | |
| ProShares UltraPro Short Russell2000 | 74347G390 | ETF | 236 | $11,000 | dollars as filed | |
| FINANCE OF AMERICA COMPAN CL A NEW | 31738L107 | Stock | 9,259 | $11,000 | dollars as filed | |
| GREENHILL & CO INC COM | 395259104 | Stock | 756 | $11,000 | dollars as filed | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 279 | $11,000 | dollars as filed | |
| INVESCO ACTIVELY MANAGED EXC | 46090A788 | REAL ASSETS ESG | 926 | $11,000 | dollars as filed | |
| SYSTEM1 INC | 87200P109 | COM | 8,651 | $11,000 | dollars as filed | |
| PROSHARES TR | 74347G739 | FUND | 790 | $11,000 | dollars as filed | |
| LIVEVOX HOLDING INC | 53838L100 | COM | 3,329 | $11,000 | dollars as filed | |
| FUSION PHARMACEUTICALS INC | 36118A100 | COM | 4,204 | $11,000 | dollars as filed | |
| BRIDGETOWN HOLDINGS LTD | G1355U121 | *W EXP 09/30/202 | 32,579 | $11,000 | dollars as filed | |
| GH RESEARCH PLC ORDINARY SHARES | G3855L106 | Stock | 1,000 | $10,000 | dollars as filed | |
| ODDITY TECH LTD SHS CL A | M7518J104 | Stock | 346 | $10,000 | dollars as filed | |
| OUSTER INC COM NEW | 68989M202 | Stock | 1,802 | $10,000 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 10,033 | $10,000 | dollars as filed | |
| OSISKO DEVELOPMENT CORP | 68828E809 | COM NEW | 3,442 | $10,000 | dollars as filed | |
| LITMAN GREGORY FDS TR | 53700T827 | IMGP DBI MAN ETF | 342 | $10,000 | dollars as filed | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 1,350 | $10,000 | dollars as filed | |
| LIVEWIRE GROUP INC | 53838J105 | COMMON STOCK | 1,380 | $10,000 | dollars as filed | |
| HYPERFINE INC | 44916K106 | Common Stock | 4,850 | $10,000 | dollars as filed | |
| J P MORGAN ETF LTD DURATION BD | 46654Q773 | ETF | 210 | $10,000 | dollars as filed | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 766 | $10,000 | dollars as filed | |
| MV OIL TR | 553859109 | TR UNITS | 700 | $10,000 | dollars as filed | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 231 | $10,000 | dollars as filed | |
| FIDELITY COVINGTON TRUST | 316092246 | CLOUD COMPUTNG | 532 | $10,000 | dollars as filed | |
| EA SERIES TRUST | 02072L748 | DEFINED DURTN 10 | 466 | $10,000 | dollars as filed | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 386 | $10,000 | dollars as filed | |
| VROOM INC | 92918V109 | COM | 8,800 | $10,000 | dollars as filed | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 14,515 | $10,000 | dollars as filed | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 800 | $10,000 | dollars as filed | |
| AEVA TECHNOLOGIES INC | 00835Q103 | COM | 13,838 | $10,000 | dollars as filed | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 6,141 | $10,000 | dollars as filed | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 9,191 | $10,000 | dollars as filed | |
| VAXXINITY INC CLASS A | 92244V104 | COMMON STOCK | 7,788 | $10,000 | dollars as filed | |
| FTC SOLAR INC | 30320C103 | COM | 7,965 | $10,000 | dollars as filed | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 1,000 | $10,000 | dollars as filed | |
| URBAN ONE INC | 91705J204 | CL D NON VTG | 1,914 | $10,000 | dollars as filed | |
| WISDOMTREE INC | 97717PAD6 | NOTE 3.250% 6/1 | 10,000 | $10,000 | dollars as filed | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 10,000 | $10,000 | dollars as filed | principal |
| BENSON HILL INC | 082490103 | COM | 29,083 | $10,000 | dollars as filed | |
| CONMED CORP | 207410AF8 | BOND | 9,000 | $10,000 | dollars as filed | principal |
| VIEW INC | 92671V304 | CL A NEW | 1,278 | $10,000 | dollars as filed | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 75,543 | $10,000 | dollars as filed | |
| THERATECHNOLOGIES INC | 88338H704 | COM | 4,616 | $10,000 | dollars as filed | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 10,012 | $10,000 | dollars as filed | principal |
| CORBUS PHARMACEUTICALS | 21833P301 | COM NEW | 1,318 | $9,000 | dollars as filed | |
| VYNE THERAPEUTICS INC | 92941V308 | COM | 2,195 | $9,000 | dollars as filed | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 377 | $9,000 | dollars as filed | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 832 | $9,000 | dollars as filed | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 801 | $9,000 | dollars as filed | |
| LCI INDS | 501812AB7 | NOTE 1.125% 5/1 | 10,000 | $9,000 | dollars as filed | principal |
| PAYSIGN INC | 70451A104 | COM | 4,779 | $9,000 | dollars as filed | |
| EXAGEN INC | 30068X103 | COM | 3,707 | $9,000 | dollars as filed | |
| ISHARES TR | 46434V761 | MSCI UAE ETF | 576 | $9,000 | dollars as filed | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 173 | $9,000 | dollars as filed | |
| RAMACO RES INC | 75134P501 | COM CL B | 758 | $9,000 | dollars as filed | |
| CENTURY THERAPEUTICS INC | 15673T100 | COM | 4,296 | $9,000 | dollars as filed | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 1,893 | $9,000 | dollars as filed | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 486 | $9,000 | dollars as filed | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 194 | $9,000 | dollars as filed | |
| CIVEO CORP | 17878Y207 | COMMON STOCK | 435 | $9,000 | dollars as filed | |
| NEWAMSTERDAM PHARMA CO NV | N62509109 | COMMON STOCK | 1,000 | $9,000 | dollars as filed | |
| IDENTIV INC | 45170X205 | COM NEW | 1,070 | $9,000 | dollars as filed | |
| ISHARES TR | 46436E478 | IBON 2027 TE ETF | 400 | $9,000 | dollars as filed | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 469 | $9,000 | dollars as filed | |
| KAMADA LTD | M6240T109 | SHS | 1,597 | $9,000 | dollars as filed | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 437 | $9,000 | dollars as filed | |
| High Templar Tech Limit | 747798106 | COM | 4,277 | $9,000 | dollars as filed | |
| MINERVA NEUROSCIENCES INC | 603380205 | COM NEW | 1,325 | $9,000 | dollars as filed | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,358 | $9,000 | dollars as filed | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 462 | $9,000 | dollars as filed | |
| MARKETWISE INC | 57064P107 | COM CL A | 5,618 | $9,000 | dollars as filed | |
| PCM FD INC | 69323T101 | COM | 1,057 | $9,000 | dollars as filed | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 1,000 | $9,000 | dollars as filed | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 1,286 | $9,000 | dollars as filed | |
| 374WATER INC | 88583P104 | COM | 7,759 | $9,000 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138G623 | MSCI GREEN BUIL | 579 | $9,000 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 4,000 | $9,000 | dollars as filed | principal |
| RINGCENTRAL INC | 76680RAF4 | NOTE 3/0 | 9,000 | $9,000 | dollars as filed | principal |
| NICE LTD | 653656AB4 | NOTE 9/1 | 10,000 | $9,000 | dollars as filed | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 2,134 | $9,000 | dollars as filed | |
| NEW YORK LIFE INVESTMENTS ET | 45409B321 | NYLI HEALTHY HEA | 350 | $9,000 | dollars as filed | |
| GLOBAL X | 37954Y152 | GBL X HYDROGEN | 1,161 | $9,000 | dollars as filed | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 400 | $9,000 | dollars as filed | |
| RISKON INTERNATIONAL INC | 27888N406 | COM | 10,515 | $9,000 | dollars as filed | |
| INDIE SEMICONDUCTOR INC | 45569U119 | *W EXP 06/10/202 | 4,928 | $9,000 | dollars as filed | |
| AC IMMUNE SA | H00263105 | SHS | 2,777 | $8,000 | dollars as filed | |
| PEPGEN INC COM | 713317105 | Stock | 1,661 | $8,000 | dollars as filed | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 1,600 | $8,000 | dollars as filed | put |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 350 | $8,000 | dollars as filed | |
| AMERICAN PUB ED INC | 02913V103 | COM | 1,537 | $8,000 | dollars as filed | |
| DIMENSIONAL ETF TRUST | 25434V716 | US SUSTAINABILTY | 278 | $8,000 | dollars as filed | |
| WHEELS UP EXPERIENCE INC | 96328L205 | COM CL A | 3,698 | $8,000 | dollars as filed | |
| SPDR SERIES TRUST | 78468R671 | STATE STREET SPD | 166 | $8,000 | dollars as filed | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 198 | $8,000 | dollars as filed | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 1,494 | $8,000 | dollars as filed | |
| SAGIMET BIOSCIENCES INC A | 786700104 | COMMON STOCK | 871 | $8,000 | dollars as filed | |
| ADC THERAPEUTICS SA | H0036K147 | COMMON STOCK | 8,085 | $8,000 | dollars as filed | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,028 | $8,000 | dollars as filed | |
| BNY MELLON ETF TRUST | 09661T404 | INTERNATIONL EQT | 127 | $8,000 | dollars as filed | |
| ZEVIA PBC | 98955K104 | CL A | 3,656 | $8,000 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 12,000 | $8,000 | dollars as filed | principal |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 978 | $8,000 | dollars as filed | |
| ARIS MINING CORPORATION | 04040Y109 | COM | 3,704 | $8,000 | dollars as filed | |
| IDEAL PWR INC | 451622203 | COM NEW | 816 | $8,000 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-23-053182 | this filing | 2023-11-14 | acceptance time not in the bulk data set |