13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 4,175 holding rows worth $387,815,020,000.
- Accession
- 0001390777-20-000030
- Filer
- CIK 1390777
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 20,399 entries on the cover page, a total value of $387,815,020,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $387,815,020,000 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 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
- included managerNationwide Fund Advisors 028-05161
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 |
|---|---|---|---|---|---|---|
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 65,167 | $595,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 15,611 | $595,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 23,638 | $595,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 129,354 | $594,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 118,282 | $592,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 41,475 | $592,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 31,950 | $592,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 83,582 | $589,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 58,603 | $588,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 83,352 | $588,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 30,269 | $585,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 40,017 | $583,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 54,920 | $583,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 23,313 | $583,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 229,662 | $583,000 | thousands by filing date | |
| INVESCO | 46138J544 | EXCHANGE TRADED | 23,174 | $582,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW COM | 33767E202 | Stock | 6,247 | $581,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 64,563 | $581,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 261,550 | $580,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 77,630 | $579,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 35,806 | $578,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 25,632 | $576,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 15,157 | $573,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 42,437 | $573,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 18,490 | $573,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 34,958 | $572,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 300,000 | $571,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AH1 | NOTE 5.250% 7/0 | 500,000 | $571,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 132,391 | $570,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 35,743 | $568,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 747,099 | $568,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 34,920 | $567,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 2,732 | $566,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 282,939 | $566,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 13,581 | $559,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 37,137 | $557,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 14,970 | $556,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 36,436 | $556,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 76,762 | $554,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 32,141 | $553,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 504,000 | $552,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 280,984 | $551,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 52,115 | $549,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 20,057 | $547,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 59,548 | $544,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 52,337 | $543,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 7,638 | $541,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 48,507 | $541,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 97,683 | $541,000 | thousands by filing date | |
| ENCORE CAP EUROPE FIN LTD | 29260UAA5 | BOND | 500,000 | $540,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 41,551 | $539,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 170,183 | $538,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 350,000 | $537,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 28,789 | $536,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 42,858 | $534,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 500,000 | $534,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 66,097 | $531,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 199,343 | $530,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 507,076 | $528,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 144,729 | $527,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 229,323 | $527,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 51,842 | $526,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 189,548 | $526,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 128,755 | $526,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 10,911 | $525,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 34,294 | $525,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 169,593 | $524,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 214,669 | $524,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 475,150 | $523,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 18,666 | $523,000 | thousands by filing date | |
| Invesco Bulletshares 2022 Munic | 46138J551 | Equities | 20,763 | $521,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 16,200 | $520,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 24,483 | $520,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 22,525 | $520,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 42,796 | $520,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 244,346 | $516,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 5,950 | $515,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 19,130 | $515,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 103,686 | $515,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 106,416 | $514,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 21,327 | $514,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 128,851 | $513,000 | thousands by filing date | |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 2,700 | $512,000 | thousands by filing date | call |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 54,535 | $512,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 46,224 | $512,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 6,957 | $511,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 21,215 | $510,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 120,362 | $510,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 8,428 | $509,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 400,000 | $509,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 265,404 | $507,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 250,000 | $506,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 12,899 | $505,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 68,651 | $505,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 132,608 | $504,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 63,778 | $502,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 52,562 | $499,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 30,136 | $496,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P309 | ST STR MARKE ETF | 9,659 | $494,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 7,030 | $493,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 159,694 | $493,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 69,365 | $492,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 10,141 | $491,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367PAB6 | NOTE 2.000% 6/1 | 500,000 | $488,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 250,000 | $486,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 120,605 | $486,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 29,337 | $484,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 341,248 | $484,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 133,862 | $484,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 57,497 | $483,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 10,622 | $481,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 450,000 | $480,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 126,250 | $478,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 9,950 | $476,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 3,757 | $476,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 119,669 | $473,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 383,855 | $473,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N766 | CMN | 8,360 | $472,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 14,812 | $471,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 300,000 | $470,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 509,905 | $469,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 12,786 | $468,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 43,714 | $467,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 21,222 | $466,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 30,040 | $466,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 25,866 | $466,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 120,681 | $465,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 12,213 | $465,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E302 | DJ INTERNT IDX | 3,297 | $459,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 31,803 | $457,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 19,850 | $457,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 51,809 | $456,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 12,097 | $455,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 3,580 | $455,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 509,920 | $453,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 14,253 | $450,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 151,335 | $450,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 10,693 | $450,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 457,000 | $449,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 219,449 | $448,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 31,371 | $447,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 180,230 | $447,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 500,000 | $446,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 10,610 | $445,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 304,000 | $444,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 4,419 | $443,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 43,196 | $443,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 495,777 | $441,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 62,865 | $437,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 6,598 | $436,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 52,315 | $436,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 98,812 | $436,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | 98236JAB4 | NOTE 2.250%11/1 | 300,000 | $436,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 25,800 | $435,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 300,000 | $435,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAC9 | NOTE 1.375% 5/1 | 250,000 | $435,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 8,529 | $434,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 14,489 | $434,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 29,589 | $433,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 22,754 | $432,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 74,257 | $431,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V258 | S&P500 PUR VAL | 6,207 | $430,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 548,608 | $430,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 27,664 | $429,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 156,143 | $428,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 104,548 | $428,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 31,705 | $426,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 6,728 | $424,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 300,000 | $424,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 53,024 | $423,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 20,238 | $422,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 250,000 | $422,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 21,633 | $421,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 18,968 | $421,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 32,346 | $420,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W598 | BLOOMBERG ROLL | 9,308 | $420,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 26,137 | $419,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X846 | NASDAQ CYB ETF | 13,965 | $419,000 | thousands by filing date | |
| INVESCO | 46138J528 | EXCHANGE TRADED | 16,681 | $419,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 324,598 | $419,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 10,249 | $416,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 219,779 | $415,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 109,141 | $414,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 79,693 | $411,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 68,001 | $411,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 143,803 | $411,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 8,339 | $409,000 | thousands by filing date | |
| AKAZOO SA COM NPV | L0164E108 | COMMON STOCK | 77,500 | $408,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 33,204 | $407,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 133,915 | $407,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 51,773 | $405,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 8,550 | $404,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 54,256 | $404,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 6,600 | $403,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 7,545 | $403,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 5,298 | $400,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 26,770 | $398,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 6,385 | $397,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 106,268 | $395,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 27,082 | $395,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 16,522 | $393,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 250,000 | $392,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 400,000 | $390,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 3,094 | $389,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 25,984 | $387,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 30,328 | $387,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 112,246 | $387,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 20,756 | $387,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 44,432 | $386,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 5,667 | $383,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 5,277 | $382,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 14,971 | $382,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 187,502 | $380,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 14,014 | $380,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 270,742 | $379,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 284,078 | $378,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 13,940 | $377,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 11,528 | $376,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 27,427 | $376,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 12,368 | $373,000 | thousands by filing date | |
| RAPID7 INC | 753422AB0 | NOTE | 250,000 | $373,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 400,000 | $372,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 142,111 | $368,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 22,522 | $368,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 201,798 | $367,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,730 | $364,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 7,019 | $364,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 150,000 | $364,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 37,774 | $363,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 220,169 | $361,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 24,547 | $361,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 6,000 | $360,000 | thousands by filing date | |
| XPEL INC | 98379L100 | COM | 24,501 | $359,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 12,447 | $359,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 20,927 | $357,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 14,207 | $357,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 83,265 | $355,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 46,174 | $354,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 154,558 | $351,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 6,987 | $350,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 32,713 | $350,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 82,918 | $350,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 13,714 | $349,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 216,897 | $347,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 11,435 | $346,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 28,192 | $345,000 | thousands by filing date | |
| PROSHARES TR | 74347X880 | ULT FTSE CHIN 50 | 5,065 | $343,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 23,140 | $343,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 250,000 | $342,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 235 | $341,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 5,829 | $340,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 4,985 | $339,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 26,315 | $339,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 15,515 | $339,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,921 | $335,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 5,192 | $335,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 5,430 | $335,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 29,409 | $334,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 68,050 | $334,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 55,992 | $333,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 28,754 | $330,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 1,400 | $329,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 4,575 | $329,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 14,003 | $329,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,476 | $328,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 114,389 | $327,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 356,419 | $327,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 16,613 | $326,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 309,000 | $326,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 150,153 | $326,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 126,232 | $325,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 73,008 | $324,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 8,192 | $324,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 18,840 | $323,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 3,957 | $320,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 126,565 | $320,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 39,915 | $320,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 86,369 | $320,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 69,169 | $320,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 15,635 | $319,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 28,211 | $318,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 350,000 | $318,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 200,000 | $318,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 28,838 | $317,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 63,685 | $316,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 70,522 | $315,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 5,794 | $313,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 9,360 | $313,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 177,845 | $313,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 34,851 | $311,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 70,171 | $310,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 247,802 | $310,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 8,000 | $309,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 39,932 | $306,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 80,449 | $305,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,304 | $304,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,124 | $304,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 46,130 | $304,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 200,000 | $303,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 11,070 | $302,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 255,864 | $302,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 55,850 | $301,000 | thousands by filing date | |
| iShares Core Dividend Growth ETF | 46434V621 | SHS | 7,141 | $300,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 119,173 | $300,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 89,342 | $300,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 3,950 | $299,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 19,294 | $299,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 3,728 | $297,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 9,828 | $297,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 197,597 | $296,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 31,889 | $295,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 11,245 | $294,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 19,533 | $291,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 78,068 | $291,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 26,563 | $289,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 68,770 | $289,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 33,405 | $288,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,090 | $287,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 3,000 | $287,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 5,690 | $286,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 17,472 | $285,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 33,629 | $285,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 19,423 | $284,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 79,771 | $284,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 11,508 | $282,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 19,333 | $282,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 130,390 | $282,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 71,409 | $281,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 26,165 | $280,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 51,199 | $279,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 110,770 | $277,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 3,745 | $273,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 11,000 | $268,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 26,329 | $268,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 516,032 | $268,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 6,115 | $267,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 300,000 | $267,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 4,057 | $266,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 3,560 | $265,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 96,344 | $262,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 25,997 | $261,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 7,944 | $260,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 43,794 | $259,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 8,944 | $259,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 4,897 | $257,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 10,505 | $257,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 14,560 | $256,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 258,000 | $254,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 4,335 | $252,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 11,396 | $251,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 25,000 | $251,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 70,718 | $251,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 54,020 | $251,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 252,405 | $251,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 7,200 | $250,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 4,373 | $249,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 3,800 | $249,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 160,626 | $249,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 1,800 | $248,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 8,226 | $248,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 145,319 | $248,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,385 | $247,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,487 | $244,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 13,629 | $244,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 4,667 | $244,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 4,390 | $243,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 61,790 | $242,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 27,120 | $242,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 5,774 | $240,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 24,109 | $238,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 82,672 | $238,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 43,144 | $236,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 21,935 | $236,000 | thousands by filing date | |
| IVC 4 1/2 6/1/22 | 461203AH4 | CONVERTIBLE BOND | 250,000 | $236,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 42,393 | $234,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R833 | WBI BULBEAR TR | 11,870 | $233,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 16,567 | $232,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 11,337 | $229,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 110,450 | $229,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 116,289 | $229,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 25,743 | $228,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072109 | DIVERSIFID CRP | 4,425 | $227,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 1,517 | $226,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 16,554 | $224,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 162,094 | $224,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 10,000 | $223,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 19,735 | $222,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,053 | $221,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 35,924 | $221,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,600 | $219,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,000 | $218,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 10,421 | $217,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 35,519 | $217,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 23,521 | $217,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 7,967 | $216,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 6,802 | $215,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 9,253 | $214,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 168,089 | $214,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X198 | US CORP BOND FD | 4,054 | $213,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 10,536 | $211,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 16,493 | $211,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 8,416 | $210,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,157 | $209,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 81,405 | $209,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 26,972 | $208,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 250,000 | $208,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 162 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 1,095 | $207,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 34,000 | $206,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 3,400 | $205,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 9,442 | $204,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 97,404 | $204,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 5,036 | $201,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 24,645 | $201,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 25,000 | $200,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 8,050 | $200,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 52,688 | $198,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 50,748 | $198,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 16,974 | $196,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 11,367 | $196,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 15,866 | $195,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 11,045 | $194,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 22,389 | $194,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 550,632 | $193,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 48,069 | $192,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 51,578 | $191,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 47,501 | $190,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 11,076 | $189,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 140,277 | $188,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 10,685 | $187,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 21,644 | $186,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 14,097 | $185,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 27,368 | $185,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 39,487 | $184,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 13,445 | $184,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 26,669 | $184,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 73,995 | $183,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 19,223 | $182,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 71,540 | $181,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 26,494 | $180,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 259,214 | $180,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 105,570 | $180,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 48,799 | $179,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 26,287 | $178,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 26,139 | $178,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 12,561 | $176,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 11,900 | $174,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 28,173 | $173,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 10,215 | $169,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,210 | $169,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 41,343 | $168,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 42,740 | $166,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 45,739 | $166,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 15,408 | $164,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 42,703 | $164,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 16,838 | $163,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 12,943 | $163,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 14,756 | $162,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 61,532 | $162,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 19,851 | $161,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 22,534 | $158,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 335,760 | $158,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 30,975 | $155,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 21,985 | $154,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 20,852 | $151,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 35,523 | $149,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 20,288 | $148,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 29,618 | $147,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 17,500 | $147,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 26,194 | $147,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 67,067 | $145,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 76,252 | $144,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 166,974 | $143,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,072 | $142,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 20,812 | $141,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 19,508 | $140,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 30,949 | $140,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 35,122 | $140,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 16,474 | $138,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 42,816 | $138,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 30,500 | $136,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 53,834 | $135,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 40,962 | $134,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 35,260 | $134,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 51,330 | $133,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 34,449 | $132,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 43,223 | $131,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 19,328 | $131,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 13,002 | $129,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 29,327 | $126,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 26,240 | $126,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 26,617 | $126,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 71,102 | $126,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 36,237 | $126,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 288,399 | $126,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 74,724 | $125,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 153,781 | $124,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 50,783 | $122,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 54,338 | $122,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 46,852 | $122,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-20-000030 | this filing | 2020-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-21-000087 | added | 2021-10-08 | acceptance time not in the bulk data set |