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 |
|---|---|---|---|---|---|---|
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 22,067 | $236,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 55,593 | $236,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 11,806 | $234,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 39,472 | $234,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 16,734 | $233,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 56,257 | $233,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,746 | $230,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 103,404 | $230,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 36,275 | $229,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 127,484 | $228,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 69,767 | $227,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 64,531 | $227,000 | thousands by filing date | |
| TATTOOED CHEF INC | 87663X102 | COM | 11,636 | $226,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 4,231 | $225,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 83,433 | $224,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,001 | $223,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TRUST ACCESS | 381430453 | ACCESS HIG YLD | 4,463 | $223,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 13,161 | $222,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 65,095 | $222,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 31,445 | $221,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 36,122 | $221,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 8,047 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,266 | $217,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 2,883 | $217,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 99,901 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 3,031 | $215,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 29,689 | $215,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 4,419 | $214,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 80,273 | $214,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 95,185 | $214,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 12,170 | $213,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 11,775 | $213,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,917 | $212,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 4,755 | $211,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 175,000 | $211,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 115,260 | $211,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 19,843 | $211,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 15,572 | $210,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 37,786 | $210,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 31,290 | $210,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDIN | 890260706 | COM | 163,815 | $210,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 10,470 | $208,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 10,000 | $208,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 3,773 | $208,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 17,188 | $208,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 73,008 | $207,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 17,442 | $206,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 80,782 | $206,000 | thousands by filing date | |
| SENSEI BIOTHERAPEUTICS INC | 81728A108 | COM | 14,062 | $205,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 162,035 | $205,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 540 | $204,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 33,689 | $204,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 63,037 | $204,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 10,165 | $204,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 2,024 | $203,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 3,090 | $202,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AC4 | BOND | 200,000 | $202,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 12,425 | $199,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 84,705 | $199,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 29,095 | $197,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 16,190 | $196,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 26,739 | $196,000 | thousands by filing date | |
| LUMOS PHARMA INC | 55028X109 | COM | 16,709 | $196,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 15,370 | $195,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 40,646 | $193,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 183,427 | $193,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 39,224 | $192,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 93,992 | $188,000 | thousands by filing date | |
| ANGION BIOMEDICA CORP | 03476J107 | COM | 10,417 | $188,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 19,865 | $187,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 12,774 | $186,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469AA6 | NOTE | 200,000 | $186,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 77,000 | $185,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 25,741 | $185,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 52,015 | $184,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 177,028 | $184,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 63,128 | $183,000 | thousands by filing date | |
| BOWX ACQUISITION CORP | 103085106 | CL A | 15,646 | $183,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 12,204 | $182,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 33,139 | $182,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 27,945 | $181,000 | thousands by filing date | |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 13,221 | $180,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 18,904 | $179,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 105,668 | $179,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 37,631 | $178,000 | thousands by filing date | |
| ADVENT TECHNOLOGIES HOLDNG I | 00788A105 | COM CL A | 13,275 | $178,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 43,228 | $176,000 | thousands by filing date | |
| LYRA THERAPEUTICS INC | 55234L105 | COM | 15,036 | $174,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 77,941 | $174,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 13,105 | $173,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 16,798 | $173,000 | thousands by filing date | |
| CARLOTZ INC | 142552108 | COMMON STOCK | 24,323 | $173,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 51,416 | $171,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 72,899 | $171,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 61,199 | $171,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 41,434 | $168,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 26,780 | $168,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G201 | COM NEW | 102,390 | $167,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 22,000 | $161,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 10,277 | $159,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 24,990 | $159,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 98,009 | $159,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 14,864 | $158,000 | thousands by filing date | |
| GEMINI THERAPEUTICS INC | 36870G105 | CMN | 11,651 | $158,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 18,359 | $156,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 33,901 | $154,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 43,880 | $153,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 18,149 | $153,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 46,546 | $152,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 25,226 | $152,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 12,304 | $147,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 86,634 | $146,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 17,600 | $146,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 13,963 | $144,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 15,633 | $142,000 | thousands by filing date | |
| DOLPHIN ENTMT INC | 25686H209 | COM NEW | 11,091 | $141,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 16,479 | $140,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 24,542 | $139,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 29,936 | $139,000 | thousands by filing date | |
| COMSTOCK INC | 205750300 | COM NEW | 30,403 | $139,000 | thousands by filing date | |
| DECIBEL THERAPEUTICS INC | 24343R106 | COM | 12,193 | $138,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,083 | $136,000 | thousands by filing date | |
| HOME PT CAPITAL INCORPORATED | 43734L106 | COM | 14,553 | $136,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 20,904 | $135,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 62,828 | $134,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 15,604 | $133,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 14,349 | $133,000 | thousands by filing date | |
| SHIFTPIXY INC | 82452L203 | COM NEW | 57,258 | $132,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 34,588 | $131,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644301 | COM | 21,221 | $131,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 101,229 | $131,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 25,638 | $128,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 24,225 | $128,000 | thousands by filing date | |
| SOC TELEMED | 78472F101 | COM | 20,031 | $126,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 30,608 | $124,000 | thousands by filing date | |
| WESTWATER RES INC | 961684206 | COM NEW | 22,746 | $122,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 49,265 | $121,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 34,960 | $121,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 20,298 | $120,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 77,511 | $120,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 37,470 | $118,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 143,466 | $118,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 15,280 | $117,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 43,298 | $116,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 51,014 | $114,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 40,042 | $114,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 11,839 | $114,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 40,828 | $113,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 112,526 | $112,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 29,503 | $110,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 21,153 | $108,000 | thousands by filing date | |
| KUBIENT INC COM USD0.00001 | 50116V107 | COM | 14,755 | $108,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 33,317 | $107,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 68,276 | $107,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 47,287 | $106,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 14,596 | $106,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 87,890 | $105,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 25,516 | $104,000 | thousands by filing date | |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 43,659 | $104,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 45,107 | $103,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 75,456 | $103,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 18,243 | $101,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 16,902 | $100,000 | thousands by filing date | |
| SCWORX CORP COM | 78396V109 | Stock | 50,407 | $100,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 21,552 | $100,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 16,499 | $99,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 25,464 | $99,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 14,576 | $98,000 | thousands by filing date | |
| LANDOS BIOPHARMA INC | 515069102 | CMN | 10,182 | $98,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 17,585 | $97,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 11,989 | $96,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 16,016 | $96,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 52,534 | $94,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 10,338 | $93,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 17,653 | $91,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 14,848 | $91,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 21,361 | $89,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 48,602 | $89,000 | thousands by filing date | |
| RA MED SYS INC | 74933X203 | COM | 19,079 | $89,000 | thousands by filing date | |
| XWELL INC COM NEW | 98420U703 | Stock | 47,592 | $88,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 25,818 | $85,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 10,493 | $85,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 77,427 | $84,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 19,178 | $84,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 55,204 | $83,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 35,844 | $82,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 25,757 | $82,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 26,611 | $82,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 13,466 | $82,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 20,704 | $81,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 23,219 | $81,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 8,379 | $80,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 21,251 | $80,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 48,775 | $80,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 14,211 | $79,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 26,332 | $77,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 35,927 | $76,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 11,780 | $76,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 15,059 | $75,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 10,722 | $75,000 | thousands by filing date | |
| SENECA BIOPHARMA INC | 81689B103 | COM | 44,160 | $75,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 17,809 | $74,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 18,039 | $73,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 22,847 | $71,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 15,446 | $71,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 10,096 | $70,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 101,252 | $70,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 36,974 | $70,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 14,685 | $69,000 | thousands by filing date | |
| METACRINE INC | 59101E103 | COM | 11,090 | $69,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 45,904 | $69,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 29,254 | $68,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 58,176 | $68,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 10,573 | $67,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 44,556 | $67,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 67,056 | $67,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 10,219 | $66,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 60,367 | $66,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 15,197 | $66,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 19,751 | $65,000 | thousands by filing date | |
| ENVERIC BIOSCIENCES INC | 29405E109 | COM NEW | 21,021 | $65,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 12,400 | $64,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 22,826 | $64,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 10,356 | $63,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 29,637 | $63,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 52,573 | $63,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 11,917 | $62,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 44,522 | $62,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 41,979 | $62,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 16,774 | $61,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 11,992 | $60,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 19,843 | $60,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 11,583 | $60,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 10,856 | $58,000 | thousands by filing date | |
| ALLIED GAMING & ENTRTNMNT IN | 019170109 | COM | 20,241 | $58,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 32,019 | $58,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC | 25614T309 | COM NEW | 16,190 | $58,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 18,432 | $57,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 25,268 | $57,000 | thousands by filing date | |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 92,407 | $57,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 13,229 | $56,000 | thousands by filing date | |
| SENESTECH INC | 81720R208 | COM NEW | 33,853 | $56,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 11,509 | $55,000 | thousands by filing date | |
| SADOT GROUP INC | 627333107 | COM | 24,120 | $55,000 | thousands by filing date | |
| HISTOGEN INC | 43358Y103 | COM | 42,255 | $55,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314606 | COMMON | 18,204 | $54,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 27,439 | $54,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 17,954 | $54,000 | thousands by filing date | |
| SINTX TECHNOLOGIES INC | 829392307 | COM NEW | 29,138 | $54,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 39,186 | $54,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 26,555 | $52,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 41,720 | $52,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 14,467 | $51,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 16,543 | $51,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 18,840 | $51,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 23,826 | $51,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 18,879 | $51,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 10,054 | $50,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 25,000 | $50,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 13,308 | $50,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 24,846 | $50,000 | thousands by filing date | |
| AIKIDO PHARMA INC | 008875106 | COM | 44,191 | $50,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 66,387 | $49,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 25,279 | $49,000 | thousands by filing date | |
| TIMBER PHARMACEUTICALS INC | 887080109 | COM | 24,120 | $49,000 | thousands by filing date | |
| COMSOVEREIGN HLDG CORP | 205650203 | COM NEW | 18,261 | $49,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 23,304 | $48,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 30,792 | $48,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 19,103 | $47,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J200 | COM | 25,619 | $47,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W501 | COM | 15,436 | $47,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 21,184 | $46,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 28,609 | $46,000 | thousands by filing date | |
| SONNET BIOTHERAPEUTC HLDNG I | 83548R105 | COM | 20,399 | $46,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 12,478 | $45,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 37,348 | $45,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 17,839 | $45,000 | thousands by filing date | |
| GREAT ELM GROUP INC COM NEW | 39037G109 | COM NEW | 18,238 | $44,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 44,159 | $44,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 46,684 | $44,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 10,604 | $43,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 11,069 | $43,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 26,613 | $43,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 19,278 | $42,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 11,238 | $41,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 12,706 | $40,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 15,129 | $39,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 25,817 | $39,000 | thousands by filing date | |
| LUMENT FINANCE TRUST INC | 55025L108 | COM | 10,742 | $38,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 10,446 | $38,000 | thousands by filing date | |
| Sigma Additive Solutions, Inc. | 826598500 | common | 10,264 | $38,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 14,811 | $37,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 1,043 | $36,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 11,690 | $36,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 14,563 | $36,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 13,773 | $35,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 27,820 | $34,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,380 | $33,000 | thousands by filing date | |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 14,713 | $33,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 11,245 | $32,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 29,127 | $32,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 20,296 | $31,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 14,281 | $30,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 21,457 | $30,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 41,552 | $28,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 24,803 | $27,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 19,794 | $27,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 13,588 | $25,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 14,217 | $24,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 14,685 | $19,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 16,001 | $17,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 13,706 | $15,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A168 | RIGHT 04/14/2021 | 53,000 | $6,000 | 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 |