13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-09, with 4,202 holding rows worth $459,068,769,000.
- Accession
- 0001390777-21-000023
- Filer
- CIK 1390777
- Filed
- 2021-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 23,839 entries on the cover page, a total value of $459,068,769,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $459,068,769,000 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
- reports for this filerCENTERSQUARE INVESTMENT MANAGEMENT LLC028-18741
- reports for this filerFAYEZ SAROFIM & CO028-10991
- 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 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 managerLockwood Advisors, Inc. 028-11769
- included managerAmerican Beacon Advisors, Inc. 028-14511
- included managerEAM Investors, LLC 028-14070
- included managerGeneva Capital Management LLC 028-03935
- included managerNeuberger Berman Investment Advisers LLC 028-17085
- 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
- included managerAlaska Permanent Fund Corporation 028-20231
- included managerHeartland Advisors, Inc. 028-04131
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 |
|---|---|---|---|---|---|---|
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 49,558 | $618,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 65,759 | $617,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 6,721 | $616,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 130,491 | $614,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 56,188 | $613,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 30,498 | $611,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 250,000 | $610,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 7,881 | $609,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 88,865 | $609,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 53,645 | $609,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 25,142 | $608,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 37,034 | $607,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 200,000 | $607,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 93,721 | $606,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 115,189 | $603,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 42,846 | $602,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 241,568 | $601,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 52,837 | $601,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 111,430 | $599,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 36,231 | $599,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 22,591 | $599,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 48,822 | $598,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 17,049 | $596,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 180,764 | $593,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 76,280 | $592,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 25,717 | $592,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 600,000 | $592,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 10,480 | $589,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 6,251 | $589,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 112,660 | $588,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 94,892 | $587,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 26,779 | $586,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 9,714 | $585,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 242,396 | $584,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 103,299 | $584,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 50,785 | $584,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 450,000 | $581,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 26,319 | $580,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 40,635 | $579,000 | thousands by filing date | |
| ENCORE CAP EUROPE FIN LTD | 29260UAA5 | BOND | 500,000 | $579,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 24,571 | $578,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 55,774 | $578,000 | thousands by filing date | |
| BLUEGREEN VACATIONS HLDG COR | 096308101 | COM | 42,550 | $576,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 34,693 | $575,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 57,828 | $574,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 50,311 | $574,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,490 | $573,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,614 | $572,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 138,223 | $572,000 | thousands by filing date | |
| CODIAK BIOSCIENCES INC | 192010106 | COM | 17,732 | $572,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 10,580 | $571,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 197,821 | $568,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 81,261 | $568,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 36,654 | $567,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 17,468 | $565,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 130,830 | $564,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 40,459 | $560,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 22,867 | $557,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 187,679 | $554,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 37,714 | $553,000 | thousands by filing date | |
| RAPID7 INC | 753422AB0 | NOTE | 250,000 | $553,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 85,306 | $552,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 101,215 | $552,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 118,819 | $551,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 20,710 | $551,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 4,280 | $550,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 19,580 | $549,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 142,895 | $546,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 20,193 | $546,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 500,000 | $545,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 32,030 | $544,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 10,000 | $543,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 101,798 | $542,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 10,429 | $541,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 360,144 | $541,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 33,139 | $540,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 11,730 | $536,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 37,490 | $534,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 32,794 | $533,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 42,577 | $532,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 74,551 | $532,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 67,706 | $531,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 33,328 | $529,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 500,000 | $528,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 3,106 | $527,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 6,401 | $527,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 18,784 | $526,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 52,905 | $523,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 20,036 | $523,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 81,792 | $521,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 294,585 | $518,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 24,636 | $517,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 181,544 | $517,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 116,327 | $515,000 | thousands by filing date | |
| REALPAGE INC | 75606NAC3 | NOTE 1.500% 5/1 | 400,000 | $515,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 500,000 | $514,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 12,937 | $513,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 39,072 | $512,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 14,179 | $511,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 60,372 | $509,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 79,597 | $509,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 211,305 | $509,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 22,192 | $507,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 14,851 | $507,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 34,513 | $507,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 80,174 | $506,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 43,012 | $504,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 72,040 | $504,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 33,587 | $503,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 42,473 | $501,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 67,930 | $500,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 34,379 | $499,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 11,954 | $499,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 37,626 | $498,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 111,655 | $497,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 22,513 | $497,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 132,232 | $496,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 13,551 | $493,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 27,155 | $492,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 51,652 | $490,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 34,458 | $489,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 350,000 | $485,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 8,894 | $483,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 36,118 | $483,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 90,019 | $482,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 17,503 | $482,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 27,570 | $481,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 5,804 | $480,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 52,519 | $480,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 39,801 | $479,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 18,791 | $479,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 14,551 | $478,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 18,598 | $478,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 16,505 | $477,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 50,478 | $477,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 110,973 | $476,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 11,350 | $475,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 25,998 | $475,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 64,929 | $474,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 5,171 | $473,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 16,322 | $473,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 48,199 | $472,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 124,331 | $469,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 33,789 | $469,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 35,937 | $468,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 7,356 | $468,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 22,330 | $468,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 13,337 | $467,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 34,555 | $467,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 49,300 | $467,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 85,279 | $462,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 37,724 | $461,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 86,454 | $460,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 128,942 | $460,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 22,664 | $458,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 3,119 | $457,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 14,697 | $457,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 7,816 | $455,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 500,000 | $455,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A150 | COM | 23,850 | $453,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 87,116 | $453,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 40,789 | $452,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 66,935 | $451,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 427,683 | $449,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 72,564 | $446,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 203,327 | $445,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 26,713 | $444,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 31,242 | $444,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 7,193 | $443,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 31,250 | $442,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 280,733 | $441,000 | thousands by filing date | |
| RADIUS GLOBAL INFRASTRUCTURE INC | 750481103 | COMMON STOCK | 34,292 | $441,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 21,349 | $440,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 3,940 | $439,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 18,551 | $438,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 26,702 | $438,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 16,163 | $437,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 42,905 | $435,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 55,665 | $434,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 23,028 | $434,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 400,000 | $434,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 13,284 | $433,000 | thousands by filing date | |
| 908 DEVICES INC COM | 65443P102 | Stock | 7,575 | $431,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 7,945 | $430,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 10,026 | $429,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 71,172 | $428,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 50,230 | $427,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 55,827 | $427,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,661 | $424,000 | thousands by filing date | |
| SEER INC | 81578P106 | COM CL A | 7,550 | $424,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 24,234 | $424,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 6,440 | $420,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 10,362 | $419,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 31,134 | $418,000 | thousands by filing date | |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 14,422 | $418,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 157,545 | $418,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 430,835 | $418,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 42,120 | $417,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 69,883 | $416,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 58,429 | $415,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 20,476 | $414,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 18,358 | $411,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 43,411 | $410,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 37,536 | $410,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 76,081 | $409,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739CAB8 | NOTE 1.000%10/0 | 450,000 | $409,000 | thousands by filing date | |
| HARMONY BIOSCIENCES HLDGS IN | 413197104 | COM | 11,298 | $408,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 3,951 | $407,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 208,775 | $406,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 89,425 | $405,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 13,492 | $404,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 6,211 | $404,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 89,359 | $404,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 8,966 | $403,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 167,382 | $400,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 23,651 | $400,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 59,203 | $399,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 52,884 | $398,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 14,021 | $397,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 5,000 | $396,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 19,025 | $396,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 15,747 | $394,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 400,000 | $394,000 | thousands by filing date | |
| CLEANSPARK INC | 18452B209 | COM NEW | 13,537 | $393,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 1,029 | $390,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 8,237 | $390,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 56,674 | $388,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 153,928 | $388,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 22,913 | $386,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 117,586 | $386,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 52,205 | $386,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 8,277 | $385,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 2,879 | $383,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 90,124 | $382,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 88,051 | $381,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 155,882 | $379,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 90,611 | $376,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 19,294 | $375,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 18,161 | $374,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 15,252 | $373,000 | thousands by filing date | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 12,352 | $373,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 45,647 | $371,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 92,896 | $371,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V266 | S&P500 PUR GWT | 2,273 | $370,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 14,964 | $369,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 4,126 | $367,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 18,086 | $367,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 34,618 | $366,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,001 | $364,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 19,595 | $363,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 25,905 | $363,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 43,785 | $362,000 | thousands by filing date | |
| CEREVEL THERAPEUTICS HLDNG I | 15678U128 | COM | 21,637 | $359,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 250,000 | $359,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 6,520 | $358,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 110,784 | $357,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 71,772 | $356,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 159,487 | $354,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 34,273 | $351,000 | thousands by filing date | |
| MISSION PRODUCE INC | 60510V108 | COM | 23,240 | $350,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 88,648 | $349,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 69,055 | $349,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 163,289 | $349,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 43,843 | $348,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 27,043 | $348,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 47,240 | $347,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 80,855 | $344,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 19,254 | $344,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 37,873 | $344,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 6,821 | $343,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 45,866 | $342,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 28,711 | $341,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 38,762 | $340,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 2,403 | $340,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 58,613 | $339,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 21,176 | $339,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 2,215 | $337,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 51,577 | $337,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 52,300 | $336,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 85,925 | $334,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 3,572 | $333,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 350,000 | $330,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 48,144 | $330,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 9,375 | $329,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 36,142 | $328,000 | thousands by filing date | |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 13,492 | $328,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 169,961 | $328,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 29,581 | $324,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 3,330 | $322,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 10,106 | $321,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 13,442 | $321,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 13,368 | $321,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 181,687 | $321,000 | thousands by filing date | |
| BEAM GLOBAL | 07373B109 | COM | 4,318 | $319,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 30,423 | $318,000 | thousands by filing date | |
| ALTERYX INC | 02156BAF0 | BOND | 300,000 | $317,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 119,759 | $317,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 21,838 | $316,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 2,371 | $315,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 20,894 | $315,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 12,346 | $314,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 125,563 | $314,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 135,263 | $313,000 | thousands by filing date | |
| ALTERYX INC | 02156BAD5 | BOND | 300,000 | $313,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 20,083 | $313,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 26,994 | $312,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 21,708 | $312,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 52,467 | $311,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 18,479 | $310,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 915,426 | $310,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 109,383 | $309,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 65,130 | $309,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 58,005 | $308,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 75,276 | $308,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 10,875 | $308,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 93,797 | $307,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 89,249 | $306,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 100,061 | $306,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,843 | $305,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 19,034 | $304,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 15,402 | $302,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 17,864 | $302,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 113,945 | $301,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 300,000 | $301,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,375 | $300,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 9,901 | $298,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 34,716 | $298,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 6,437 | $296,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 95,521 | $296,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 33,748 | $296,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 23,426 | $295,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 5,001 | $293,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 236,256 | $293,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 321,369 | $292,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 238,217 | $291,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 5,362 | $290,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 8,911 | $290,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 6,860 | $289,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 55,992 | $289,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 21,800 | $287,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 122,201 | $286,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 15,816 | $285,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 41,319 | $285,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 71,568 | $285,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 69,975 | $283,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 34,214 | $283,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 4,699 | $282,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 17,773 | $282,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 226,423 | $282,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 15,819 | $281,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,935 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 4,131 | $279,000 | thousands by filing date | |
| C3 AI INC | 12468P104 | CL A | 2,000 | $278,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 4,726 | $278,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 42,290 | $275,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 3,969 | $275,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 27,259 | $275,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 200,000 | $275,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 6,911 | $274,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 19,622 | $274,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,558 | $272,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 199,526 | $271,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 16,015 | $269,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 76,428 | $268,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 32,072 | $268,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 56,009 | $268,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 7,018 | $268,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 57,308 | $267,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 10,477 | $265,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 49,789 | $264,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,030 | $264,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 4,400 | $262,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 9,067 | $261,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 5,088 | $261,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 2,786 | $260,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 1,878 | $259,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,086 | $258,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 67,467 | $258,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 76,521 | $257,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 16,317 | $257,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 14,560 | $255,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 86,091 | $254,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 65,423 | $254,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 28,405 | $254,000 | thousands by filing date | |
| PANDION THERAPEUTICS INC | 698340106 | COM | 17,100 | $254,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 17,436 | $254,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 53,805 | $253,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 5,810 | $252,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 101,428 | $252,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 26,454 | $251,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 9,190 | $251,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 37,629 | $251,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 119,624 | $250,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 2,874 | $249,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 12,136 | $249,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 47,077 | $249,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 44,080 | $249,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 63,868 | $249,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 3,926 | $247,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 115,917 | $245,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 25,835 | $245,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 37,401 | $244,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 27,816 | $243,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 241,050 | $243,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 5,211 | $242,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 6,105 | $242,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 13,022 | $242,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 99,399 | $242,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 107,410 | $241,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 30,065 | $241,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 22,955 | $241,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 250,000 | $239,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 300,000 | $239,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 4,125 | $238,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 13,270 | $238,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 4,587 | $237,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 21,491 | $237,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L207 | SELECT US EQTY | 8,040 | $236,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 30,099 | $236,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,525 | $235,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 10,217 | $232,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 10,212 | $231,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 7,861 | $230,000 | thousands by filing date | |
| INVESCO | 46138J841 | EXCHANGE TRADED | 10,256 | $230,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 39,019 | $230,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,000 | $229,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 13,103 | $229,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 9,938 | $228,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 11,657 | $227,000 | thousands by filing date | |
| INVESCO | 46138J866 | EXCHANGE TRADED | 10,350 | $227,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 47,883 | $227,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 40,349 | $226,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 173,568 | $225,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 18,013 | $225,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 11,126 | $224,000 | thousands by filing date | |
| INVESCO | 46138J882 | EXCHANGE TRADED | 10,305 | $224,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 24,268 | $223,000 | thousands by filing date | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 2,625 | $222,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 104,776 | $222,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 19,450 | $222,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,419 | $221,000 | thousands by filing date | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 12,795 | $220,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524722 | 1000 INDEX ETF | 5,868 | $219,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,246 | $218,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 36,412 | $218,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 77,723 | $217,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 11,140 | $216,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 155,692 | $215,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 29,596 | $214,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 76,084 | $214,000 | thousands by filing date | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 6,200 | $213,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 93,878 | $213,000 | thousands by filing date | |
| FORTE BIOSCIENCES INC | 34962G109 | COM | 5,845 | $213,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 96,498 | $212,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 65,255 | $212,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 10,564 | $212,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W500 | INNOV LEADE ETF | 8,100 | $210,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,001 | $209,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 16,734 | $208,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 540 | $207,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 4,153 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,366 | $205,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 3,368 | $205,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 30,146 | $203,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 14,000 | $203,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 83,772 | $202,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 4,415 | $201,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 9,500 | $201,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 25,595 | $201,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 56,314 | $200,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 200,000 | $200,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 44,110 | $199,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 30,695 | $198,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 94,026 | $198,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 107,818 | $197,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 10,427 | $195,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 47,483 | $195,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 151,952 | $191,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 43,227 | $191,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 30,319 | $190,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 15,170 | $190,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 26,512 | $189,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 95,971 | $188,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 13,041 | $187,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 62,108 | $186,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 38,389 | $185,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 116,591 | $185,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 85,439 | $185,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 12,204 | $184,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 13,872 | $183,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 64,201 | $183,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 24,004 | $183,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 22,355 | $181,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 200,000 | $181,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 37,629 | $180,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 60,724 | $179,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 182,380 | $179,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 133,117 | $179,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 32,347 | $177,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 33,624 | $177,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-21-000023 | this filing | 2021-02-09 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-21-000036 | added | 2021-02-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-21-000091 | added | 2021-10-08 | acceptance time not in the bulk data set |