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 |
|---|---|---|---|---|---|---|
| ARBOR REALTY TRUST INC | 038923AH1 | NOTE 5.250% 7/0 | 500,000 | $532,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 24,595 | $529,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 51,463 | $529,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 500,000 | $529,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 4,175 | $528,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 191,002 | $528,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 19,747 | $527,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 40,604 | $526,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 35,656 | $526,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 4,433 | $522,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 34,801 | $522,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 34,664 | $521,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 9,238 | $521,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 194,212 | $521,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 92,144 | $521,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 27,768 | $521,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 13,581 | $520,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 64,641 | $519,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 7,997 | $516,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 17,547 | $516,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 182,852 | $516,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 166,835 | $516,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 35,849 | $512,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 8,375 | $510,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 123,119 | $510,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 6,944 | $509,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 23,800 | $509,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 21,209 | $509,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 18,676 | $508,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 500,000 | $507,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 300,000 | $505,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 155,848 | $504,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 7,907 | $504,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 36,608 | $503,000 | thousands by filing date | |
| AVEDRO INC | 05355N109 | COM | 22,156 | $503,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 59,715 | $500,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 78,089 | $498,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 30,768 | $497,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 55,504 | $496,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 125,586 | $494,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 40,155 | $494,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 371,509 | $494,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 35,241 | $493,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 99,798 | $493,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 83,495 | $491,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 22,394 | $489,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 346,253 | $489,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 52,920 | $486,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 112,525 | $486,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 32,724 | $486,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 249,058 | $481,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 15,065 | $481,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 350,000 | $479,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 25,257 | $478,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 489,513 | $477,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 6,443 | $477,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 107,996 | $477,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 769,315 | $477,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 13,059 | $476,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 61,175 | $475,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 14,970 | $475,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 51,013 | $474,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 24,465 | $474,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 11,880 | $473,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 56,099 | $473,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 53,378 | $472,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 43,919 | $470,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 250,000 | $470,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 7,043 | $469,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 20,341 | $469,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 30,316 | $468,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 59,780 | $467,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 18,840 | $466,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 98,812 | $466,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 13,066 | $465,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 61,457 | $464,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 14,323 | $463,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 43,955 | $463,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 4,205 | $458,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 14,824 | $457,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 11,000 | $455,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 115,740 | $454,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 27,872 | $454,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 107,607 | $453,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 34,949 | $452,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 71,500 | $452,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 51,161 | $452,000 | thousands by filing date | |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 500,000 | $451,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 57,497 | $450,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 505,000 | $450,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 15,000 | $449,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 455,723 | $447,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 15,043 | $446,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 52,213 | $445,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 6,679 | $443,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 52,221 | $442,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 8,360 | $442,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 15,930 | $441,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 24,281 | $440,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 22,368 | $439,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 28,025 | $437,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 29,063 | $437,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 45,835 | $435,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 25,800 | $435,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 47,666 | $435,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 11,157 | $434,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 8,559 | $434,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 184,682 | $434,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 336,494 | $434,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 400,000 | $433,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 6,912 | $432,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 9,750 | $432,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 152,788 | $432,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 49,687 | $431,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 4,100 | $431,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 39,155 | $430,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 24,092 | $430,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 7,562 | $428,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 10,188 | $428,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 36,899 | $428,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 203,559 | $428,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 9,869 | $426,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 170,332 | $426,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $426,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 52,031 | $426,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 12,388 | $425,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 500,000 | $425,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 26,770 | $424,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 83,180 | $424,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 32,426 | $424,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 133,782 | $423,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 87,788 | $423,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V258 | S&P500 PUR VAL | 6,514 | $422,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 72,476 | $422,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 82,542 | $422,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 96,440 | $421,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 3,585 | $419,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 19,850 | $418,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 122,452 | $418,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 135,740 | $417,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 49,497 | $416,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 11,688 | $415,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 112,741 | $414,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 400,000 | $414,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 450,000 | $414,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 14,746 | $413,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 9,308 | $411,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 10,526 | $411,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 52,664 | $410,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 77,547 | $409,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 13,632 | $409,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 60,861 | $407,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 26,447 | $406,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 324,598 | $406,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 137,888 | $405,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 124,230 | $405,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 16,308 | $404,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 12,060 | $404,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 37,541 | $404,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 128,005 | $402,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 3,276 | $402,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 93,000 | $402,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 65,753 | $402,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 14,514 | $401,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 25,953 | $401,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 250,000 | $401,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 300,000 | $400,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 13,328 | $400,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 20,329 | $399,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 49,743 | $398,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 2,013 | $398,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 28,687 | $398,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 5,548 | $397,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 64,353 | $397,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 37,223 | $395,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 17,200 | $394,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 6,246 | $393,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 14,691 | $393,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 20,000 | $392,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 256,327 | $391,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 39,172 | $391,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 6,886 | $390,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 75,735 | $390,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 216,897 | $388,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827110 | *W EXP 06/27/202 | 245,420 | $388,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 68,772 | $387,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 390,124 | $386,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 8,339 | $384,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 3,725 | $379,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 400,000 | $379,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 115,028 | $374,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 55,992 | $372,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAC9 | NOTE 1.375% 5/1 | 250,000 | $372,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 97,541 | $371,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 300,000 | $371,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 6,600 | $368,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 11,165 | $368,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 21,962 | $368,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 6,999 | $367,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 38,752 | $367,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 15,515 | $366,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 146,862 | $365,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 91,081 | $365,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 3,169 | $364,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 55,171 | $363,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 82,918 | $361,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 7,382 | $360,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 235 | $358,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 95,482 | $357,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 186,832 | $357,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 250,000 | $355,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 304,000 | $354,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 8,225 | $353,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 38,854 | $353,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 45,482 | $353,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 359,000 | $352,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 285,485 | $351,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 6,987 | $350,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 26,549 | $350,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | 98236JAB4 | NOTE 2.250%11/1 | 300,000 | $350,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 53,912 | $348,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 24,547 | $346,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 24,937 | $345,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 13,853 | $345,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 27,065 | $344,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 21,808 | $344,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 41,393 | $342,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 112,272 | $341,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 12,447 | $341,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 8,303 | $341,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 182,883 | $340,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 16,195 | $340,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 5,277 | $337,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 6,000 | $337,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 69,054 | $337,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 352,000 | $336,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 80,176 | $336,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 11,619 | $335,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 11,345 | $335,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 122,079 | $334,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 146,937 | $333,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 174,045 | $332,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 70,372 | $331,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 250,000 | $331,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 26,597 | $331,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 250,000 | $330,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 276,742 | $329,000 | thousands by filing date | |
| RAPID7 INC | 753422AB0 | NOTE | 250,000 | $329,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 400,000 | $329,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 26,293 | $328,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 86,577 | $327,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 350,000 | $326,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 51,199 | $325,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,124 | $324,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 5,424 | $323,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 75,387 | $320,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,472 | $318,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 27,105 | $318,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 40,816 | $317,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 12,680 | $316,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 400,000 | $316,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 13,159 | $315,000 | thousands by filing date | |
| STONECO LTD | G85158106 | COM CL A | 9,029 | $314,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 200,000 | $314,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 150,000 | $313,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 309,000 | $312,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,921 | $311,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 10,001 | $311,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 8,194 | $311,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 609,416 | $309,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 69,169 | $309,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 162,314 | $309,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,371 | $308,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 28,211 | $307,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 22,272 | $305,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E446 | PURBETA US AGG | 11,796 | $304,000 | thousands by filing date | |
| 10X GENOMICS INC CL A COM | 88025U109 | Stock | 5,989 | $302,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 7,648 | $299,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 164,378 | $297,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 26,820 | $295,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 52,315 | $295,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 10,000 | $295,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 200,000 | $295,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 35,381 | $294,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 8,000 | $294,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 29,166 | $294,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 23,575 | $294,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 4,194 | $291,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 64,185 | $290,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 14,795 | $289,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 335,760 | $289,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 9,828 | $288,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 31,147 | $288,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 5,794 | $287,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 78,208 | $285,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 3,000 | $284,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 85,166 | $284,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 4,600 | $282,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 19,659 | $282,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 17,472 | $281,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 33,479 | $281,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 70,171 | $279,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 25,847 | $275,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 164,148 | $275,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 19,054 | $274,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,467 | $273,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 11,000 | $272,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 16,148 | $271,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 5,763 | $269,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 35,844 | $268,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 19,533 | $266,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 21,935 | $266,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 37,743 | $266,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,614 | $265,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,090 | $265,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 17,544 | $265,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 37,172 | $265,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 250,000 | $265,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 40,398 | $264,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 15,468 | $262,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 28,838 | $262,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 168,088 | $262,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 12,743 | $261,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 7,702 | $259,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 15,151 | $259,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 26,555 | $258,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,404 | $257,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 6,325 | $257,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 18,760 | $257,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 300,000 | $257,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 250,000 | $257,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 7,560 | $256,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 39,259 | $255,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 155,347 | $255,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 89,342 | $255,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 145,319 | $254,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 12,735 | $253,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 41,343 | $252,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,500 | $251,000 | thousands by filing date | call |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 12,317 | $251,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 30,169 | $250,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 10,967 | $250,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 74,602 | $247,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 15,000 | $247,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 52,816 | $247,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 7,895 | $246,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 11,577 | $246,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 200 | $244,000 | thousands by filing date | call |
| NVIDIA Corp | 67066G104 | COM | 1,400 | $244,000 | thousands by filing date | call |
| DURECT CORP | 266605104 | COM | 132,608 | $244,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 23,521 | $244,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 8,944 | $243,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 193 | $243,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 3,447 | $241,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 258,000 | $241,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 225,368 | $239,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 4,264 | $238,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 89,748 | $238,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 184,892 | $238,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 1,842 | $237,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 4,335 | $237,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 20,574 | $237,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 7,881 | $236,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 75,829 | $235,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,375 | $233,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 97,404 | $233,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 27,600 | $232,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 19,574 | $231,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 61,790 | $229,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 867,035 | $229,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 65,277 | $228,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 14,123 | $228,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 10,330 | $228,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 20,622 | $227,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 56,981 | $227,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 203,287 | $225,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 20,852 | $225,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,211 | $224,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 116,289 | $224,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 16,554 | $223,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 17,500 | $221,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 159,281 | $218,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 14,533 | $216,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 10,002 | $215,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 4,102 | $214,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 33,131 | $214,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 24,985 | $213,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,200 | $212,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 23,058 | $212,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 7,791 | $210,000 | thousands by filing date | |
| ISHARES TR | 46434V266 | INTERNATIONAL SL | 7,321 | $209,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 250,000 | $209,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 14,443 | $208,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 10,843 | $208,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 101,764 | $207,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 22,389 | $206,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 10,100 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 1,170 | $205,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 250,000 | $204,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 2,708 | $203,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 42,393 | $203,000 | thousands by filing date | |
| IVC 4 1/2 6/1/22 | 461203AH4 | CONVERTIBLE BOND | 250,000 | $203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 8,816 | $202,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 4,007 | $201,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 130,390 | $201,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 170,247 | $201,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 3,819 | $200,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 12,928 | $200,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 15,543 | $197,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 163,481 | $196,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 145,399 | $194,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 17,104 | $193,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 50,748 | $191,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 11,651 | $190,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 30,000 | $190,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 49,377 | $188,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 42,740 | $187,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 16,493 | $187,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 135,154 | $186,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 20,479 | $185,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 55,850 | $184,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 1,500 | $177,000 | thousands by filing date | call |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 12,474 | $176,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 27,368 | $175,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 12,196 | $174,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,400 | $173,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 26,240 | $173,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 60,010 | $173,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,410 | $170,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 25,344 | $170,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 140,277 | $170,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 30,218 | $170,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,486 | $169,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 32,347 | $168,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 19,971 | $168,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 13,002 | $167,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 36,990 | $167,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 17,189 | $165,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 24,438 | $163,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 28,173 | $162,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 34,353 | $162,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 49,593 | $162,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 12,095 | $161,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 101,100 | $160,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 49,657 | $160,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,753 | $159,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 39,758 | $159,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 64,094 | $159,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 11,600 | $158,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 14,846 | $158,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 67,067 | $158,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 27,975 | $157,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 72,362 | $156,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 30,990 | $156,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 77,616 | $156,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 28,322 | $154,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 14,363 | $154,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 32,461 | $153,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 26,194 | $152,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 15,996 | $152,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 107,742 | $152,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 43,223 | $151,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17326E159 | VELCTYSHS USDGBP | 10,000 | $151,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 10,552 | $150,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 20,812 | $150,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 76,252 | $149,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 35,519 | $148,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 64,304 | $144,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 11,722 | $143,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 26,328 | $140,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 51,330 | $140,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 92,147 | $139,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,072 | $138,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 36,237 | $138,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 19,423 | $137,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 19,328 | $137,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 110,626 | $135,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 124,252 | $134,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 67,094 | $132,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 15,469 | $131,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 30,500 | $130,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 17,246 | $130,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 25,024 | $130,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 38,502 | $129,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 39,609 | $129,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 64,107 | $129,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 22,656 | $128,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 26,139 | $128,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 109,349 | $128,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 20,513 | $126,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 57,351 | $126,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 33,091 | $124,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 33,881 | $124,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 34,087 | $123,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 47,405 | $122,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 30,507 | $121,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 20,214 | $120,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 17,000 | $120,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 16,548 | $119,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 29,538 | $117,000 | 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 |