13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-07, with 4,209 holding rows worth $364,459,420,000.
- Accession
- 0001390777-19-000105
- Filer
- CIK 1390777
- Filed
- 2019-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 19,652 entries on the cover page, a total value of $364,459,420,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $364,459,420,000 with VALUE read as thousands by filing date, 13F file number 028-12592. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerHardman Johnston Global Advisors LLC028-05210
- reports for this filerMANAGED ASSET PORTFOLIOS, LLC028-16090
- reports for this filerMawer Investment Management Ltd.028-14623
- reports for this filerUNITED SERVICES AUTOMOBILE ASSOCIATION028-05810
- included managerBNY Mellon Trust of Delaware 028-17542
- included managerMellon Investments Corporation 028-02900
- included managerBNY Mellon Investment Adviser, Inc. 028-00127
- included managerNewton Investment Management (North America) Limited 028-17543
- included managerNewton Investment Management Limited 028-04797
- included managerBNY Mellon Securities Corporation 028-18785
- included managerThe Bank of New York Mellon 028-02009
- included managerBNY Mellon, NA 028-00620
- included managerWalter Scott & Partners Limited 028-17544
- included managerCenterSquare Investment Management, LLC 028-18741
- included managerLockwood Advisors, Inc. 028-11769
- included managerBNY Mellon Service Kapitalanlage-Gesellschaft mbH 028-17545
- included managerAmerican Beacon Advisors, Inc. 028-14511
- included managerEAM Investors, LLC 028-14070
- included managerFayez Sarofim & Co. 028-10991
- included managerGeneva Capital Management, LTD 028-03935
- included managerKayne Anderson Rudnick Investment Management, LLC 028-05792
- included managerNeuberger Berman Management, LLC 028-13574
- included managerNicholas Investment Partners, L.P. 028-12426
- included managerBoston Partners Global Investors, Inc. 028-12484
- included managerWalthausen & Co., LLC 028-13672
- included managerGranite Investment Partners, LLC 028-14862
- included managerRice Hall James & Associates, LLC 028-10467
- included managerBNY Mellon Investment Management Cayman Ltd. 028-17546
- included managerChanning Capital Management 028-11090
- included managerMoody Aldrich Partners LLC 028-04634
- included managerRedwood Investments, LLC 028-12234
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 |
|---|---|---|---|---|---|---|
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 52,594 | $1,322,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 29,623 | $1,315,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 28,275 | $1,314,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 59,208 | $1,313,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 47,515 | $1,307,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 78,478 | $1,305,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 32,743 | $1,305,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 1,316,000 | $1,303,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 1,011,000 | $1,301,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 60,373 | $1,297,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 98,694 | $1,294,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 51,264 | $1,293,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 85,596 | $1,292,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 33,464 | $1,291,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 1,000,000 | $1,290,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 98,431 | $1,289,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 92,033 | $1,288,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 223,922 | $1,288,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 136,645 | $1,287,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 127,875 | $1,287,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 53,715 | $1,286,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 43,730 | $1,284,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 83,432 | $1,283,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J304 | BULSHS 2019 CB | 60,881 | $1,283,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 1,366,000 | $1,282,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 20,576 | $1,281,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 591,741 | $1,278,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 48,852 | $1,271,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 158,693 | $1,270,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 52,045 | $1,268,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 677,012 | $1,266,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 44,661 | $1,261,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 79,054 | $1,258,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 86,931 | $1,253,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 401,844 | $1,253,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 1,000,000 | $1,252,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 191,271 | $1,247,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 434,680 | $1,246,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 57,851 | $1,246,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 59,620 | $1,242,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 118,116 | $1,241,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 87,852 | $1,241,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 155,630 | $1,239,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 238,318 | $1,235,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 478,022 | $1,233,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 74,143 | $1,231,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 1,300,000 | $1,231,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 44,609 | $1,230,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 1,305,000 | $1,225,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 1,054,561 | $1,223,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 47,689 | $1,221,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 21,363 | $1,219,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806AP4 | NOTE 2.000% 2/0 | 1,005,000 | $1,219,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 10,004 | $1,217,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 179,136 | $1,215,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 739,941 | $1,214,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 48,550 | $1,210,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 22,051 | $1,208,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 41,267 | $1,207,000 | thousands by filing date | |
| SEA LTD | 81141RAB6 | CONV BD US | 700,000 | $1,206,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 1,200,000 | $1,205,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 1,059,000 | $1,205,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 1,200,000 | $1,204,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 15,780 | $1,203,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 1,300,000 | $1,203,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 16,103 | $1,199,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 62,861 | $1,196,000 | thousands by filing date | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 1,200,000 | $1,196,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 1,011,000 | $1,190,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 1,250,000 | $1,185,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 113,885 | $1,181,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 180,594 | $1,181,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 53,076 | $1,180,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 1,000,000 | $1,173,000 | thousands by filing date | |
| TWILIO INC | 90138FAB8 | NOTE 0.250% 6/0 | 700,000 | $1,171,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 900,000 | $1,171,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 52,300 | $1,170,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 343,548 | $1,168,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 30,116 | $1,166,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 39,829 | $1,163,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 111,465 | $1,157,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 47,704 | $1,155,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 66,400 | $1,153,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 47,909 | $1,153,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 28,827 | $1,151,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 1,250,000 | $1,150,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 1,305,000 | $1,150,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 78,379 | $1,149,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 77,047 | $1,149,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 51,697 | $1,148,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 43,705 | $1,148,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 46,998 | $1,146,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 113,764 | $1,145,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 70,742 | $1,144,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 1,300,000 | $1,144,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 35,148 | $1,143,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 100,720 | $1,142,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 216,223 | $1,141,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 219,748 | $1,139,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 210,837 | $1,139,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 41,363 | $1,137,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 124,924 | $1,136,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 153,705 | $1,135,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 19,484 | $1,134,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 165,565 | $1,134,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 52,083 | $1,129,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 43,312 | $1,128,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 40,383 | $1,124,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 48,292 | $1,124,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 78,220 | $1,122,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 52,641 | $1,122,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 216,331 | $1,119,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 49,242 | $1,118,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 31,694 | $1,118,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 32,990 | $1,118,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 1,000,000 | $1,118,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 265,646 | $1,116,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 57,208 | $1,115,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 23,542 | $1,110,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 306,724 | $1,110,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 85,646 | $1,109,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 178,651 | $1,103,000 | thousands by filing date | |
| UROGEN PHARMA LTD | M96088105 | COMMON STOCK | 46,243 | $1,102,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 1,272,069 | $1,102,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 36,931 | $1,099,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 1,100,000 | $1,098,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 707,790 | $1,097,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 1,000,000 | $1,097,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 52,023 | $1,094,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 54,902 | $1,093,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 130,253 | $1,092,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 433,484 | $1,092,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 54,528 | $1,090,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 50,433 | $1,086,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 694,923 | $1,085,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 65,919 | $1,082,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 31,474 | $1,079,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 8,700 | $1,075,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 1,000,000 | $1,075,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 950,000 | $1,074,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 5,602 | $1,073,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 97,989 | $1,067,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 152,234 | $1,065,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 38,065 | $1,063,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 165,865 | $1,060,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 67,878 | $1,058,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 5,579 | $1,055,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 40,664 | $1,055,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 1,006,000 | $1,055,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 43,957 | $1,054,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 85,814 | $1,053,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 49,752 | $1,052,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 7,435 | $1,051,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 1,000,000 | $1,050,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 192,403 | $1,049,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 236,559 | $1,048,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 292,713 | $1,047,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 60,901 | $1,046,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 96,033 | $1,045,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 511,136 | $1,043,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 782,549 | $1,041,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 67,139 | $1,040,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 85,605 | $1,038,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 27,889 | $1,031,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 49,645 | $1,031,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 87,990 | $1,028,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 900,000 | $1,026,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 99,318 | $1,021,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 200,394 | $1,019,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 1,004,000 | $1,017,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 58,321 | $1,017,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 102,564 | $1,016,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 156,363 | $1,013,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 63,029 | $1,010,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 400,287 | $1,009,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 75,667 | $1,005,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 40,000 | $1,002,000 | thousands by filing date | |
| INVESCO | 46138J536 | EXCHANGE TRADED | 40,000 | $1,001,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J569 | BULSHS 2021 MUNI | 40,000 | $1,001,000 | thousands by filing date | |
| INVESCO | 46138J528 | EXCHANGE TRADED | 40,000 | $1,000,000 | thousands by filing date | |
| INVESCO | 46138J544 | EXCHANGE TRADED | 40,000 | $1,000,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 1,000,000 | $1,000,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 1,000,000 | $999,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 85,044 | $996,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 74,463 | $995,000 | thousands by filing date | |
| Invesco Bulletshares 2022 Munic | 46138J551 | Equities | 39,800 | $995,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 97,930 | $988,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 100,421 | $987,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 125,255 | $984,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 1,000,000 | $983,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 18,637 | $982,000 | thousands by filing date | |
| DOMO INC | 257554105 | COM CL B | 61,158 | $978,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 109,404 | $976,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 259,999 | $975,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 23,059 | $968,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 97,556 | $966,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 754,729 | $966,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 76,535 | $961,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 123,533 | $957,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 37,995 | $956,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 3,861 | $956,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 143,091 | $956,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 28,037 | $953,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 925,000 | $953,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 195,168 | $951,000 | thousands by filing date | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 30,710 | $949,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 80,046 | $946,000 | thousands by filing date | |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 800,000 | $946,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 900,000 | $946,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 67,697 | $944,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 8,501 | $941,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 60,436 | $936,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 29,677 | $935,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 700,000 | $933,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 77,402 | $930,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 175,289 | $929,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 304,412 | $928,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 37,356 | $928,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 432,528 | $926,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA | 88339KAA0 | NOTE 3.250%11/0 | 1,000,000 | $924,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 91,500 | $915,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 57,368 | $915,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 215,978 | $909,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 1,004,000 | $906,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 49,395 | $903,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 225,949 | $903,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 75,108 | $898,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 75,512 | $897,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 414,421 | $896,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 84,559 | $896,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 36,102 | $896,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 37,686 | $896,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 18,711 | $890,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 85,240 | $887,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 81,339 | $886,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 70,576 | $881,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 17,638 | $881,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 30,324 | $881,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 55,139 | $879,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 143,907 | $876,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 80,790 | $875,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 550,000 | $874,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 38,686 | $873,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 28,536 | $870,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 42,087 | $870,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 60,348 | $867,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 241,091 | $867,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 168,993 | $866,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 27,373 | $866,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 257,100 | $864,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 84,594 | $862,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 33,531 | $860,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 92,050 | $859,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 71,862 | $858,000 | thousands by filing date | |
| AKCEA THERAPEUTICS INC | 00972L107 | COM | 55,747 | $858,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 43,404 | $855,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 36,391 | $855,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 197,566 | $851,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 35,694 | $850,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 5,344 | $849,000 | thousands by filing date | |
| ARBOR RLTY TR INC | 038923AF5 | NOTE 5.250% 7/0 | 750,000 | $849,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 700,000 | $849,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 132,450 | $848,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 10,308 | $846,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 116,242 | $846,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 858,000 | $846,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 850,000 | $846,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 94,144 | $842,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 65,564 | $842,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 99,439 | $839,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 39,888 | $837,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 750,000 | $834,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 1,000,000 | $833,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 72,438 | $831,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 176,617 | $830,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 47,572 | $830,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 189,017 | $827,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 175,736 | $826,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 365,241 | $825,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 135,163 | $821,000 | thousands by filing date | |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 750,000 | $821,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 56,696 | $820,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 91,645 | $811,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 907,000 | $811,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 89,760 | $810,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 94,021 | $804,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 725,000 | $802,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 807,000 | $802,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 153,908 | $801,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 809,000 | $801,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 31,161 | $800,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 61,651 | $800,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 76,421 | $799,000 | thousands by filing date | |
| PAGERDUTY INC COM | 69553P100 | Stock | 28,214 | $797,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 52,577 | $797,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 850,000 | $796,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 44,945 | $795,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 242,477 | $794,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 106,426 | $791,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 261,825 | $791,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 199,132 | $783,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 39,254 | $782,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 49,771 | $778,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 154,914 | $778,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 66,938 | $778,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 22,305 | $777,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 904,000 | $777,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 58,297 | $775,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 15,000 | $774,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 160,546 | $771,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 374,586 | $767,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 106,101 | $767,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 8,341 | $764,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 31,278 | $764,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 141,551 | $764,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 74,159 | $761,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 108,664 | $760,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 30,409 | $760,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 158,722 | $759,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 45,501 | $759,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 375,728 | $759,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 4,636 | $754,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 76,704 | $754,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 110,063 | $754,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 111,092 | $753,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 800,000 | $753,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 20,141 | $753,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 15,450 | $751,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 19,009 | $747,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 11,968 | $745,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 9,912 | $745,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 3,940 | $745,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 5,450 | $741,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AC4 | BOND | 700,000 | $740,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 29,138 | $738,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 33,229 | $736,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367PAB6 | NOTE 2.000% 6/1 | 750,000 | $735,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 66,629 | $734,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 6,216 | $733,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 56,954 | $730,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 16,497 | $729,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 19,250 | $729,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 15,841 | $728,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 17,295 | $728,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 59,432 | $726,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 30,430 | $723,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 28,404 | $721,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 49,046 | $720,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 28,057 | $718,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 28,000 | $716,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 69,284 | $716,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 81,161 | $715,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 30,996 | $714,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 700,000 | $712,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 95,934 | $709,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 199,104 | $709,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 136,625 | $708,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 147,529 | $707,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 222,558 | $707,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 758,000 | $707,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 540,500 | $703,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 12,034 | $702,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 750,000 | $702,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 122,019 | $702,000 | thousands by filing date | |
| INSULET CORP | 45784PAF8 | NOTE 1.250% 9/1 | 250,000 | $700,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 90,029 | $698,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 35,541 | $695,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 78,209 | $692,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 322,286 | $690,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 89,611 | $690,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 47,455 | $689,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 600,000 | $688,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 14,230 | $687,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 178,086 | $686,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 49,462 | $685,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 108,882 | $683,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 96,283 | $682,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 36,472 | $681,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 45,265 | $680,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 78,791 | $680,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 692,000 | $679,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 89,637 | $673,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 237,762 | $672,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 33,565 | $671,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 133,080 | $668,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 22,105 | $664,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 550,000 | $663,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 59,753 | $662,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 37,611 | $660,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 5,772 | $658,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 67,170 | $656,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 655,000 | $656,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 17,706 | $648,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 400,000 | $648,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 711,507 | $646,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 26,178 | $643,000 | thousands by filing date | |
| SHOCKWAVE MED INC | 82489T104 | COM | 21,448 | $642,000 | thousands by filing date | |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 800,000 | $642,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 707,000 | $641,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 224,562 | $640,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 509,951 | $638,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 9,695 | $638,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 38,046 | $637,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 31,298 | $635,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 43,708 | $635,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 31,428 | $635,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 10,941 | $633,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 229,116 | $633,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 55,681 | $631,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 6,147 | $630,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 38,044 | $627,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 131,627 | $626,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 40,266 | $625,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 101,389 | $625,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 750,000 | $625,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 31,485 | $624,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 26,826 | $624,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 50,965 | $622,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 73,000 | $620,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 95,518 | $619,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 19,901 | $617,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 6,825 | $616,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 59,883 | $614,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 22,000 | $613,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 157,945 | $612,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 69,731 | $610,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 58,099 | $607,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 500,000 | $607,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 17,141 | $606,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 13,612 | $606,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 19,134 | $604,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 31,091 | $602,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 88,248 | $601,000 | thousands by filing date | |
| HEALTH CATALYST INC | 42225T107 | COM | 18,987 | $601,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 25,072 | $598,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 70,579 | $596,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 17,797 | $596,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 133,752 | $595,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 270,477 | $595,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 22,104 | $594,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 137,280 | $592,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 68,513 | $589,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 11,865 | $588,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 20,785 | $588,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 29,658 | $588,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 350,000 | $587,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 19,818 | $586,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 179,534 | $583,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 67,943 | $583,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 500,000 | $583,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 30,543 | $581,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 54,558 | $581,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 650,000 | $581,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 58,603 | $577,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 42,437 | $576,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 114,141 | $574,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAB2 | NOTE 0.375% 1/1 | 200,000 | $574,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 25,150 | $571,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 80,498 | $570,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 92,016 | $570,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 23,882 | $569,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 48,021 | $569,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 30,933 | $568,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 500,000 | $568,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 51,394 | $568,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 36,104 | $565,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 504,000 | $564,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 7,750 | $563,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 226,568 | $562,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 2,700 | $560,000 | thousands by filing date | call |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 73,424 | $559,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 32,460 | $557,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 185,265 | $557,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 18,717 | $556,000 | thousands by filing date | |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 500,000 | $555,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 25,041 | $554,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 23,259 | $552,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 102,996 | $552,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 22,906 | $552,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 300,000 | $552,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 33,461 | $550,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 14,315 | $549,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 26,609 | $548,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 37,723 | $547,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 56,389 | $547,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 32,171 | $547,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 85,479 | $546,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 163,459 | $545,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 27,868 | $542,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAC7 | BOND | 350,000 | $541,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 18,426 | $540,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 72,345 | $540,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 84,097 | $540,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 244,346 | $538,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 16,791 | $537,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 174,654 | $536,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 110,450 | $536,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 30,649 | $535,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 22,485 | $534,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 500,000 | $532,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-19-000105 | this filing | 2019-11-07 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-21-000086 | added | 2021-10-08 | acceptance time not in the bulk data set |