13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2022-09-30, filed 2022-11-14, with 4,416 holding rows worth $103,648,617,000.
- Accession
- 0001403438-22-000005
- Filer
- CIK 1403438
- Filed
- 2022-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A holdings report, 4,416 entries on the cover page, a total value of $103,648,617,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $103,648,617,000 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 |
|---|---|---|---|---|---|---|
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 10,274 | $165,000 | thousands by filing date | |
| TATTOOED CHEF INC | 87663X102 | COM | 33,036 | $165,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 19,410 | $164,000 | thousands by filing date | |
| HARBOR ETF TRUST | 41151J703 | DIVIDEND GTH LEA | 14,525 | $164,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 10,208 | $164,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 10,907 | $164,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 10,661 | $164,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 20,000 | $163,000 | thousands by filing date | call |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 27,375 | $162,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 12,301 | $159,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 56,096 | $159,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 12,590 | $157,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 113,270 | $156,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 13,572 | $154,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 15,713 | $154,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 66,114 | $154,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 13,872 | $153,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 17,046 | $151,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 21,388 | $151,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 23,852 | $151,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 12,171 | $149,000 | thousands by filing date | |
| AGILITI INC | 00848J104 | COMMON STOCK | 10,417 | $149,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 31,992 | $147,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 12,316 | $147,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X301 | COM NEW | 17,795 | $146,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 11,082 | $146,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 14,182 | $144,000 | thousands by filing date | |
| PLAYSTUDIOS INC | 72815G108 | CLASS A COM | 41,253 | $144,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 23,049 | $144,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 10,005 | $143,000 | thousands by filing date | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 24,134 | $143,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 12,996 | $143,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 16,153 | $143,000 | thousands by filing date | |
| ALGOMA STL GROUP INC | 015658107 | COM | 22,215 | $143,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 28,450 | $143,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 15,074 | $142,000 | thousands by filing date | |
| OLO INC | 68134L109 | COMMON STOCK | 18,022 | $142,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 15,066 | $141,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 11,309 | $140,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 10,286 | $139,000 | thousands by filing date | |
| DOUGLAS ELLIMAN INC | 25961D105 | COM | 33,082 | $136,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 13,807 | $136,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 10,469 | $135,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 11,189 | $135,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 23,339 | $135,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,817 | $135,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 14,217 | $134,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 14,760 | $134,000 | thousands by filing date | |
| ACCOLADE INC | 00437E102 | COM | 11,747 | $134,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 29,883 | $134,000 | thousands by filing date | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 12,355 | $133,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 13,550 | $133,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 48,958 | $131,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 16,434 | $131,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 26,294 | $129,000 | thousands by filing date | |
| PRIMO WATER CORPORATION | 74167P108 | COM | 10,256 | $129,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 42,480 | $128,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 36,373 | $127,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 20,495 | $127,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 44,196 | $127,000 | thousands by filing date | |
| LUXEXPERIENCE BV | 55406W103 | SPONSORED ADS | 10,839 | $125,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 13,741 | $125,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 25,123 | $124,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 13,177 | $124,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 27,626 | $123,000 | thousands by filing date | |
| STRATA CRITICAL MEDICAL INC | 092667104 | CL A COM | 30,526 | $123,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 101,200 | $123,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 41,229 | $122,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 16,753 | $122,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L209 | COM NEW | 411,506 | $122,000 | thousands by filing date | |
| Vivani Medical Inc - US | 92854B109 | Equity | 52,528 | $120,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 14,722 | $120,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 134,459 | $120,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 41,993 | $119,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 32,996 | $119,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 97,341 | $119,000 | thousands by filing date | |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 19,315 | $117,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 33,288 | $117,000 | thousands by filing date | |
| VITA COCO CO INC | 92846Q107 | COM | 10,200 | $116,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 42,944 | $115,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 15,458 | $114,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 28,434 | $114,000 | thousands by filing date | |
| NEW YORK CITY REIT INC | 649439205 | COM | 35,183 | $114,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,891 | $114,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 16,928 | $113,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 25,712 | $110,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 16,582 | $110,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 19,553 | $109,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 21,888 | $108,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 39,619 | $108,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 54,392 | $108,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 41,950 | $108,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 46,892 | $107,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 46,127 | $107,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 19,997 | $107,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 56,202 | $105,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 11,500 | $105,000 | thousands by filing date | |
| PROTERRA INC | 74374T109 | COM | 20,896 | $104,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 146,716 | $104,000 | thousands by filing date | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 13,750 | $103,000 | thousands by filing date | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 21,346 | $103,000 | thousands by filing date | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 39,121 | $103,000 | thousands by filing date | |
| MFA FINL INC COM | 55272X607 | REIT | 13,119 | $102,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 20,448 | $102,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 15,417 | $101,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 27,803 | $101,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 62,073 | $101,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 138,841 | $101,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 21,190 | $100,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 35,828 | $100,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 28,402 | $99,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 34,540 | $99,000 | thousands by filing date | |
| MOBIQUITY TECHNOLOGIES INC | 60743F508 | COM | 84,600 | $98,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 10,086 | $97,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 22,273 | $97,000 | thousands by filing date | |
| PONCE FINANCIAL GROUP INC | 732344106 | COMMON STOCK | 10,535 | $97,000 | thousands by filing date | |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 100,000 | $97,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 13,170 | $96,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 26,458 | $96,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 14,458 | $95,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 72,801 | $95,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 10,519 | $94,000 | thousands by filing date | |
| CARPARTS COM INC | 14427M107 | COM | 18,215 | $94,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 46,118 | $93,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 22,957 | $93,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 91,600 | $93,000 | thousands by filing date | |
| AMPRIUS TECHNOLOGIES INC COMMON STOCK | 03214Q108 | Stock | 10,000 | $92,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 19,093 | $92,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 13,005 | $91,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 10,244 | $91,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 52,950 | $91,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 25,034 | $90,000 | thousands by filing date | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 22,137 | $90,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 13,361 | $90,000 | thousands by filing date | |
| WHEELS UP EXPERIENCE I F | 96328L106 | Com | 78,097 | $90,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 10,619 | $89,000 | thousands by filing date | |
| HELLO GROUP INC ADS | 423403104 | ADR | 19,219 | $89,000 | thousands by filing date | |
| WEBER INC | 94770D102 | COM | 13,488 | $89,000 | thousands by filing date | |
| WALLBOX NV | N94209108 | SHS CL A | 11,205 | $88,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 11,760 | $88,000 | thousands by filing date | |
| BIT DIGITAL INC | G1144A105 | COMMON STOCK | 72,308 | $87,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 36,941 | $86,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 10,151 | $86,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,495 | $85,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 13,233 | $85,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 11,330 | $85,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 12,582 | $85,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 12,242 | $85,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 22,329 | $83,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 29,303 | $83,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 13,426 | $83,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 14,200 | $83,000 | thousands by filing date | |
| INDIE SEMICONDUCTOR INC | 45569U101 | CLASS A COM | 11,200 | $82,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 11,470 | $82,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 55,765 | $81,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 20,317 | $79,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 11,100 | $78,000 | thousands by filing date | call |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 12,787 | $78,000 | thousands by filing date | |
| HONEST CO INC | 438333106 | COM | 21,960 | $77,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 42,347 | $77,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 122,853 | $77,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 10,182 | $76,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q206 | COM NEW | 11,835 | $76,000 | thousands by filing date | |
| APPHARVEST INC | 03783T103 | COM | 38,654 | $76,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 87,409 | $75,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 62,500 | $74,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 10,637 | $74,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 75,000 | $74,000 | thousands by filing date | principal |
| W & T OFFSHORE INC | 92922P106 | COM | 12,447 | $73,000 | thousands by filing date | |
| SHARECARE INC | 81948W104 | COM | 38,312 | $73,000 | thousands by filing date | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 163,607 | $73,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 22,175 | $72,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 22,077 | $72,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 12,851 | $72,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 79,857 | $72,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 32,431 | $72,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 17,902 | $71,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 22,647 | $71,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 10,600 | $71,000 | thousands by filing date | |
| PYXIS TANKERS INC | Y71726130 | COM NEW | 18,100 | $70,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 32,571 | $69,000 | thousands by filing date | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 13,218 | $69,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 13,563 | $68,000 | thousands by filing date | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 16,720 | $68,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 28,615 | $68,000 | thousands by filing date | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 10,700 | $67,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 20,977 | $67,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 11,463 | $67,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 30,725 | $67,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 51,076 | $67,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 22,843 | $67,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 21,510 | $66,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 54,319 | $65,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 12,388 | $65,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 10,456 | $65,000 | thousands by filing date | |
| Ouster Inc | 68989M103 | COM | 67,504 | $65,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 31,086 | $64,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 22,000 | $64,000 | thousands by filing date | |
| MIND MEDICINE MINDMED INC | 60255C885 | COM NEW | 17,887 | $63,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 12,809 | $63,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 36,296 | $63,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 67,754 | $63,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 14,325 | $62,000 | thousands by filing date | |
| NATWEST GROUP PLC SPONS ADR | 639057207 | ADR | 12,180 | $61,000 | thousands by filing date | |
| PORCH GROUP INC | 733245104 | COM | 27,233 | $61,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 15,351 | $61,000 | thousands by filing date | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 11,487 | $60,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 13,950 | $59,000 | thousands by filing date | |
| NOUVEAU MONDE GRAPHITE INC | 66979W842 | COM NEW | 10,900 | $59,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,561 | $59,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 43,977 | $59,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 25,115 | $59,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 71,285 | $59,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 20,498 | $58,000 | thousands by filing date | |
| LILIUM N V | N52586109 | COM | 25,365 | $58,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 27,975 | $58,000 | thousands by filing date | |
| IONQ INC COM | 46222L108 | Stock | 11,077 | $56,000 | thousands by filing date | |
| MICROVAST HOLDINGS INC COM | 59516C106 | Stock | 30,761 | $56,000 | thousands by filing date | |
| OMEGA THERAPEUTICS INC | 68217N105 | COMMON STOCK | 10,392 | $56,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 12,324 | $55,000 | thousands by filing date | |
| GOLD ROYALTY CORP | 38071H106 | COMMON SHARES | 21,783 | $55,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 12,347 | $55,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 16,285 | $55,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 23,026 | $54,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 10,313 | $54,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 54,000 | $53,000 | thousands by filing date | principal |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 10,671 | $52,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 80,443 | $51,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 20,700 | $50,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 23,200 | $50,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 14,715 | $50,000 | thousands by filing date | |
| ARCHER AVIATION INC | 03945R102 | COM CL A | 18,606 | $49,000 | thousands by filing date | |
| SNDL INC | 83307B101 | COM | 22,354 | $49,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L107 | ORD | 35,516 | $49,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 17,587 | $48,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 13,760 | $48,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 50,000 | $48,000 | thousands by filing date | principal |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 35,807 | $47,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 78,438 | $47,000 | thousands by filing date | |
| SUPER GROUP SGHC LIMITED | G8588X103 | ORD SHS | 11,350 | $46,000 | thousands by filing date | |
| Tscan Therapeutics Inc | 89854M101 | COM | 15,000 | $46,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 21,668 | $46,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAD5 | BOND | 50,000 | $46,000 | thousands by filing date | principal |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 43,100 | $46,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 15,077 | $45,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 11,490 | $44,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 63,054 | $44,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 50,000 | $44,000 | thousands by filing date | principal |
| Pagaya Technologies Ltd. | M7S64L115 | CL A | 24,000 | $43,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 16,160 | $43,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 46,576 | $43,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 14,890 | $43,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 11,614 | $42,000 | thousands by filing date | |
| VERIFYME INC | 92346X206 | COM NEW | 32,831 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 38,219 | $41,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 20,202 | $41,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 104,591 | $41,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,405 | $40,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 36,897 | $40,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 25,784 | $40,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 18,724 | $40,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 14,365 | $39,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 10,541 | $39,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 16,073 | $38,000 | thousands by filing date | |
| Coupa Software | 22266LAF3 | CONV BOND | 50,000 | $38,000 | thousands by filing date | principal |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 29,590 | $38,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 20,714 | $38,000 | thousands by filing date | |
| Cango Inc/KY | 137586103 | ADS | 16,110 | $37,000 | thousands by filing date | |
| Allbirds Inc | 01675A109 | COM | 12,175 | $37,000 | thousands by filing date | |
| BERKSHIRE GREY INC | 084656107 | COM | 21,911 | $37,000 | thousands by filing date | |
| LOCAL BOUNTI CORP | 53960E106 | COM | 13,100 | $37,000 | thousands by filing date | |
| MOMENTUS INC | 60879E101 | COM | 26,676 | $37,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 34,000 | $36,000 | thousands by filing date | |
| ATERIAN INC | 02156U101 | COM | 28,963 | $36,000 | thousands by filing date | |
| NEXTNAV INC | 65345N106 | COMMON STOCK | 12,700 | $34,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 10,646 | $34,000 | thousands by filing date | |
| VACASA INC | 91854V107 | COM | 11,050 | $34,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 33,472 | $34,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 20,035 | $33,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 28,305 | $33,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 13,230 | $33,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 18,485 | $33,000 | thousands by filing date | |
| ZEPP HEALTH CORPORATION SPONSORED ADR | 98945L105 | ADR | 23,153 | $32,000 | thousands by filing date | |
| VINCO VENTURES INC | 927330100 | COM | 34,110 | $32,000 | thousands by filing date | |
| EARGO INC | 270087109 | COM | 30,375 | $32,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 20,000 | $31,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 34,848 | $31,000 | thousands by filing date | |
| EVOLV TECHNOLOGIES HLDNGS IN | 30049H102 | COM CL A | 14,526 | $31,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 12,000 | $31,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,369 | $29,000 | thousands by filing date | |
| HYDROFARMS HLDGS GROUP INC | 44888K209 | COM | 14,699 | $29,000 | thousands by filing date | |
| VOLTA INC | 92873V102 | COM CL A | 23,884 | $29,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 47,000 | $29,000 | thousands by filing date | |
| ATI PHYSICAL THERAPY INC | 00216W109 | COM CL A | 27,500 | $28,000 | thousands by filing date | |
| ALTERYX INC | 02156BAF0 | BOND | 35,000 | $28,000 | thousands by filing date | principal |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 11,195 | $28,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 10,975 | $28,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 62,750 | $28,000 | thousands by filing date | |
| THE REAL BROKERAGE INC | 75585H206 | COM NEW | 18,950 | $27,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 29,418 | $26,000 | thousands by filing date | |
| BIOVIE INC | 09074F207 | COM | 10,000 | $25,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 153,478 | $25,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 15,913 | $24,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 11,370 | $24,000 | thousands by filing date | |
| COMPASS INC | 20464U100 | CL A | 10,187 | $24,000 | thousands by filing date | |
| D-MARKET ELECTR SVCS TRY 0.2 | 23292B104 | SPONSORED ADS | 25,140 | $24,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 10,570 | $24,000 | thousands by filing date | |
| FEMASYS INC | 31447E105 | cs | 21,032 | $24,000 | thousands by filing date | |
| VALENS COMPANY INC-NEW | 91914P603 | COM NEW | 35,681 | $24,000 | thousands by filing date | |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 25,000 | $24,000 | thousands by filing date | principal |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 56,297 | $24,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 27,625 | $24,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 23,470 | $23,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 15,586 | $23,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 43,000 | $23,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 24,461 | $23,000 | thousands by filing date | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 14,400 | $22,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 18,320 | $22,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 13,687 | $22,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 14,095 | $22,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 16,855 | $21,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 12,402 | $21,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,600 | $21,000 | thousands by filing date | |
| BRIGHT HEALTH GROUP INC | 10920V107 | COM | 20,445 | $21,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 11,050 | $21,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 11,190 | $20,000 | thousands by filing date | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 13,169 | $20,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 30,400 | $20,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 16,512 | $20,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 16,069 | $20,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $20,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 20,000 | $20,000 | thousands by filing date | principal |
| CIPHER DIGITAL INC COM | 17253J106 | Stock | 15,216 | $19,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 10,890 | $19,000 | thousands by filing date | |
| TRX GOLD CORPORATION | 87283P109 | COM | 49,382 | $19,000 | thousands by filing date | |
| AEVA TECHNOLOGIES INC | 00835Q103 | COM | 10,013 | $19,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 24,682 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $19,000 | thousands by filing date | principal |
| CYCLO THERAPEUTICS INC | 23254X201 | Common Stock | 10,080 | $19,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 20,049 | $18,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 13,159 | $18,000 | thousands by filing date | |
| LOANDEPOT INC | 53946R106 | COM CL A | 12,767 | $17,000 | thousands by filing date | |
| CURIOSITYSTREAM INC | 23130Q107 | COMMON STOCK | 11,750 | $17,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 14,133 | $17,000 | thousands by filing date | |
| NUVVE HOLDING CORP | 67079Y100 | COMMON STOCK | 12,091 | $17,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 113,256 | $17,000 | thousands by filing date | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 35,000 | $17,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $16,000 | thousands by filing date | principal |
| THERATECHNOLOGIES INC | 88338HAA8 | NOTE 5.750% 6/3 | 18,000 | $16,000 | thousands by filing date | principal |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 13,000 | $15,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $15,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 55,750 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 33,000 | $14,000 | thousands by filing date | principal |
| VROOM INC | 92918V109 | COM | 12,068 | $14,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,093 | $14,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 88,892 | $14,000 | thousands by filing date | |
| Algoma Stl Group Inc W Exp 10/19/202 | 015658115 | SPAC Combination | 13,500 | $13,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 12,678 | $13,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $13,000 | thousands by filing date | principal |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 10,527 | $13,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 15,000 | $13,000 | thousands by filing date | principal |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,090 | $12,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 54,720 | $12,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 14,169 | $12,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382T101 | COM | 26,795 | $12,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 11,589 | $11,000 | thousands by filing date | |
| ARRIVAL GROUP | L0423Q108 | SHS | 13,826 | $11,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 10,900 | $11,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 10,243 | $11,000 | thousands by filing date | |
| ASTRA SPACE INC | 04634X103 | COM CL A | 18,810 | $11,000 | thousands by filing date | |
| CENNTRO ELECTRIC GROUP LIMIT | Q6519V120 | COM | 10,259 | $11,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15,000 | $10,000 | thousands by filing date | principal |
| CONTEXTLOGIC INC | 21077C107 | COMMON STOCK | 13,180 | $10,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAM3 | NOTE 0.625%10/0 | 15,000 | $10,000 | thousands by filing date | principal |
| MULLEN AUTOMOTIVE INC | 62526P109 | COM | 30,316 | $10,000 | thousands by filing date | |
| ENTHUSIAST GAMING HLDGS INC | 29385B109 | COM | 11,950 | $10,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 19,519 | $9,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 12,563 | $9,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 15,982 | $9,000 | thousands by filing date | |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 16,045 | $9,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 12,050 | $8,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 13,144 | $8,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 28,635 | $8,000 | thousands by filing date | |
| AUDACY INC | 05070N103 | COM | 20,249 | $8,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 12,793 | $7,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 14,320 | $7,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 10,000 | $7,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,100 | $6,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 10,000 | $6,000 | thousands by filing date | principal |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 20,250 | $6,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 11,479 | $6,000 | thousands by filing date | |
| DOMA HOLDINGS INC | 25703A104 | COM | 13,150 | $6,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C607 | COM | 37,968 | $6,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 25,558 | $5,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 32,000 | $5,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 10,000 | $5,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 12,650 | $5,000 | thousands by filing date | |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 45,278 | $5,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 25,650 | $5,000 | thousands by filing date | |
| ROMEO POWER INC | 776153108 | COM | 10,347 | $4,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 17,312 | $4,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,064 | $4,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 59,879 | $4,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 20,000 | $4,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M508 | COM | 20,000 | $4,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 29,471 | $3,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 24,115 | $3,000 | thousands by filing date | |
| DIGITAL BRANDS GROUP INC | 25401N101 | COM | 29,905 | $3,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 37,361 | $3,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 12,230 | $2,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,400 | $2,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 13,692 | $2,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 10,023 | $2,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD I | 09255L114 | RIGHT 10/13/2022 | 419,358 | $1,000 | thousands by filing date | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $1,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 81,143 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-22-000005 | this filing | 2022-11-14 | acceptance time not in the bulk data set |