13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-13, with 4,313 holding rows worth $489,019,948,000.
- Accession
- 0001390777-21-000051
- Filer
- CIK 1390777
- Filed
- 2021-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A combination report, 23,773 entries on the cover page, a total value of $489,019,948,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $489,019,948,000 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
- reports for this filerNeuberger Berman Group LLC028-13573
- 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 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 |
|---|---|---|---|---|---|---|
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 40,283 | $725,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 27,864 | $724,000 | thousands by filing date | |
| ALIGOS THERAPEUTICS INC COM NEW | 01626L105 | Stock | 31,777 | $723,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 50,308 | $723,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 24,585 | $719,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 14,744 | $718,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 119,557 | $716,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 173,682 | $712,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 42,346 | $711,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 86,442 | $710,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 43,203 | $710,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 69,832 | $704,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 27,477 | $704,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 54,039 | $703,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 7,738 | $703,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 51,799 | $702,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 85,079 | $700,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 219,139 | $699,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 22,816 | $698,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 29,328 | $696,000 | thousands by filing date | |
| JPMorgan BetaBuilders Europe ETF | 46641Q720 | Exchange Traded Fund | 25,380 | $695,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 700,000 | $693,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 31,117 | $689,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 136,457 | $688,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 122,334 | $686,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 172,757 | $684,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 160,974 | $683,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 88,759 | $681,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 124,816 | $681,000 | thousands by filing date | |
| GOLDEN NUGGET ONLINE GAMIN | 38113L107 | COM CL A | 50,265 | $679,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 52,200 | $678,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 15,936 | $676,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 91,090 | $674,000 | thousands by filing date | |
| Instil Bio, Inc. | 45783C101 | Common Stock | 26,675 | $669,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 48,902 | $667,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 44,054 | $667,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 69,350 | $665,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 111,040 | $661,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 22,073 | $660,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 32,984 | $658,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 55,880 | $658,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 55,626 | $657,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 10,519 | $656,000 | thousands by filing date | |
| ATHIRA PHARMA INC | 04746L104 | COM | 35,678 | $656,000 | thousands by filing date | |
| HEMISPHERE MEDIA GROUP INC CL A | 42365Q103 | COM | 56,361 | $656,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 62,105 | $654,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 40,830 | $651,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 550,000 | $651,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 130,711 | $650,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 35,002 | $649,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 8,477 | $647,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 500,000 | $646,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 117,231 | $645,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 477,120 | $644,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 8,327 | $642,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 16,243 | $641,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 169,077 | $638,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 82,123 | $638,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 31,887 | $636,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 105,539 | $633,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 24,050 | $631,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 9,388 | $630,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 20,175 | $629,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 86,125 | $629,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 38,811 | $628,000 | thousands by filing date | |
| TREAN INS GROUP INC | 89457R101 | COM | 38,599 | $624,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 101,026 | $623,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 29,599 | $620,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 6,190 | $618,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 86,059 | $616,000 | thousands by filing date | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 450,000 | $616,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 200,000 | $615,000 | thousands by filing date | |
| ALPHA METALLURGICAL RESOUR I | 020764106 | COM | 48,572 | $613,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 21,742 | $613,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 69,453 | $612,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 48,223 | $611,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 6,877 | $610,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 151,030 | $607,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 34,359 | $605,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 61,756 | $605,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 34,877 | $604,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 25,577 | $604,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 49,720 | $604,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 181,960 | $604,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 15,917 | $603,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 63,100 | $603,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 19,845 | $602,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,558 | $601,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 22,751 | $601,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 77,029 | $601,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 21,774 | $600,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 11,551 | $599,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 88,214 | $599,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 450,000 | $596,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 79,057 | $595,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 55,452 | $594,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 26,028 | $593,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 110,321 | $591,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 500,000 | $591,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 500,000 | $591,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941BAB2 | NOTE 0.375% 3/0 | 600,000 | $590,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 22,864 | $590,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 58,920 | $589,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 86,811 | $586,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 56,182 | $586,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 10,235 | $585,000 | thousands by filing date | |
| MISSION PRODUCE INC | 60510V108 | COM | 30,675 | $584,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 37,429 | $584,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 126,665 | $583,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 33,118 | $583,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 19,044 | $581,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 32,584 | $580,000 | thousands by filing date | |
| SPLUNK INC | 848637AC8 | NOTE 0.500% 9/1 | 500,000 | $573,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 3,251 | $570,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 500,000 | $569,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 26,644 | $568,000 | thousands by filing date | |
| ENCORE CAP EUROPE FIN LTD | 29260UAA5 | BOND | 500,000 | $568,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 8,851 | $566,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 36,348 | $565,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 50,730 | $563,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 47,354 | $563,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 6,400 | $562,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 172,421 | $561,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 42,803 | $560,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 56,010 | $560,000 | thousands by filing date | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 12,676 | $556,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 81,464 | $556,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 350,000 | $556,000 | thousands by filing date | |
| INHIBRX INC | 45720L107 | COM | 27,698 | $556,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 229,841 | $556,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 44,956 | $554,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 184,843 | $554,000 | thousands by filing date | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 51,631 | $551,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 49,723 | $551,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 252,464 | $551,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 103,385 | $550,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 51,043 | $550,000 | thousands by filing date | |
| PEGASYSTEMS INC | 705573AB9 | NOTE 0.750% 3/0 | 500,000 | $549,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 14,968 | $548,000 | thousands by filing date | |
| TRICIDA INC | 89610F101 | COM | 103,631 | $548,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 18,252 | $547,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AU3 | NOTE 2.000% 2/1 | 500,000 | $547,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 40,558 | $546,000 | thousands by filing date | |
| TAYSHA GENE THERAPIES INC | 877619106 | COMMON STOCK | 26,932 | $546,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215207 | COM NEW | 9,159 | $544,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 500,000 | $544,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 22,580 | $542,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 500,000 | $541,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 40,264 | $541,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 28,124 | $537,000 | thousands by filing date | |
| JP Morgan Exchange Traded Fund | 46641Q712 | Betbuld Japan | 18,783 | $535,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 107,189 | $535,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 15,697 | $534,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 26,907 | $534,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 159,456 | $534,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 4,011 | $533,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 154,611 | $531,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 267,113 | $527,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 89,930 | $525,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 95,000 | $525,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 500,000 | $523,000 | thousands by filing date | |
| LAVA THERAPEUTICS NV | N51517105 | SHS | 34,319 | $521,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 71,896 | $520,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 22,592 | $519,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 43,564 | $518,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 500,000 | $518,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 117,545 | $517,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 32,859 | $516,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 274,225 | $516,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 77,961 | $514,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 92,724 | $513,000 | thousands by filing date | |
| REALPAGE INC | 75606NAC3 | NOTE 1.500% 5/1 | 400,000 | $513,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 20,718 | $512,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 116,652 | $510,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 68,888 | $510,000 | thousands by filing date | |
| RADIUS GLOBAL INFRASTRUCTURE INC | 750481103 | COMMON STOCK | 34,725 | $510,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 120,348 | $509,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 500,000 | $509,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 16,890 | $508,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 21,458 | $508,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 27,470 | $506,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 20,109 | $506,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 143,094 | $505,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 136,919 | $504,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 47,768 | $503,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 14,550 | $503,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 124,698 | $503,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 3,865 | $502,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379AA9 | NOTE | 500,000 | $502,000 | thousands by filing date | |
| TARSUS PHARMACEUTICALS INC | 87650L103 | COMMON STOCK | 15,474 | $499,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 42,247 | $497,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 53,239 | $496,000 | thousands by filing date | |
| ENETI INC | Y2294C107 | COM | 23,519 | $495,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 54,579 | $493,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 26,652 | $493,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 33,954 | $491,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 86,305 | $489,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 37,824 | $488,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637AB6 | BOND | 350,000 | $487,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 7,754 | $486,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 35,533 | $485,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 16,766 | $485,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 220,000 | $485,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 13,551 | $484,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 5,780 | $482,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 6,974 | $480,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 26,280 | $480,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 134,329 | $480,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 500,000 | $480,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 13,743 | $479,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 17,860 | $479,000 | thousands by filing date | |
| E2OPEN PARENT HOLDINGS INC | 29788T103 | COM CL A | 48,108 | $479,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 9,117 | $478,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 3,571 | $475,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 73,976 | $474,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 16,659 | $474,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 350,000 | $474,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 38,792 | $468,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 84,826 | $468,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 54,365 | $468,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AU8 | NOTE 0.125%11/1 | 400,000 | $468,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 92,402 | $468,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 500,000 | $468,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430123 | MARKETBETA US EQ | 8,476 | $467,000 | thousands by filing date | |
| NEW FORTRESS ENERGY INC | 644393100 | COM CL A | 10,097 | $464,000 | thousands by filing date | |
| CONTEXTLOGIC INC | 21077C107 | COMMON STOCK | 29,394 | $464,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 10,361 | $463,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 31,390 | $463,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 41,687 | $462,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 23,337 | $462,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 128,785 | $460,000 | thousands by filing date | |
| RAPID7 INC | 753422AB0 | NOTE | 250,000 | $459,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 146,603 | $458,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 1,077 | $457,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 31,250 | $457,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 31,783 | $457,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 11,911 | $457,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 165,545 | $457,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 26,516 | $455,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 16,799 | $453,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 36,806 | $453,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 18,604 | $452,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 187,846 | $451,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 26,048 | $447,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 37,258 | $447,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 254,381 | $446,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 31,166 | $445,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739CAB8 | NOTE 1.000%10/0 | 450,000 | $444,000 | thousands by filing date | |
| FIRST TR VALUE LINE DIVID IN | 33734H106 | SHS | 11,651 | $443,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 195,000 | $443,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 22,163 | $441,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J206 | MULTIFACTOR MI | 8,967 | $440,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 96,591 | $439,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 57,416 | $439,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 298,237 | $439,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 72,144 | $438,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 2,878 | $437,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 6,499 | $436,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 59,049 | $433,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 32,727 | $433,000 | thousands by filing date | |
| PORCH GROUP INC | 733245104 | COM | 24,396 | $432,000 | thousands by filing date | |
| HARMONY BIOSCIENCES HLDGS IN | 413197104 | COM | 13,077 | $432,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 54,761 | $432,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 19,009 | $431,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 15,817 | $431,000 | thousands by filing date | |
| FS KKR CAP CORP II | 35952V303 | COM | 22,017 | $430,000 | thousands by filing date | |
| ARKO CORP | 041242108 | COMMON STOCK | 43,136 | $429,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 13,140 | $429,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 15,222 | $428,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 63,383 | $428,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 240,311 | $427,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 53,655 | $427,000 | thousands by filing date | |
| NEOGAMES S A | L6673X107 | COM | 11,907 | $426,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 183,247 | $425,000 | thousands by filing date | |
| INTERDIGITAL INC | 45867GAB7 | BOND | 400,000 | $425,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,387 | $424,000 | thousands by filing date | |
| TERNS PHARMACEUTICALS INC COM | 880881107 | Stock | 19,279 | $424,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 93,257 | $423,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 28,186 | $423,000 | thousands by filing date | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 36,245 | $422,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 53,984 | $420,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 170,490 | $418,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886TAJ1 | NOTE 1.750% 6/0 | 400,000 | $418,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 31,215 | $417,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 49,627 | $416,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 75,711 | $416,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 21,794 | $416,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 44,432 | $416,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 16,535 | $414,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 14,305 | $412,000 | thousands by filing date | |
| EXTERRAN CORP | 30227H106 | COM | 122,563 | $412,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 4,126 | $411,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 136,337 | $410,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 85,255 | $409,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 85,768 | $409,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 500,000 | $408,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 195,949 | $408,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 34,944 | $407,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 154,180 | $407,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 86,766 | $406,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 4,084 | $405,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 25,685 | $404,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 36,796 | $403,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 32,661 | $403,000 | thousands by filing date | |
| GUESS INC | 401617AD7 | BOND | 350,000 | $401,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q107 | COM CL A | 35,684 | $400,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,876 | $399,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 53,465 | $399,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 76,399 | $399,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,163 | $396,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 20,476 | $395,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 53,998 | $394,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 400,000 | $393,000 | thousands by filing date | |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 29,921 | $390,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 55,021 | $389,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 128,569 | $389,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 7,842 | $387,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 50,793 | $387,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 35,919 | $386,000 | thousands by filing date | |
| SIGILON THERAPEUTICS INC | 82657L107 | COM | 17,281 | $386,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 6,263 | $385,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 21,027 | $385,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 116,143 | $384,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 175,366 | $383,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 224,939 | $382,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 151,940 | $381,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 120,565 | $379,000 | thousands by filing date | |
| LEE ENTERPRISES INC | 523768406 | COM | 14,668 | $377,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 21,364 | $375,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE | 833636111 | RIGHT 04/19/2021 | 120,375 | $373,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 20,847 | $372,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 6,457 | $371,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 40,576 | $371,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 45,459 | $368,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 5,770 | $367,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 4,001 | $365,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 17,517 | $364,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 12,150 | $363,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 205,412 | $362,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 28,173 | $361,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 14,400 | $359,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 53,299 | $356,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 46,833 | $356,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 350,000 | $355,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 87,842 | $354,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 2,615 | $352,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 120,350 | $352,000 | thousands by filing date | |
| YELLOW CORP | 985510106 | COM | 39,728 | $349,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 88,887 | $347,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 8,737 | $345,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 3,535 | $345,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 7,617 | $343,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X104 | COM CL 1 | 23,725 | $343,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 15,013 | $342,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 22,415 | $341,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 89,953 | $340,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 350,000 | $339,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 88,583 | $339,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 78,348 | $338,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 52,621 | $334,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 38,312 | $334,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 55,682 | $334,000 | thousands by filing date | |
| HIMS & HERS HEALTH INC | 433000106 | COM CL A | 25,080 | $332,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 45,387 | $332,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 31,975 | $330,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 34,498 | $329,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,809 | $327,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 250,000 | $327,000 | thousands by filing date | |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 22,263 | $327,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 19,596 | $326,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 18,736 | $326,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 111,628 | $326,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 26,859 | $325,000 | thousands by filing date | |
| ISHARES SHORT MATURITY MUNICIPAL BOND ACTIVE ETF | 46431W838 | ETF | 6,420 | $323,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 35,805 | $322,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 8,561 | $321,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,842 | $320,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 8,913 | $320,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 34,139 | $319,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 48,238 | $319,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 164,686 | $319,000 | thousands by filing date | |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 19,180 | $318,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 123,671 | $318,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 27,146 | $318,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 22,263 | $317,000 | thousands by filing date | |
| INOTIV INC | 45783Q100 | COM | 15,843 | $317,000 | thousands by filing date | |
| SCHWAB LONG-TERM U.S. TREASURY ETF | 808524680 | ETF | 6,683 | $316,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 65,543 | $315,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 17,773 | $313,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 27,025 | $312,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 41,310 | $312,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 3,271 | $311,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 6,300 | $311,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 45,860 | $310,000 | thousands by filing date | |
| KEY TRONIC CORP | 493144109 | COM | 40,276 | $310,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 46,677 | $310,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,935 | $309,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 6,466 | $309,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 62,649 | $309,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 12,337 | $308,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 200,000 | $308,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 300,000 | $307,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 167,111 | $306,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 9,964 | $305,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 113,834 | $304,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 33,334 | $304,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 14,560 | $304,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 15,157 | $303,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 250,000 | $303,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 9,509 | $301,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,189 | $299,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 73,697 | $299,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 140,000 | $297,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 27,980 | $294,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 5,840 | $293,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 91,520 | $293,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 9,330 | $292,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 10,762 | $292,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 85,000 | $292,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 22,306 | $292,000 | thousands by filing date | |
| LUCIRA HEALTH INC | 54948U105 | COM | 23,935 | $290,000 | thousands by filing date | |
| ALTAIR ENGR INC | 021369AA1 | BOND | 200,000 | $290,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 137,944 | $288,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 4,400 | $287,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 16,991 | $287,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 86,954 | $286,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 32,303 | $285,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 49,566 | $284,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 79,432 | $284,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 12,876 | $283,000 | thousands by filing date | |
| ISHARES TR | 46435U218 | ESG MSCI LEADR | 4,057 | $281,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 782011100 | COM | 17,195 | $281,000 | thousands by filing date | |
| ALTERYX INC | 02156BAD5 | BOND | 300,000 | $281,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 9,594 | $280,000 | thousands by filing date | |
| BIODESIX INC | 09075X108 | COM | 13,801 | $280,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 42,587 | $280,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 44,912 | $279,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 10,546 | $278,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 53,099 | $278,000 | thousands by filing date | |
| LARIMAR THERAPEUTICS INC | 517125100 | COM | 18,973 | $277,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 12,695 | $277,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R506 | RISNG DIVD ACHIV | 6,078 | $276,000 | thousands by filing date | |
| ROMEO POWER INC | 776153108 | COM | 33,096 | $276,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 59,706 | $276,000 | thousands by filing date | |
| METROMILE INC | 591697107 | COM | 26,858 | $276,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 15,328 | $274,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 4,826 | $273,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 98,011 | $273,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 5,083 | $271,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 22,884 | $271,000 | thousands by filing date | |
| ALTERYX INC | 02156BAF0 | BOND | 300,000 | $271,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 47,722 | $271,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 233,751 | $271,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 62,889 | $271,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 90,982 | $268,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 8,101 | $267,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 28,263 | $267,000 | thousands by filing date | |
| NEXIMMUNE INC | 65344D109 | COM | 13,925 | $266,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,021 | $265,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 42,225 | $265,000 | thousands by filing date | |
| ISHARES TR | 46435G532 | MSCI GBL SUS DEV | 2,786 | $264,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 3,738 | $263,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 13,000 | $262,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 22,709 | $259,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 250,000 | $258,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 31,044 | $258,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 122,727 | $256,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 19,440 | $256,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 28,859 | $256,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 9,547 | $255,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 30,711 | $254,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 8,779 | $253,000 | thousands by filing date | |
| NUVATION BIO INC COM CL A | 67080N101 | Stock | 24,120 | $252,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,000 | $251,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 22,562 | $251,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,462 | $250,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 15,710 | $249,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 3,030 | $248,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 27,218 | $248,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 16,518 | $248,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W614 | GOLD STRATEGY | 4,725 | $248,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 250,000 | $247,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 17,745 | $247,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 26,853 | $247,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 7,720 | $247,000 | thousands by filing date | |
| BIOVENTUS INC | 09075A108 | COM CL A | 16,101 | $246,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 13,364 | $246,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 4,154 | $245,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 47,783 | $244,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 22,684 | $240,000 | thousands by filing date | |
| iShares ESG Aware MSCI USA Small-Cap ETF | 46435U663 | SHS | 6,200 | $239,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,367 | $238,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 50,942 | $238,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 67,692 | $238,000 | thousands by filing date | |
| VPC IMPACT ACQUISITION HLDNG | G9441E100 | SHS CL A | 18,340 | $238,000 | thousands by filing date | |
| EOS ENERGY ENTERPRISES INC COM CL A | 29415C101 | Stock | 12,025 | $237,000 | thousands by filing date | |
| CLEANSPARK INC | 18452B209 | COM NEW | 9,957 | $237,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 91,315 | $237,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 71,282 | $237,000 | thousands by filing date | |
| CODIAK BIOSCIENCES INC | 192010106 | COM | 15,673 | $237,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-21-000051 | this filing | 2021-05-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-21-000092 | added | 2021-10-08 | acceptance time not in the bulk data set |