13F-HR filed by WEDBUSH SECURITIES INC
WEDBUSH SECURITIES INC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-20, with 930 holding rows worth $1,042,936,000.
- Accession
- 0001142495-20-000014
- Filer
- CIK 1142495
- Filed
- 2020-10-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 14,883 entries on the cover page, a total value of $1,042,936,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,042,936,000 with VALUE read as thousands by filing date, 13F file number 028-12460. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 37,290 | $401,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 11,145 | $400,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y483 | NASDAQ 100 COVER | 18,444 | $398,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 9,520 | $395,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 5,181 | $395,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 17,134 | $393,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 8,365 | $390,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 4,913 | $386,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 18,890 | $386,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 13,924 | $385,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 1,275 | $384,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 1,169 | $383,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 3,117 | $379,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 15,056 | $379,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 26,465 | $379,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 1,717 | $378,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 3,489 | $378,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 15,520 | $377,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 6,175 | $376,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 122,005 | $376,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 11,964 | $374,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 10,303 | $373,000 | thousands by filing date | |
| iShares Trust iShares USD Green Bond ETF | 46435U440 | SHS | 6,689 | $372,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 26,080 | $371,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 10,344 | $370,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 20,142 | $370,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 1,922 | $369,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 11,250 | $368,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 4,709 | $367,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 18,701 | $367,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 107,661 | $367,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 1,106 | $367,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 36,342 | $367,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 35,647 | $367,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 477 | $363,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 1,664 | $363,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 49,331 | $363,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 1,133 | $361,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,581 | $360,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 11,000 | $360,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 8,623 | $358,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 2,106 | $357,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 26,796 | $357,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 990 | $353,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 41,783 | $353,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 9,618 | $352,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 12,622 | $352,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 16,400 | $351,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 8,550 | $349,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 3,044 | $348,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 21,896 | $346,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 24,558 | $346,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,836 | $345,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 831 | $344,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 2,229 | $343,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 28,438 | $343,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 5,496 | $342,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 24,819 | $342,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,286 | $342,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 3,345 | $341,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 6,422 | $340,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 30,436 | $339,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138g805 | TAXABLE MUN BD | 10,127 | $338,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 2,587 | $337,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 24,135 | $334,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 1,211 | $333,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,697 | $332,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 2,619 | $332,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 4,446 | $331,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 10,543 | $330,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 3,170 | $329,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 7,838 | $329,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,341 | $328,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 3,955 | $328,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 5,885 | $327,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 17,829 | $327,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 3,771 | $326,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 6,499 | $326,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 8,009 | $325,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 7,000 | $325,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 19,518 | $322,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 5,139 | $322,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 5,499 | $320,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 4,400 | $320,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 36,395 | $320,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 3,127 | $319,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 5,744 | $318,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 5,511 | $317,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 21,539 | $317,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 7,823 | $316,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 5,089 | $316,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 4,116 | $316,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 5,617 | $316,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 15,520 | $316,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 26,450 | $316,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 12,588 | $315,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 12,078 | $315,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 7,205 | $315,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 3,101 | $315,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 34,728 | $313,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 37,700 | $313,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 1,923 | $312,000 | thousands by filing date | |
| IAC INTERACTIVECORP NEW | 44891N109 | COM | 2,603 | $312,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 4,876 | $310,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 19,424 | $310,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 1,732 | $310,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,690 | $309,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 14,146 | $308,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 7,080 | $307,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 21,692 | $305,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 870 | $303,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 5,648 | $303,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 21,989 | $303,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 1,245 | $302,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,791 | $302,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 984 | $300,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 1,260 | $300,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,623 | $299,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 1,907 | $298,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 7,689 | $298,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 49,214 | $295,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 7,843 | $294,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 6,059 | $293,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 3,125 | $293,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 3,157 | $292,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 31,963 | $292,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 4,938 | $291,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 2,095 | $291,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 2,563 | $291,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 51,882 | $291,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,384 | $290,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 8,858 | $290,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 5,225 | $288,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 20,010 | $287,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 7,439 | $287,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 4,634 | $286,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,259 | $285,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,538 | $285,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 3,087 | $283,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061862 | TAIL RISK | 13,107 | $283,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 4,007 | $282,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 4,759 | $282,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 3,092 | $280,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,156 | $278,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 20,693 | $278,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 19,465 | $277,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 2,401 | $275,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 9,322 | $275,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 27,643 | $275,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 5,393 | $274,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 6,611 | $274,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 57,000 | $274,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 1,682 | $273,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,876 | $272,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 11,080 | $271,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 7,523 | $271,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 3,964 | $270,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 14,896 | $270,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 12,680 | $270,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 3,105 | $270,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 43,300 | $270,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 5,322 | $268,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 37,528 | $267,000 | thousands by filing date | |
| ABRDN PALLADIUM ETF TRUST | 003262102 | PHYSICAL PALLADM | 1,235 | $267,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 2,794 | $266,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 1,434 | $266,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 2,502 | $265,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 19,402 | $265,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 5,232 | $264,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 1,721 | $264,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 24,330 | $264,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 25,575 | $264,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 1,780 | $262,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 6,400 | $262,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 3,106 | $262,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,238 | $261,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 11,126 | $260,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 893 | $260,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 16,010 | $257,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 15,175 | $257,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 1,901 | $256,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,932 | $256,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 2,535 | $255,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,054 | $255,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 10,000 | $255,000 | thousands by filing date | |
| AON PLC SHS CL A | G0403H108 | Stock | 1,229 | $254,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 8,244 | $254,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 866 | $253,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 9,369 | $253,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 6,368 | $253,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 1,605 | $252,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 9,092 | $250,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 9,237 | $250,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 16,405 | $249,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 8,981 | $249,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 2,042 | $248,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 23,362 | $247,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 12,857 | $247,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 10,127 | $246,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 12,141 | $246,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 2,404 | $245,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 2,779 | $245,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 45,369 | $245,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 1,048 | $242,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,576 | $242,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 3,000 | $241,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 12,647 | $240,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 4,137 | $239,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,610 | $238,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 15,910 | $238,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 1,724 | $237,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 8,806 | $236,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 9,033 | $235,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 13,821 | $235,000 | thousands by filing date | |
| CUBESMART COM | 229663109 | REIT | 7,230 | $234,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 187 | $233,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 77,817 | $233,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 19,380 | $231,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 8,930 | $231,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 15,610 | $230,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V837 | DORSEY WRIGHT MO | 3,000 | $229,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 8,515 | $229,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,378 | $228,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 4,730 | $228,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 2,808 | $227,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 2,167 | $227,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 2,661 | $227,000 | thousands by filing date | |
| OTIS WORLDWIDE CORP COM | 68902V107 | Stock | 3,629 | $227,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 6,670 | $226,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 20,656 | $225,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 11,950 | $225,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 20,067 | $223,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,021 | $222,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 5,584 | $222,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 4,148 | $222,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 26,900 | $221,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,269 | $221,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,316 | $220,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 4,289 | $219,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 3,740 | $219,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F854 | FT VEST U.S. | 6,875 | $219,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 6,354 | $218,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 21,744 | $217,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 4,951 | $215,000 | thousands by filing date | |
| JARDEN CORP | 471109AM0 | NOTE 1.125% 3/1 | 3,000 | $215,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 41,964 | $214,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 4,596 | $213,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 8,351 | $213,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 6,250 | $212,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F839 | FT VEST US EQT | 6,665 | $212,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 12,269 | $211,000 | thousands by filing date | |
| AXS CHANGE FINANCE ESG ETF | 26922A560 | ETF | 8,253 | $211,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 11,012 | $210,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,723 | $210,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 8,441 | $210,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 904 | $209,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 15,435 | $209,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 14,380 | $209,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 1,122 | $208,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 4,030 | $208,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 2,756 | $207,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4,481 | $207,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 430 | $207,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 14,022 | $204,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 1,985 | $202,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 16,526 | $202,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 15,320 | $202,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 931 | $200,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 13,890 | $199,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 39,950 | $196,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,875 | $191,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 111,600 | $189,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 37,165 | $187,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 19,732 | $184,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 47,495 | $182,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 11,411 | $180,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 36,385 | $179,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 14,979 | $178,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 17,587 | $176,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 24,661 | $175,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 13,164 | $172,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 31,388 | $170,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 12,945 | $168,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 10,948 | $165,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 11,523 | $165,000 | thousands by filing date | |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 64,300 | $164,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 13,151 | $163,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 22,688 | $161,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 21,976 | $161,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 10,698 | $156,000 | thousands by filing date | |
| ENTERA BIO LTD | M40527109 | SHS | 121,616 | $151,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 10,194 | $150,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 18,450 | $150,000 | thousands by filing date | |
| FIRST EAGLE SENIOR LOAN FUND | 32010E100 | COM NEW | 12,030 | $149,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 96,165 | $144,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,665 | $142,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 13,373 | $142,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 11,000 | $140,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 49,000 | $140,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 29,997 | $139,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 14,550 | $138,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 18,485 | $135,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 16,525 | $134,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,250 | $133,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,655 | $125,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 21,500 | $125,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 16,300 | $124,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 12,308 | $124,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 15,000 | $123,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 18,050 | $123,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 20,009 | $123,000 | thousands by filing date | |
| ADITX THERAPEUTICS INC | 007025109 | COM | 61,832 | $121,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 30,800 | $120,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 81,491 | $116,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 10,109 | $114,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 70,900 | $114,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 14,153 | $113,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 58,626 | $113,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 13,100 | $108,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 24,138 | $107,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 24,500 | $106,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 24,100 | $106,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 29,012 | $106,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 12,529 | $105,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 12,709 | $105,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 18,000 | $104,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 22,100 | $104,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 20,132 | $104,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 10,424 | $102,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 47,587 | $100,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 22,982 | $99,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 23,500 | $98,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 10,785 | $97,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 12,272 | $96,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 15,950 | $93,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 18,660 | $91,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 14,083 | $91,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 10,190 | $91,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 14,033 | $90,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 19,444 | $90,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 18,600 | $90,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 17,934 | $90,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 41,369 | $89,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 10,791 | $88,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 14,921 | $87,000 | thousands by filing date | |
| CELLECT BIOTECHNOLOGY LTD | 15116C201 | COMMON STOCK-FO | 39,870 | $84,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,035 | $83,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 12,000 | $82,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 76,700 | $78,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 10,179 | $78,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 68,425 | $76,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 11,900 | $74,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 89,566 | $74,000 | thousands by filing date | |
| GAMIDA CELL LTD | M47364100 | SHS | 17,715 | $74,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 230,508 | $73,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,500 | $71,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 20,500 | $71,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 13,450 | $67,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 54,500 | $66,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 30,855 | $66,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 23,547 | $65,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 10,900 | $63,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 66,000 | $63,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 17,340 | $62,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 11,000 | $62,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,463 | $60,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 20,081 | $59,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 25,000 | $59,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 34,841 | $59,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 17,105 | $57,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 44,839 | $56,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 12,065 | $55,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 10,500 | $55,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 67,927 | $55,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 16,200 | $55,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 31,000 | $55,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 31,381 | $55,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 12,835 | $52,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 11,600 | $52,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 19,837 | $51,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 10,200 | $50,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,579 | $50,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 18,053 | $49,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,665 | $49,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 13,865 | $49,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640309 | COM | 23,301 | $48,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 17,498 | $47,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 19,100 | $47,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 15,600 | $46,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 13,003 | $46,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 42,265 | $46,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 25,200 | $45,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 35,000 | $45,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 37,129 | $45,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 22,200 | $43,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 42,820 | $42,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 81,500 | $42,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 11,900 | $39,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 11,500 | $39,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 22,000 | $39,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 10,409 | $36,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 70,204 | $36,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 24,150 | $36,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 16,500 | $35,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 115,001 | $33,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 10,103 | $32,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 20,900 | $32,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 12,100 | $30,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 11,100 | $30,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 14,600 | $30,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 11,500 | $29,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 13,295 | $29,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E409 | COM | 12,700 | $29,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 18,000 | $28,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 79,350 | $28,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 40,368 | $26,000 | thousands by filing date | |
| MIDATECH PHARMA PLC | 59564R302 | SPONSORED ADS | 14,039 | $25,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 14,375 | $23,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 11,500 | $22,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 20,000 | $21,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 14,200 | $20,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,200 | $18,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 15,000 | $18,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 24,898 | $16,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 10,000 | $12,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 11,861 | $12,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 21,000 | $11,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 15,125 | $8,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 140,600 | $4,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,089 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001142495-20-000014 | this filing | 2020-10-20 | acceptance time not in the bulk data set |