13F-HR/A filed by GEODE CAPITAL MANAGEMENT, LLC
GEODE CAPITAL MANAGEMENT, LLC filed this 13F-HR/A for the quarter ended 2019-12-31, filed 2020-02-20, with 4,207 holding rows worth $478,467,996,000.
- Accession
- 0001214717-20-000005
- Filer
- CIK 1214717
- Filed
- 2020-02-20
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, amendment of type new holdings, 5,225 entries on the cover page, a total value of $478,467,996,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $478,467,996,000 with VALUE read as thousands by filing date, 13F file number 028-10386. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGEODE CAPITAL MANAGEMENT LP028-10985
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 |
|---|---|---|---|---|---|---|
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 184,442 | $2,024,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 85,019 | $2,023,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 1,642,749 | $2,020,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 58,735 | $2,018,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 103,693 | $2,016,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 1,027,920 | $2,014,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 180,401 | $2,013,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 532,518 | $2,012,000 | thousands by filing date | |
| INTELSAT S A | 45790VAB6 | NOTE 4.500% 6/1 | 3,000,000 | $2,011,000 | thousands by filing date | principal |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 366,856 | $2,006,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 544,078 | $1,996,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 426,348 | $1,991,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 868,812 | $1,972,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 186,941 | $1,968,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 55,252 | $1,965,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 436,472 | $1,955,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 801,000 | $1,954,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 786,091 | $1,949,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 50,216 | $1,942,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,154,504 | $1,939,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 180,921 | $1,935,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 2,500,000 | $1,934,000 | thousands by filing date | principal |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 79,666 | $1,916,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 73,520 | $1,916,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 329,692 | $1,915,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 117,354 | $1,914,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 475,229 | $1,913,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 270,598 | $1,907,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 576,001 | $1,906,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 1,046,753 | $1,905,000 | thousands by filing date | |
| Verastem Inc 5.00 per cent 11-2048 | 92337CAA2 | NOTE 5.000%11/0 | 4,000,000 | $1,879,000 | thousands by filing date | principal |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 92,918 | $1,876,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 116,423 | $1,873,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 150,027 | $1,867,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 258,885 | $1,866,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 103,638 | $1,865,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 80,924 | $1,861,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 384,190 | $1,855,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 215,709 | $1,850,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 39,340 | $1,848,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 67,750 | $1,848,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 289,558 | $1,844,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 800,274 | $1,840,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 226,067 | $1,835,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 131,332 | $1,830,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 99,377 | $1,824,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 182,776 | $1,824,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 98,607 | $1,813,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 661,081 | $1,811,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 330,899 | $1,810,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 223,574 | $1,810,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 213,737 | $1,810,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 891,021 | $1,808,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 169,116 | $1,808,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 441,746 | $1,806,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 49,528 | $1,795,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 232,025 | $1,793,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 145,780 | $1,787,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 110,767 | $1,786,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 207,011 | $1,783,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 216,656 | $1,782,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 244,677 | $1,778,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 380,032 | $1,776,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 29,905 | $1,774,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 70,100 | $1,771,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 179,175 | $1,768,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 224,110 | $1,763,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 79,244 | $1,758,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 107,749 | $1,756,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 123,223 | $1,755,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 413,116 | $1,751,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 136,179 | $1,747,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 433,305 | $1,738,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 48,403 | $1,734,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 63,388 | $1,730,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 126,834 | $1,727,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 70,491 | $1,722,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 167,575 | $1,720,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 114,500 | $1,719,000 | thousands by filing date | principal |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 268,256 | $1,698,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 159,878 | $1,694,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 29,343 | $1,693,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 236,701 | $1,692,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 279,499 | $1,687,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 42,431 | $1,681,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 52,694 | $1,675,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 1,510,959 | $1,662,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 97,911 | $1,659,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 196,375 | $1,659,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 707,057 | $1,654,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 436,351 | $1,649,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 759,734 | $1,648,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 86,195 | $1,646,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 248,426 | $1,642,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 499,414 | $1,633,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 610,841 | $1,624,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 31,871 | $1,616,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 29,460 | $1,611,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 118,899 | $1,609,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 68,826 | $1,609,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 260,625 | $1,608,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 76,773 | $1,602,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 176,430 | $1,596,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 2,351,223 | $1,590,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 613,119 | $1,587,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 25,136 | $1,575,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 674,541 | $1,571,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 95,040 | $1,565,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 383,756 | $1,565,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 98,765 | $1,563,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 150,153 | $1,557,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 544,573 | $1,557,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 94,344 | $1,552,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 1,693,382 | $1,551,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 76,562 | $1,550,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 110,774 | $1,547,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 182,686 | $1,536,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 13,389 | $1,531,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 70,674 | $1,527,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 195,978 | $1,524,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 60,603 | $1,524,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 97,150 | $1,523,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 56,201 | $1,519,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C202 | UNIT 12/31/2026 | 150,000 | $1,519,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 394,784 | $1,512,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 38,551 | $1,511,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 353,803 | $1,510,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 698,860 | $1,509,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 192,791 | $1,507,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 86,093 | $1,503,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 1,678,728 | $1,492,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 373,068 | $1,484,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 1,894 | $1,479,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 56,033 | $1,473,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 56,720 | $1,462,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 152,840 | $1,461,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 578,891 | $1,447,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 235,430 | $1,445,000 | thousands by filing date | |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 82,383 | $1,442,000 | thousands by filing date | |
| DEACW US 30 Jun 26 C11.5 (Diamond Eagle Acquisitio | 25258L117 | W EXP 06/30/202 | 600,000 | $1,440,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 25,675 | $1,439,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 58,568 | $1,436,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 195,407 | $1,424,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 46,589 | $1,416,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 690,679 | $1,408,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 279,908 | $1,407,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 702,734 | $1,405,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 93,853 | $1,402,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 166,245 | $1,401,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 175,382 | $1,401,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 1,568,727 | $1,396,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 90,242 | $1,396,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 484,584 | $1,385,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 359,652 | $1,384,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 54,432 | $1,382,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 350,261 | $1,376,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 150,271 | $1,369,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 288,379 | $1,368,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 322,992 | $1,363,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 45,164 | $1,361,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 262,061 | $1,360,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 94,125 | $1,355,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 137,659 | $1,352,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 513,792 | $1,351,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 116,492 | $1,336,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 156,956 | $1,334,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 187,072 | $1,326,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 166,165 | $1,325,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 119,741 | $1,319,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 387,231 | $1,312,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 183,454 | $1,310,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 121,500 | $1,303,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 65,145 | $1,301,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 240,806 | $1,297,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 98,531 | $1,295,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 87,427 | $1,293,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 262,357 | $1,290,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 1,464,000 | $1,287,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 33,749 | $1,285,000 | thousands by filing date | |
| MOSAIC ACQUISITION CORP | 61946M100 | COM CL A | 125,000 | $1,285,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 74,829 | $1,284,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 82,333 | $1,276,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 98,681 | $1,273,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 418,476 | $1,272,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 820,231 | $1,271,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 64,503 | $1,269,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 26,348 | $1,266,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 62,021 | $1,266,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 87,833 | $1,266,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 56,303 | $1,266,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 54,892 | $1,262,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 57,117 | $1,262,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 68,284 | $1,259,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 1,007,203 | $1,259,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 102,581 | $1,254,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 67,299 | $1,253,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 116,878 | $1,249,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 71,233 | $1,248,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 433,375 | $1,248,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 56,963 | $1,247,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 337,412 | $1,245,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 125,590 | $1,243,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 62,974 | $1,242,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 105,972 | $1,236,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 79,656 | $1,235,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 149,385 | $1,232,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 365,979 | $1,225,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 275,214 | $1,224,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 8,054 | $1,218,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 260,723 | $1,212,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 272,475 | $1,211,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 93,793 | $1,209,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 323,089 | $1,205,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 87,407 | $1,199,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 1,050,001 | $1,197,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 109,737 | $1,196,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 287,929 | $1,194,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 201,847 | $1,194,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 178,767 | $1,179,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 14,297 | $1,172,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 34,205 | $1,170,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 7,015 | $1,169,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 59,596 | $1,166,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITIO-A | G0080J104 | CL A SHS | 115,000 | $1,163,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 149,414 | $1,159,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 189,717 | $1,159,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 454,335 | $1,158,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 79,204 | $1,157,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 44,171 | $1,152,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 291,140 | $1,150,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 119,452 | $1,148,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 300,457 | $1,138,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 130,314 | $1,135,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 147,180 | $1,133,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 29,933 | $1,131,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 27,343 | $1,131,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 37,000 | $1,129,000 | thousands by filing date | principal |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 688,297 | $1,128,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 186,079 | $1,125,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 68,032 | $1,122,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 57,373 | $1,118,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 211,184 | $1,117,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 265,823 | $1,116,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 99,150 | $1,115,000 | thousands by filing date | |
| BOXWOOD MERGER CORP; TNT ACQ DT: 11/16/2020; CASH | 10319t101 | COM | 110,000 | $1,112,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 136,419 | $1,111,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 136,736 | $1,110,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 42,938 | $1,100,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 581,183 | $1,098,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 218,036 | $1,094,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 110,000 | $1,094,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 288,634 | $1,093,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 105,071 | $1,086,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 72,495 | $1,080,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G117 | *W EXP 09/11/202 | 697,000 | $1,078,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 138,635 | $1,077,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 24,566 | $1,074,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 95,704 | $1,073,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 424,056 | $1,060,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 96,216 | $1,058,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 28,665 | $1,057,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 120,962 | $1,052,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 104,764 | $1,051,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 41,227 | $1,049,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 110,455 | $1,043,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 147,806 | $1,043,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 743,190 | $1,040,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 153,562 | $1,036,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 17,552 | $1,034,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 41,546 | $1,024,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 867,685 | $1,023,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 260,888 | $1,022,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 39,266 | $1,019,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 67,437 | $1,017,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 100,000 | $1,013,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 41,960 | $1,010,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 25,157 | $1,003,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 50,761 | $999,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 26,338 | $993,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 112,164 | $993,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 90,821 | $982,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 99,868 | $981,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 225,332 | $981,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 58,721 | $977,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 58,701 | $976,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 1,000 | $973,000 | thousands by filing date | principal |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 25,531 | $971,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 204,833 | $970,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 137,926 | $964,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 76,171 | $958,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 198,579 | $955,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 136,110 | $954,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 24,408 | $954,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 86,376 | $948,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 93,245 | $946,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 414,719 | $945,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 41,515 | $939,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 490,345 | $936,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 50,617 | $936,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 20,484 | $936,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 50,952 | $936,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 134,448 | $934,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 78,527 | $927,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 67,515 | $922,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 648,340 | $920,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 61,742 | $919,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 84,495 | $918,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 102,638 | $917,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 32,377 | $916,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 683,324 | $915,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 16,659 | $912,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 175,483 | $909,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 443,665 | $905,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 144,556 | $898,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 349,498 | $898,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 22,605 | $894,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 28,399 | $882,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 50,967 | $874,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 523,879 | $874,000 | thousands by filing date | |
| NOVAVAX INC | 670002AB0 | NOTE 3.750% 2/0 | 2,200,000 | $874,000 | thousands by filing date | principal |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 113,901 | $873,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 153,813 | $867,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 343,453 | $865,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 50,440 | $864,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 58,349 | $857,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 122,985 | $850,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 13,995 | $848,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 79,034 | $845,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 129,151 | $840,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 1,912,543 | $836,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 21,126 | $834,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 142,661 | $834,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 7,746 | $833,000 | thousands by filing date | principal |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 375,489 | $833,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 272,843 | $832,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 37,673 | $832,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 64,121 | $831,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 13,212 | $830,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 396,604 | $828,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 92,642 | $827,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 207,921 | $827,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 195,952 | $826,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 87,997 | $825,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 11,997 | $823,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 123,578 | $819,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 300,373 | $817,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 29,586 | $816,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 205,764 | $813,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 98,638 | $813,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 38,741 | $808,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 1,010,710 | $806,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 16,431 | $801,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 276,035 | $800,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 80,538 | $797,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 313,885 | $797,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 146,408 | $794,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 314,086 | $794,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 40,814 | $794,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 41,650 | $789,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754114 | *W EXP 12/06/202 | 994,047 | $786,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 104,476 | $772,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 9,196 | $767,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 35,165 | $765,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 4,076 | $762,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 18,292 | $760,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 209,520 | $760,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 32,921 | $753,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 86,805 | $753,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 723,126 | $752,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 144,251 | $750,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 187,569 | $750,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 20,289 | $748,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 137,555 | $748,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 24,145 | $747,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 44,105 | $747,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 1,591,450 | $747,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 76,025 | $743,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 67,364 | $743,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 24,753 | $738,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 112,921 | $737,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 115,474 | $737,000 | thousands by filing date | |
| ACCEL ENTERTAINMENT INC | 00436Q114 | *W EXP 11/20/202 | 250,000 | $737,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 2,098,007 | $736,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 199,310 | $735,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 32,118 | $733,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 89,178 | $729,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 25,144 | $726,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 33,975 | $725,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 106,592 | $725,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 198,097 | $721,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 402,493 | $708,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 223,529 | $706,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 21,712 | $703,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 312,765 | $703,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 236,043 | $701,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 117,534 | $699,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 204,805 | $698,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 36,549 | $697,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 84,559 | $696,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 162,578 | $695,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 93,059 | $694,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 118,725 | $689,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 49,254 | $684,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 94,969 | $683,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 365,232 | $682,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 92,023 | $681,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 101,089 | $681,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N111 | *W EXP 05/11/202 | 1,360,334 | $680,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 219,245 | $677,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 39,031 | $675,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 764,741 | $674,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 44,784 | $673,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 50,472 | $671,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 7,650 | $671,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 280,875 | $668,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 34,506 | $668,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 360,523 | $666,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 374,956 | $663,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 91,585 | $651,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 67,911 | $651,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 22,593 | $650,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 144,785 | $650,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 59,968 | $650,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 36,133 | $647,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 193,210 | $647,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 158,467 | $646,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 42,417 | $646,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 250,557 | $646,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 32,089 | $645,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 37,985 | $644,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 378,119 | $642,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 24,985 | $641,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 153,418 | $635,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 401,743 | $634,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 83,697 | $626,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 239,297 | $622,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 143,236 | $613,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 183,487 | $612,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 64,108 | $611,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 175,350 | $611,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 976,013 | $609,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 278,907 | $605,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T119 | W EXP 11/26/202 | 1,057,733 | $605,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 69,692 | $602,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 129,905 | $602,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 19,599 | $598,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 285,236 | $598,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 387,154 | $598,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 41,665 | $595,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 28,425 | $593,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 135,478 | $593,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 20,885 | $590,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 43,625 | $584,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 152,631 | $584,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 39,994 | $579,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 22,401 | $570,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 322,383 | $570,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 187,590 | $570,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884104 | COM CL A | 57,500 | $567,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 46,811 | $566,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 668,494 | $562,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 111,858 | $561,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 34,839 | $554,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 21,981 | $552,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745113 | *W EXP 02/12/202 | 1,099,000 | $549,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 66,149 | $548,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 22,702 | $546,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 361,888 | $546,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 166,588 | $544,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 75,846 | $543,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 537,591 | $542,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 27,616 | $538,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 178,654 | $537,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 416,449 | $537,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 22,544 | $536,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 4,486 | $531,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 205,503 | $530,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 263,619 | $529,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 37,135 | $527,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 53,071 | $525,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 47,040 | $525,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 525,684 | $524,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 206,929 | $523,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 169,203 | $522,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 50,000 | $521,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 54,719 | $520,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 66,953 | $520,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 129,448 | $519,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 93,252 | $518,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 145,817 | $517,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 126,718 | $514,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 740,046 | $514,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 54,054 | $514,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 88,068 | $512,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 23,060 | $512,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 72,842 | $505,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 18,673 | $502,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 55,262 | $502,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 42,486 | $500,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 291,201 | $500,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001214717-20-000003 | superseded | 2020-02-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001214717-20-000005 | this filing | 2020-02-20 | acceptance time not in the bulk data set |