13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 4,319 holding rows worth $106,490,483,000.
- Accession
- 0001403438-21-000005
- Filer
- CIK 1403438
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 4,319 entries on the cover page, a total value of $106,490,483,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $106,490,483,000 with VALUE read as thousands by filing date, 13F file number 028-12526. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 89,073 | $192,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 93,176 | $191,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 16,817 | $190,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 72,060 | $190,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 11,824 | $189,000 | thousands by filing date | |
| COSAN S A ADS | 22113B103 | ADR | 11,198 | $188,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 37,394 | $187,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 10,533 | $187,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 178,500 | $187,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 18,950 | $186,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 12,614 | $185,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 17,989 | $184,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 10,325 | $183,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 28,191 | $183,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,939 | $182,000 | thousands by filing date | |
| PROTERRA INC | 74374T109 | COM | 18,031 | $182,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 23,746 | $182,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 66,076 | $182,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 10,120 | $181,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 12,305 | $180,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 26,147 | $180,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 11,073 | $179,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 16,273 | $179,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 18,613 | $178,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 16,556 | $177,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 12,062 | $176,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 10,103 | $176,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 26,590 | $175,000 | thousands by filing date | |
| ZEPP HEALTH CORPORATION SPONSORED ADR | 98945L105 | ADR | 21,851 | $175,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 10,257 | $174,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 34,310 | $174,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 17,072 | $172,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 32,694 | $172,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 41,900 | $171,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 33,478 | $171,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 10,044 | $170,000 | thousands by filing date | |
| VINTAGE WINE ESTATES INC | 92747V106 | COM | 16,650 | $170,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 17,043 | $169,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,581 | $168,000 | thousands by filing date | |
| 1Stdibs.Com Inc | 320551104 | COM | 13,557 | $168,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 10,389 | $165,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 36,503 | $163,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 98,043 | $163,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 12,099 | $162,000 | thousands by filing date | |
| KIROMIC BIOPHARMA INC | 497634105 | COM | 52,800 | $162,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,253 | $161,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 19,311 | $161,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 14,943 | $160,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 53,620 | $159,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 22,499 | $158,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 17,971 | $158,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 14,379 | $158,000 | thousands by filing date | |
| IG ACQUISITION CORP | 449534106 | COM CL A | 16,170 | $158,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 41,736 | $157,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 10,813 | $156,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 15,435 | $155,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 11,769 | $154,000 | thousands by filing date | |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 17,865 | $153,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,190 | $152,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 46,890 | $152,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 28,132 | $148,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 10,080 | $147,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 10,858 | $146,000 | thousands by filing date | |
| FAST ACQUISITION CORP. CMN | 311875108 | COM | 11,498 | $146,000 | thousands by filing date | |
| AUTOSCOPE TECHNOLOGIES CORP | 053306106 | com | 19,632 | $145,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 59,450 | $144,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 24,177 | $143,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 210,661 | $143,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 22,797 | $140,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 29,415 | $139,000 | thousands by filing date | |
| CIPHER DIGITAL INC COM | 17253J106 | Stock | 13,466 | $139,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 14,133 | $139,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 22,220 | $138,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 10,220 | $138,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 14,342 | $137,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 17,155 | $137,000 | thousands by filing date | |
| METROMILE INC | 591697107 | COM | 38,228 | $136,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 12,171 | $134,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 16,198 | $134,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 39,334 | $133,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 33,860 | $133,000 | thousands by filing date | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 12,770 | $132,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 23,960 | $132,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 63,728 | $131,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 22,025 | $131,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 25,717 | $130,000 | thousands by filing date | |
| CONX CORP | 212873103 | WRNT | 13,150 | $129,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 19,643 | $128,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 124,412 | $127,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 36,942 | $126,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 17,143 | $125,000 | thousands by filing date | |
| E2OPEN PARENT HOLDINGS INC | 29788T103 | COM CL A | 11,050 | $125,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 13,003 | $125,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 12,600 | $124,000 | thousands by filing date | |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 11,686 | $123,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 33,698 | $123,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 28,026 | $122,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762107 | COM | 12,050 | $122,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 18,945 | $121,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 11,613 | $121,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 14,995 | $119,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 20,615 | $118,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 10,547 | $117,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 20,029 | $117,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 17,600 | $117,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 19,008 | $117,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 12,893 | $116,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 20,200 | $115,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 12,146 | $115,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 23,122 | $114,000 | thousands by filing date | |
| INNATE PHARMA S A | 45781K204 | SPONSORED ADS | 18,400 | $114,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 11,553 | $114,000 | thousands by filing date | |
| VY GLOBAL GROWTH | G9444H100 | CMN | 11,623 | $114,000 | thousands by filing date | |
| AST SPACEMOBILE INC COM CL A | 00217D100 | Stock | 10,471 | $113,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 10,011 | $113,000 | thousands by filing date | |
| ELECTRIC LAST MILE SOLUTCLASS A | 28489L104 | STOK | 15,260 | $113,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 39,385 | $111,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 13,967 | $110,000 | thousands by filing date | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 13,148 | $110,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 18,355 | $108,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 17,520 | $108,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 12,107 | $108,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 23,442 | $108,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 20,459 | $108,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 13,327 | $108,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 10,400 | $107,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,081 | $107,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 20,073 | $106,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 15,546 | $106,000 | thousands by filing date | |
| ATI PHYSICAL THERAPY INC | 00216W109 | COM CL A | 27,900 | $106,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 79,586 | $106,000 | thousands by filing date | |
| GAUCHO GROUP HLDGS INC COM NEW | 36809R206 | Stock | 34,667 | $106,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 10,487 | $105,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 16,575 | $105,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 12,728 | $104,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 34,228 | $104,000 | thousands by filing date | |
| OPUS GENETICS INC | 67577R102 | COMMON STOCK | 20,024 | $103,000 | thousands by filing date | |
| SEVEN OAKS ACQUISITION CORP | 81787X106 | COM CL A | 10,400 | $103,000 | thousands by filing date | |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 43,885 | $102,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 28,030 | $102,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 11,012 | $101,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 27,653 | $101,000 | thousands by filing date | |
| APPHARVEST INC | 03783T103 | COM | 15,539 | $101,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 16,401 | $100,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 23,415 | $100,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 48,500 | $100,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 10,316 | $100,000 | thousands by filing date | |
| VOLTA INC | 92873V102 | COM CL A | 11,440 | $99,000 | thousands by filing date | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 12,667 | $98,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 11,250 | $98,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 19,075 | $97,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 12,190 | $96,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 13,535 | $96,000 | thousands by filing date | |
| GOLD ROYALTY CORP | 38071H106 | COMMON SHARES | 18,953 | $95,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 11,275 | $95,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 12,510 | $94,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 11,508 | $94,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 14,070 | $94,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 12,821 | $94,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 25,568 | $93,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 10,976 | $92,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 33,434 | $92,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 22,825 | $92,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 40,720 | $92,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 13,000 | $92,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 14,248 | $91,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 15,479 | $91,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 12,853 | $91,000 | thousands by filing date | |
| DIGITAL BRANDS GROUP INC | 25401N101 | COM | 29,905 | $91,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 21,059 | $89,000 | thousands by filing date | |
| Humacyte Inc W Exp 08/27/202 | 44486Q111 | SPAC Combination | 30,000 | $87,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 33,407 | $86,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 41,183 | $86,000 | thousands by filing date | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 44,750 | $85,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 119,500 | $85,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 16,184 | $84,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 28,548 | $83,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 55,277 | $81,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 10,000 | $80,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 10,075 | $80,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 10,584 | $79,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L119 | *W EXP 12/16/202 | 49,300 | $79,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 36,500 | $78,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,163 | $78,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 18,873 | $76,000 | thousands by filing date | |
| CONTEXTLOGIC INC | 21077C107 | COMMON STOCK | 13,931 | $76,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 21,326 | $76,000 | thousands by filing date | |
| BITNILE METAVERSE INC | 27888N307 | CMN | 14,371 | $75,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 25,027 | $74,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 10,420 | $73,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 20,820 | $73,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,150 | $73,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 24,093 | $73,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 16,377 | $72,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 14,908 | $70,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 12,890 | $70,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,717 | $70,000 | thousands by filing date | |
| D-MARKET ELECTR SVCS TRY 0.2 | 23292B104 | SPONSORED ADS | 10,050 | $69,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 14,400 | $68,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 11,302 | $68,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 62,750 | $68,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 18,388 | $67,000 | thousands by filing date | |
| AUDACY INC | 05070N103 | COM | 18,249 | $67,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 28,206 | $64,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 27,157 | $62,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 10,500 | $62,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 10,100 | $62,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 14,967 | $61,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 11,131 | $61,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 15,000 | $61,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 34,650 | $60,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 39,800 | $60,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 10,000 | $59,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 45,720 | $59,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 10,151 | $58,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 19,640 | $58,000 | thousands by filing date | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 28,000 | $58,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 16,060 | $57,000 | thousands by filing date | |
| ANGEL OAK FINL STRATEGIES IN | 03464A118 | RIGHT 10/14/2021 | 266,028 | $57,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,000 | $56,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 47,000 | $56,000 | thousands by filing date | principal |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 15,938 | $54,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 17,000 | $54,000 | thousands by filing date | |
| LEGATO MERGER CORP | 52473X114 | *W EXP 12/31/202 | 21,450 | $54,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 10,880 | $52,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 22,621 | $52,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $51,000 | thousands by filing date | principal |
| IDEANOMICS INC | 45166V106 | COM | 25,575 | $50,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $50,000 | thousands by filing date | principal |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 17,897 | $49,000 | thousands by filing date | |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 50,000 | $49,000 | thousands by filing date | principal |
| MCEWEN MNG INC | 58039P107 | COM | 45,297 | $47,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 17,450 | $46,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 10,600 | $45,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 43,819 | $45,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 77,061 | $45,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 15,709 | $44,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 21,650 | $44,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 20,489 | $43,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,758 | $42,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 16,741 | $42,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,843 | $42,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 58,700 | $42,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 27,109 | $41,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 12,159 | $41,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 12,480 | $40,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 13,016 | $40,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 21,608 | $40,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 36,353 | $39,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 26,110 | $39,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 85,040 | $38,000 | thousands by filing date | |
| FUTURE FINTECH GROUP INC | 36117V105 | COM PAR | 18,025 | $38,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 29,501 | $36,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 11,148 | $35,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 44,000 | $35,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 14,520 | $34,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 48,000 | $34,000 | thousands by filing date | principal |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 10,727 | $34,000 | thousands by filing date | |
| SOC TELEMED | 78472F101 | COM | 15,201 | $34,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 23,716 | $33,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 16,482 | $33,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,000 | $32,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 24,150 | $32,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 47,300 | $31,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 14,382 | $30,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 30,000 | $30,000 | thousands by filing date | principal |
| EDGIO INC | 53261M104 | COM | 12,292 | $29,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 13,530 | $28,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 23,095 | $28,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 30,550 | $28,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 30,000 | $27,000 | thousands by filing date | principal |
| THERAPEUTICSMD INC | 88338N107 | COM | 34,945 | $26,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,182 | $26,000 | thousands by filing date | |
| CYBIN INC | 23256X100 | COM | 11,800 | $26,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 18,075 | $25,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 10,000 | $25,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,796 | $25,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 26,344 | $25,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $23,000 | thousands by filing date | principal |
| TANZANIAN GOLD CORP | 87601A107 | COM | 46,032 | $23,000 | thousands by filing date | |
| AXE COMPUTE INC COM NEW | 74039M200 | Stock | 16,750 | $22,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 10,524 | $22,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 10,911 | $21,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 22,571 | $21,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 43,000 | $20,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 15,200 | $20,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 13,000 | $19,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $18,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $18,000 | thousands by filing date | principal |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 10,000 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $17,000 | thousands by filing date | principal |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 11,000 | $17,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 15,300 | $17,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 20,000 | $16,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 30,958 | $16,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15,000 | $16,000 | thousands by filing date | principal |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 11,850 | $16,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 10,500 | $16,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $16,000 | thousands by filing date | principal |
| THERATECHNOLOGIES INC | 88338HAA8 | NOTE 5.750% 6/3 | 18,000 | $16,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $15,000 | thousands by filing date | principal |
| DYNATRONICS CORP | 268157401 | COM NEW | 10,000 | $15,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $15,000 | thousands by filing date | principal |
| CHECK CAP LTD | M2361E203 | SHS | 17,143 | $15,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $14,000 | thousands by filing date | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $14,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 13,010 | $14,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 14,000 | $13,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 13,000 | $13,000 | thousands by filing date | principal |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 16,012 | $12,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $12,000 | thousands by filing date | principal |
| FARMMI INC SHS NEW | G33277107 | Stock | 25,000 | $12,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 12,023 | $12,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 12,000 | $12,000 | thousands by filing date | principal |
| ROCKWELL MED INC | 774374102 | COM | 17,960 | $11,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 17,200 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,425 | $7,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 10,025 | $5,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 10,005 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-21-000005 | this filing | 2021-11-15 | acceptance time not in the bulk data set |