13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2023-03-31, filed 2023-05-10, with 4,482 holding rows worth $128,471,678,308.
- Accession
- 0001403438-23-000004
- Filer
- CIK 1403438
- Filed
- 2023-05-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2023
A holdings report, 4,482 entries on the cover page, a total value of $128,471,678,308 stated on the cover page (in dollars after the unit check, H1), rows summing to $128,471,678,308 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| TWO RDS SHARED TR | 90214Q584 | CONDCTR GBL EQTY | 15,957 | $211,911 | dollars as filed | |
| MIMEDX GROUP INC | 602496101 | COM | 62,135 | $211,880 | dollars as filed | |
| BLACKROCK ETF TRUST | 09290C103 | ISHARES US EQUIT | 6,526 | $211,508 | dollars as filed | |
| HNI CORP COM | 404251100 | Stock | 7,584 | $211,136 | dollars as filed | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 37,416 | $210,465 | dollars as filed | |
| UPHEALTH INC | 91532B200 | COM | 141,147 | $210,309 | dollars as filed | |
| GREIF INC | 397624206 | CL B | 2,747 | $210,200 | dollars as filed | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 6,651 | $210,039 | dollars as filed | |
| TRUST FOR PRFSSNL ETF MANAGERS CONVERGENCE LONG/SHORT EQUITY | 89834G760 | ETF | 13,850 | $209,964 | dollars as filed | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 6,737 | $209,115 | dollars as filed | |
| VICTORIAS SECRET AND CO COMMON STOCK | 926400102 | Stock | 6,123 | $209,100 | dollars as filed | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 26,739 | $208,835 | dollars as filed | |
| WARNER MUSIC GROUP CORP | 934550203 | COM CL A | 6,252 | $208,640 | dollars as filed | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 9,713 | $207,660 | dollars as filed | |
| CUSHING NEXTGEN INFRASTRUCTURE | 231647207 | COM | 5,661 | $207,589 | dollars as filed | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 4,792 | $207,254 | dollars as filed | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 6,119 | $207,201 | dollars as filed | |
| ETF SER SOLUTIONS | 26922A826 | RANGE CANCER THE | 17,279 | $207,162 | dollars as filed | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 8,308 | $206,949 | dollars as filed | |
| FIRST TR EXCHNG TRADED FD VI | 33740F649 | FT VEST NAS | 9,956 | $206,487 | dollars as filed | |
| TEUCRIUM COMMODITY TR | 88166A706 | AGRICULTURE FD | 6,645 | $206,261 | dollars as filed | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 4,883 | $206,258 | dollars as filed | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 4,535 | $205,575 | dollars as filed | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 24,780 | $204,931 | dollars as filed | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 6,989 | $204,838 | dollars as filed | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,338 | $204,404 | dollars as filed | |
| VTI | 922908769 | COM | 1,000 | $204,100 | dollars as filed | put |
| UMB FINL CORP | 902788108 | COM | 3,535 | $204,075 | dollars as filed | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 27,574 | $203,774 | dollars as filed | |
| SYNAPTICS INC COM | 87157D109 | Stock | 1,831 | $203,516 | dollars as filed | |
| CONMED CORP COM | 207410101 | Stock | 1,957 | $203,295 | dollars as filed | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 24,546 | $203,241 | dollars as filed | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 205,626 | $203,116 | dollars as filed | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 38,643 | $202,877 | dollars as filed | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 88,187 | $202,830 | dollars as filed | |
| STELLUS CAP INVT CORP | 858568108 | COM | 14,383 | $202,650 | dollars as filed | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 12,749 | $202,458 | dollars as filed | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 11,050 | $201,994 | dollars as filed | |
| INNOVATOR ETFS TR ETF S&P 500 ULTRA BUFFER ETF FEBRUARY | 45782C425 | ETF | 7,611 | $201,994 | dollars as filed | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 10,361 | $201,314 | dollars as filed | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 1,898 | $201,188 | dollars as filed | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 9,768 | $200,974 | dollars as filed | |
| MOBILEYE GLOBAL INC | 60741F104 | COMMON CLASS A | 4,644 | $200,946 | dollars as filed | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 30,119 | $200,894 | dollars as filed | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 11,893 | $200,754 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 9,052 | $200,683 | dollars as filed | |
| OIL STS INTL INC | 678026105 | COM | 24,030 | $200,170 | dollars as filed | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 826 | $200,107 | dollars as filed | |
| STERLING CHECK CORP | 85917T109 | COM | 17,937 | $199,998 | dollars as filed | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 50,083 | $198,331 | dollars as filed | |
| THOUGHTWORKS HOLDING INC | 88546E105 | COM | 26,928 | $198,190 | dollars as filed | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 18,434 | $198,165 | dollars as filed | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 12,050 | $197,861 | dollars as filed | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 29,319 | $197,026 | dollars as filed | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 15,133 | $196,880 | dollars as filed | |
| UNITI GROUP INC | 91325V108 | COM | 55,017 | $195,310 | dollars as filed | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 130,041 | $195,062 | dollars as filed | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 20,695 | $194,533 | dollars as filed | |
| BIG LOTS INC | 089302103 | COM | 17,627 | $193,197 | dollars as filed | |
| VITESSE ENERGY INC COMMON STOCK | 92852X103 | Stock | 10,115 | $192,486 | dollars as filed | |
| GEO GROUP INC NEW | 36162J106 | COM | 24,234 | $191,206 | dollars as filed | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 57,638 | $189,629 | dollars as filed | |
| CRESCENT ENERGY COMPANY CL A COM | 44952J104 | Stock | 16,755 | $189,498 | dollars as filed | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 15,870 | $189,168 | dollars as filed | |
| COHEN & STEERS REAL ESTATE O | 19249Q103 | SHS BENFIN INT | 14,115 | $189,141 | dollars as filed | |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 101,324 | $187,449 | dollars as filed | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 15,962 | $186,756 | dollars as filed | |
| MFA FINL INC COM | 55272X607 | REIT | 18,779 | $186,289 | dollars as filed | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 12,307 | $186,211 | dollars as filed | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 59,567 | $182,871 | dollars as filed | |
| NUSCALE PWR CORP CL A COM | 67079K100 | Stock | 20,096 | $182,673 | dollars as filed | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 18,569 | $182,162 | dollars as filed | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 16,024 | $181,875 | dollars as filed | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 13,500 | $181,575 | dollars as filed | call |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 10,763 | $181,074 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 13,704 | $180,480 | dollars as filed | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 23,795 | $180,130 | dollars as filed | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 22,642 | $180,004 | dollars as filed | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 16,901 | $179,828 | dollars as filed | |
| XOMETRY INC | 98423F109 | CLASS A COM | 12,001 | $179,655 | dollars as filed | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 16,703 | $178,216 | dollars as filed | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 11,094 | $177,726 | dollars as filed | |
| ZYNEX INC | 98986M103 | COM | 14,760 | $177,120 | dollars as filed | |
| NLIGHT INC | 65487K100 | COM | 17,221 | $175,310 | dollars as filed | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 10,041 | $174,814 | dollars as filed | |
| ACCOLADE INC | 00437E102 | COM | 12,098 | $173,969 | dollars as filed | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 13,713 | $173,329 | dollars as filed | |
| DIREXION SHS ETF TR | 25460G732 | MOONSHOT INNOVAT | 14,630 | $173,086 | dollars as filed | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 11,610 | $171,712 | dollars as filed | |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 27,448 | $171,550 | dollars as filed | |
| NULL | 032108854 | NULL | 40,730 | $171,489 | dollars as filed | |
| BANDWIDTH INC | 05988J103 | COM CL A | 11,214 | $170,449 | dollars as filed | |
| DEFINITIVE HEALTHCARE CORP | 24477E103 | CLASS A COM | 16,500 | $170,445 | dollars as filed | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 37,619 | $167,405 | dollars as filed | |
| FORAFRIC GLOBAL PLC | X3R81D102 | COMMON STOCK | 15,000 | $167,250 | dollars as filed | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 52,407 | $166,653 | dollars as filed | |
| NEUBERGER BERMAN NEXT GENERA | 64133Q108 | COMMON STOCK | 15,933 | $165,857 | dollars as filed | |
| COSTAMARE INC | Y1771G102 | SHS | 17,589 | $165,515 | dollars as filed | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 21,382 | $164,426 | dollars as filed | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 13,603 | $164,329 | dollars as filed | |
| NEWMARK GROUP INC | 65158N102 | CL A | 22,942 | $162,427 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 83,352 | $161,703 | dollars as filed | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 18,279 | $161,037 | dollars as filed | |
| BGC PARTNERS INC | 05541T101 | CL A | 30,752 | $160,831 | dollars as filed | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 11,819 | $159,438 | dollars as filed | |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 25,340 | $159,135 | dollars as filed | |
| DASEKE INC | 23753F107 | COM | 20,558 | $158,913 | dollars as filed | |
| DENNYS CORP | 24869P104 | COM | 14,177 | $158,215 | dollars as filed | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 34,641 | $156,576 | dollars as filed | |
| VANECK SOCIAL SENTIMENT ETF | 92189H839 | UIT EXCHANGE TRADED | 10,486 | $156,403 | dollars as filed | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 39,167 | $156,276 | dollars as filed | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 10,825 | $155,839 | dollars as filed | |
| AGENUS INC | 00847G705 | COM NEW | 102,310 | $155,511 | dollars as filed | |
| OLO INC | 68134L109 | COMMON STOCK | 19,045 | $155,407 | dollars as filed | |
| BERKELEY LTS INC | 084310101 | COM | 133,711 | $155,105 | dollars as filed | |
| GRAHAM CORP | 384556106 | COM | 11,850 | $154,998 | dollars as filed | |
| SASOL LTD | 803866300 | SPONSORED ADR | 11,199 | $152,873 | dollars as filed | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 15,454 | $152,684 | dollars as filed | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 16,612 | $152,665 | dollars as filed | |
| SUNOPTA INC | 8676EP108 | COM | 19,807 | $152,514 | dollars as filed | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 14,521 | $152,469 | dollars as filed | |
| MAGNITE INC COM | 55955D100 | Stock | 16,329 | $151,207 | dollars as filed | |
| NORTHERN LTS FD TR IV | 66538H179 | CMN | 11,363 | $150,446 | dollars as filed | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 15,019 | $147,336 | dollars as filed | |
| AMERICAN LITHIUM CORP COM | 027259209 | COM | 63,320 | $146,269 | dollars as filed | |
| REGENETP INC XXX | 731094207 | COM | 289,889 | $146,104 | dollars as filed | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 82,738 | $144,792 | dollars as filed | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 21,163 | $144,754 | dollars as filed | |
| MERCER INTL INC | 588056101 | COM | 14,761 | $144,290 | dollars as filed | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,510 | $144,132 | dollars as filed | |
| Humacyte Inc W Exp 08/27/202 | 44486Q111 | SPAC Combination | 239,457 | $143,674 | dollars as filed | |
| SABA CAPITAL INCOME & OPRNT | 78518H202 | SHS NEW | 17,627 | $143,657 | dollars as filed | |
| CENTURY ALUM CO | 156431108 | COM | 14,333 | $143,330 | dollars as filed | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 14,189 | $142,604 | dollars as filed | |
| PLAYSTUDIOS INC | 72815G108 | CLASS A COM | 38,578 | $142,353 | dollars as filed | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 18,507 | $142,131 | dollars as filed | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 15,450 | $141,522 | dollars as filed | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 17,120 | $140,726 | dollars as filed | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 15,427 | $138,537 | dollars as filed | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 17,082 | $138,364 | dollars as filed | |
| DUN & BRADSTREET HLDGS INC | 26484T106 | COM | 11,744 | $137,875 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 60,130 | $137,096 | dollars as filed | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 10,804 | $136,887 | dollars as filed | |
| PIONEER MUN HIGH INCOME OPPO | 723760104 | COMMON STOCK | 12,524 | $136,758 | dollars as filed | |
| 2U INC | 90214J101 | COM | 19,902 | $136,325 | dollars as filed | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 32,974 | $135,193 | dollars as filed | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 13,564 | $134,691 | dollars as filed | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 171,459 | $134,595 | dollars as filed | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 24,026 | $132,383 | dollars as filed | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 51,950 | $131,953 | dollars as filed | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 10,790 | $131,745 | dollars as filed | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 20,239 | $131,348 | dollars as filed | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 25,006 | $131,282 | dollars as filed | |
| JANUS INTERNATIONAL GROUP IN | 47103N106 | COMMON STOCK | 13,285 | $130,990 | dollars as filed | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 17,954 | $130,705 | dollars as filed | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 13,467 | $129,145 | dollars as filed | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 30,883 | $128,782 | dollars as filed | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,712 | $127,466 | dollars as filed | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 10,577 | $126,818 | dollars as filed | |
| SES AI CORPORATION | 78397Q109 | CL A COM | 42,815 | $126,304 | dollars as filed | |
| FUELCELL ENERGY INC | 35952H601 | COM | 44,028 | $125,478 | dollars as filed | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 63,494 | $125,083 | dollars as filed | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 17,793 | $124,551 | dollars as filed | |
| GARRETT MOTION INC | 366505105 | COM | 16,108 | $123,384 | dollars as filed | |
| PCM FD INC | 69323T101 | COM | 14,642 | $123,284 | dollars as filed | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 21,945 | $122,231 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC COMMON STOCK | 03214Q108 | Stock | 14,000 | $121,940 | dollars as filed | |
| NUVEEN GA DIVID | 67072B107 | COM | 11,971 | $121,745 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 145,984 | $121,167 | dollars as filed | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 40,186 | $120,960 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 60,629 | $120,045 | dollars as filed | |
| DIGITALBRIDGE GROUP INC | 25401T603 | CL A NEW | 10,000 | $119,900 | dollars as filed | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,507 | $119,562 | dollars as filed | |
| ASSERTIO HOLDINGS INC | 04546C205 | COM NEW | 18,416 | $117,310 | dollars as filed | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 68,175 | $117,261 | dollars as filed | |
| Berry Corp | 08579X101 | Common Stock | 14,879 | $116,803 | dollars as filed | |
| READY CAPITAL CORP | 75574U101 | COM | 11,422 | $116,159 | dollars as filed | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 15,902 | $115,928 | dollars as filed | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 16,338 | $115,180 | dollars as filed | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 18,891 | $114,479 | dollars as filed | |
| OMNIAB INC | 68218J103 | COM | 30,662 | $112,836 | dollars as filed | |
| AST SPACEMOBILE INC COM CL A | 00217D100 | Stock | 22,081 | $112,171 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 92,368 | $111,765 | dollars as filed | |
| HOPE BANCORP INC | 43940T109 | COM | 11,371 | $111,663 | dollars as filed | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 12,833 | $111,647 | dollars as filed | |
| ANGI INC CLASS A | 00183L102 | CL A | 49,081 | $111,414 | dollars as filed | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 13,662 | $111,072 | dollars as filed | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 10,833 | $110,824 | dollars as filed | |
| TCW CONV SECS FD INC | 872340104 | COM | 23,585 | $110,376 | dollars as filed | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 101,200 | $110,308 | dollars as filed | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 52,312 | $109,855 | dollars as filed | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 38,738 | $109,241 | dollars as filed | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 37,347 | $107,559 | dollars as filed | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 11,332 | $107,201 | dollars as filed | |
| CODEXIS INC | 192005106 | COM | 25,815 | $106,874 | dollars as filed | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 161,994 | $106,592 | dollars as filed | |
| NEW YORK MTG TR INC | 649604840 | COM | 10,620 | $105,773 | dollars as filed | |
| VERTEX ENERGY INC | 92534K107 | COM | 10,657 | $105,291 | dollars as filed | |
| INTERFACE INC | 458665304 | COM | 12,925 | $104,951 | dollars as filed | |
| NULL | 09071M205 | NULL | 117,710 | $104,350 | dollars as filed | |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 54,579 | $102,609 | dollars as filed | |
| STRATA CRITICAL MEDICAL INC | 092667104 | CL A COM | 30,328 | $102,509 | dollars as filed | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 12,432 | $101,072 | dollars as filed | |
| AMYRIS INC | 03236M200 | COM NEW | 73,570 | $100,055 | dollars as filed | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 13,005 | $99,748 | dollars as filed | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 23,110 | $99,373 | dollars as filed | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 31,206 | $98,611 | dollars as filed | |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 100,000 | $98,154 | dollars as filed | principal |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 12,276 | $97,840 | dollars as filed | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 12,651 | $97,791 | dollars as filed | |
| STITCH FIX INC | 860897107 | COM CL A | 19,119 | $97,698 | dollars as filed | |
| W & T OFFSHORE INC | 92922P106 | COM | 19,191 | $97,490 | dollars as filed | |
| NIKOLA CORP | 654110105 | COM | 80,226 | $97,074 | dollars as filed | |
| NEW GERMANY FD INC | 644465106 | COM | 10,646 | $96,772 | dollars as filed | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 19,723 | $96,445 | dollars as filed | |
| REDFIN CORP | 75737F108 | COM | 10,627 | $96,276 | dollars as filed | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 11,118 | $95,727 | dollars as filed | |
| HELLO GROUP INC ADS | 423403104 | ADR | 10,320 | $93,911 | dollars as filed | |
| FULL HSE RESORTS INC | 359678109 | COM | 12,851 | $92,913 | dollars as filed | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 16,781 | $92,296 | dollars as filed | |
| AGILE THERAPEUTICS INC | 00847L209 | COM NEW | 411,503 | $92,177 | dollars as filed | |
| TRUECAR INC | 89785L107 | COM | 40,000 | $92,000 | dollars as filed | |
| CI&T INC | G21307106 | CMN | 16,514 | $90,992 | dollars as filed | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 23,707 | $90,561 | dollars as filed | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 12,780 | $90,225 | dollars as filed | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 37,142 | $89,884 | dollars as filed | |
| RPC INC | 749660106 | COMMON STOCK | 11,645 | $89,550 | dollars as filed | |
| GOPRO INC | 38268T103 | CL A | 17,795 | $89,509 | dollars as filed | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 58,765 | $88,735 | dollars as filed | |
| Viewra, Inc | 92672L107 | COM | 25,254 | $87,379 | dollars as filed | |
| CAREMAX INC | 14171W103 | COM | 32,449 | $86,639 | dollars as filed | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 10,542 | $85,496 | dollars as filed | |
| Heritage Commerce Corp | 426927109 | Common Stock | 10,200 | $84,965 | dollars as filed | |
| DIANA SHIPPING INC | Y2066G104 | COM | 21,709 | $84,664 | dollars as filed | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 10,000 | $84,500 | dollars as filed | call |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 86,000 | $84,276 | dollars as filed | principal |
| POLYMET MNG CORP | 731916409 | COM | 39,183 | $84,243 | dollars as filed | |
| First Foundation Inc | 32026V104 | Common Stock | 11,281 | $84,046 | dollars as filed | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 18,825 | $83,582 | dollars as filed | |
| CORMEDIX INC COM | 21900C308 | Stock | 20,000 | $82,800 | dollars as filed | |
| PONCE FINANCIAL GROUP INC | 732344106 | COMMON STOCK | 10,535 | $82,700 | dollars as filed | |
| VUZIX CORP | 92921W300 | COM NEW | 19,937 | $82,539 | dollars as filed | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 32,235 | $82,522 | dollars as filed | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 58,382 | $81,151 | dollars as filed | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,433 | $80,751 | dollars as filed | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 19,024 | $79,901 | dollars as filed | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 10,291 | $79,858 | dollars as filed | |
| ALTUS POWER INC | 02217A102 | COM CL A | 14,326 | $78,506 | dollars as filed | |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,943 | $77,802 | dollars as filed | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 21,061 | $76,873 | dollars as filed | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 13,237 | $76,377 | dollars as filed | |
| Bitfarms Ltd/Canada | 09173B107 | Common Stock | 78,182 | $75,837 | dollars as filed | |
| ADMA BIOLOGICS INC | 000899104 | COM | 22,893 | $75,776 | dollars as filed | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 97,454 | $74,942 | dollars as filed | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 39,227 | $74,531 | dollars as filed | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 17,410 | $74,514 | dollars as filed | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 19,235 | $73,862 | dollars as filed | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 75,000 | $73,766 | dollars as filed | principal |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 12,133 | $73,405 | dollars as filed | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 12,684 | $73,316 | dollars as filed | |
| NU HLDGS LTD | G6683N103 | ORD SHS CL A | 15,111 | $71,928 | dollars as filed | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 24,605 | $71,108 | dollars as filed | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 79,049 | $70,338 | dollars as filed | |
| EVOLV TECHNOLOGIES HLDNGS IN | 30049H102 | COM CL A | 22,476 | $70,125 | dollars as filed | |
| RIGETTI COMPUTING INC COMMON STOCK | 76655K103 | Stock | 96,825 | $70,043 | dollars as filed | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 23,568 | $69,526 | dollars as filed | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 11,073 | $68,653 | dollars as filed | |
| GOLD ROYALTY CORP | 38071H106 | COMMON SHARES | 31,398 | $67,820 | dollars as filed | |
| IONQ INC COM | 46222L108 | Stock | 10,863 | $66,807 | dollars as filed | |
| RIMINI STR INC DEL | 76674Q107 | COM | 16,169 | $66,616 | dollars as filed | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 41,044 | $66,491 | dollars as filed | |
| MIND MEDICINE MINDMED INC | 60255C885 | COM NEW | 20,832 | $66,037 | dollars as filed | |
| FiscalNote Holdings Inc | 337655104 | Common Stock | 29,348 | $65,446 | dollars as filed | |
| WHEELS UP EXPERIENCE I F | 96328L106 | Com | 103,247 | $65,335 | dollars as filed | |
| MARQETA INC | 57142B104 | CLASS A COM | 14,292 | $65,314 | dollars as filed | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 35,325 | $64,998 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 54,000 | $64,800 | dollars as filed | |
| NEXTDECADE CORP | 65342K105 | COM | 12,888 | $64,053 | dollars as filed | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 89,974 | $62,737 | dollars as filed | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 21,354 | $61,926 | dollars as filed | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 11,429 | $61,262 | dollars as filed | |
| CHARGE ENTERPRISES INC | 159610104 | COM | 55,500 | $61,050 | dollars as filed | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 22,923 | $60,517 | dollars as filed | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 14,751 | $60,184 | dollars as filed | |
| CHICOS FAS INC | 168615102 | COM | 10,624 | $58,433 | dollars as filed | |
| Ouster Inc | 68989M103 | COM | 69,446 | $58,105 | dollars as filed | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 13,732 | $57,949 | dollars as filed | |
| BIORA THERAPEUTICS INC | 74319F305 | COM | 20,718 | $57,389 | dollars as filed | |
| NOUVEAU MONDE GRAPHITE INC | 66979W842 | COM NEW | 11,000 | $56,430 | dollars as filed | |
| FERROGLOBE PLC | G33856108 | SHS | 11,313 | $55,886 | dollars as filed | |
| PYXIS ONCOLOGY INC COMMON STOCK | 747324101 | Stock | 13,664 | $54,793 | dollars as filed | |
| 374WATER INC | 88583P104 | COM | 11,192 | $52,826 | dollars as filed | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,119 | $52,720 | dollars as filed | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 11,529 | $52,572 | dollars as filed | |
| ONCOCYTE CORP | 68235C107 | COM | 147,563 | $52,296 | dollars as filed | |
| ARCHER AVIATION INC | 03945R102 | COM CL A | 18,178 | $51,989 | dollars as filed | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 64,756 | $51,047 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 14,408 | $50,428 | dollars as filed | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 20,732 | $50,379 | dollars as filed | |
| VBI VACCINES INC | 91822J103 | COM NEW | 165,113 | $50,029 | dollars as filed | |
| HIVE BLOCKCHAIN TECHNLGIES L | 43366H704 | COM NEW | 15,194 | $49,988 | dollars as filed | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 21,510 | $49,903 | dollars as filed | |
| HONEST CO INC | 438333106 | COM | 27,546 | $49,582 | dollars as filed | |
| PENNYMAC CORP | 70932AAD5 | BOND | 52,000 | $48,350 | dollars as filed | principal |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 17,080 | $48,166 | dollars as filed | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 34,000 | $47,940 | dollars as filed | |
| DENISON MINES CORP | 248356107 | COM | 43,858 | $47,805 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 27,049 | $47,606 | dollars as filed | |
| NEW GOLD INC CDA | 644535106 | COM | 41,923 | $46,115 | dollars as filed | |
| DERMTECH INC | 24984K105 | COM | 12,478 | $45,917 | dollars as filed | |
| Vivani Medical Inc - US | 92854B109 | Equity | 45,895 | $45,895 | dollars as filed | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 16,519 | $45,758 | dollars as filed | |
| I-80 GOLD CORP | 44955L106 | COM | 18,656 | $45,707 | dollars as filed | |
| MICROVISION INC DEL | 594960304 | COM NEW | 17,097 | $45,649 | dollars as filed | |
| COMPASS INC | 20464U100 | CL A | 14,068 | $45,440 | dollars as filed | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 45,000 | $45,095 | dollars as filed | principal |
| CERUS CORP | 157085101 | COM | 15,130 | $44,936 | dollars as filed | |
| ONCOSEC MED INC | 68234L405 | COMSTOCK | 17,404 | $44,902 | dollars as filed | |
| PRECIGEN INC | 74017N105 | COM | 42,289 | $44,826 | dollars as filed | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 51,076 | $44,809 | dollars as filed | |
| CURIS INC | 231269200 | COM | 74,054 | $44,136 | dollars as filed | |
| DOUGLAS ELLIMAN INC | 25961D105 | COM | 14,120 | $43,912 | dollars as filed | |
| BIONANO GENOMICS INC | 09075F107 | COM | 39,051 | $43,347 | dollars as filed | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 19,183 | $42,971 | dollars as filed | |
| BIOVENTUS INC | 09075A108 | COM CL A | 40,023 | $42,825 | dollars as filed | |
| PORCH GROUP INC | 733245104 | COM | 29,723 | $42,504 | dollars as filed | |
| LOANDEPOT INC | 53946R106 | COM CL A | 26,297 | $42,338 | dollars as filed | |
| TATTOOED CHEF INC | 87663X102 | COM | 29,760 | $42,259 | dollars as filed | |
| GEVO INC | 374396406 | COM PAR | 27,384 | $42,171 | dollars as filed | |
| SKILLZ INC | 83067L109 | COM | 70,796 | $41,996 | dollars as filed | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 31,377 | $41,731 | dollars as filed | |
| EVOGENE LTD | M4119S104 | SHS | 66,085 | $41,634 | dollars as filed | |
| SUPER GROUP SGHC LIMITED | G8588X103 | ORD SHS | 10,307 | $41,537 | dollars as filed | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 12,176 | $41,277 | dollars as filed | |
| THIRD HARMONIC BIO INC | 88427A107 | COM | 10,000 | $41,200 | dollars as filed | |
| SmileDirectClub Inc | 83192H106 | COM | 95,166 | $40,921 | dollars as filed | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 27,182 | $40,773 | dollars as filed | |
| ALLOT LTD | M0854Q105 | SHS | 15,100 | $40,619 | dollars as filed | |
| Akoustis Technologies Inc | 00973N102 | COM | 13,157 | $40,524 | dollars as filed | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 12,973 | $39,827 | dollars as filed | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,390 | $39,482 | dollars as filed | |
| ACCURAY INC DEL | 004397105 | COM | 13,289 | $39,468 | dollars as filed | |
| MICROVAST HOLDINGS INC COM | 59516C106 | Stock | 31,749 | $39,369 | dollars as filed | |
| RITE AID CORP | 767754872 | COM | 17,378 | $38,926 | dollars as filed | |
| RLX TECHNOLOGY INC | 74969N103 | SPONSORED ADS | 13,250 | $38,425 | dollars as filed | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 14,002 | $38,365 | dollars as filed | |
| SNDL INC | 83307B101 | COM | 23,829 | $38,126 | dollars as filed | |
| CUE BIOPHARMA INC | 22978P106 | COM | 10,570 | $37,735 | dollars as filed | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 10,057 | $37,714 | dollars as filed | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 12,802 | $36,486 | dollars as filed | |
| GAN LTD | G3728V109 | SHS | 28,132 | $36,290 | dollars as filed | |
| CANOO INC | 13803R102 | COM CL A | 55,581 | $36,272 | dollars as filed | |
| Fluent Co | 34380C102 | COM | 43,977 | $36,061 | dollars as filed | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,299 | $36,040 | dollars as filed | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 16,843 | $35,876 | dollars as filed | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 27,175 | $35,871 | dollars as filed | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 10,875 | $35,779 | dollars as filed | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 10,429 | $35,771 | dollars as filed | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 13,760 | $35,638 | dollars as filed | |
| ENERGY VAULT HOLDINGS INC | 29280W109 | COM | 16,650 | $35,631 | dollars as filed | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 13,441 | $35,619 | dollars as filed | |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 50,000 | $35,144 | dollars as filed | principal |
| ASHFORD HOSPITALITY TR INC | 044103869 | COM SHS | 10,628 | $34,114 | dollars as filed | |
| APPHARVEST INC | 03783T103 | COM | 55,518 | $33,994 | dollars as filed | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 17,961 | $33,767 | dollars as filed | |
| D-MARKET ELECTR SVCS TRY 0.2 | 23292B104 | SPONSORED ADS | 24,950 | $33,433 | dollars as filed | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 37,320 | $32,808 | dollars as filed | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 16,045 | $32,571 | dollars as filed | |
| ESS TECH INC | 26916J106 | COMMON STOCK | 23,262 | $32,334 | dollars as filed | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 12,318 | $32,273 | dollars as filed | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 10,025 | $31,378 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 43,697 | $31,025 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 28,698 | $30,994 | dollars as filed | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 47,786 | $30,583 | dollars as filed | |
| ZEPP HEALTH CORPORATION SPONSORED ADR | 98945L105 | ADR | 23,153 | $30,330 | dollars as filed | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 12,036 | $30,091 | dollars as filed | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 13,265 | $29,316 | dollars as filed | |
| REKOR SYSTEMS INC | 759419104 | COM | 23,270 | $29,088 | dollars as filed | |
| PROTERRA INC | 74374T109 | COM | 19,072 | $28,989 | dollars as filed | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 18,915 | $28,940 | dollars as filed | |
| PAVMED INC | 70387R106 | COM | 77,409 | $28,912 | dollars as filed | |
| AMERICAN RES CORP | 02927U208 | CL A | 19,044 | $28,566 | dollars as filed | |
| COMSTOCK INC | 205750300 | COM NEW | 84,726 | $28,561 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 34,465 | $27,265 | dollars as filed | |
| AFFIMED N V | N01045108 | COM | 34,975 | $26,077 | dollars as filed | |
| CIPHER DIGITAL INC COM | 17253J106 | Stock | 11,018 | $25,672 | dollars as filed | |
| Tscan Therapeutics Inc | 89854M101 | COM | 12,000 | $25,200 | dollars as filed | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 134,453 | $24,430 | dollars as filed | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 21,210 | $24,179 | dollars as filed | |
| CELLECTIS ADS | 15117K103 | COM | 12,357 | $23,849 | dollars as filed | |
| BOXLIGHT CORP | 103197109 | COM CL A | 61,800 | $23,639 | dollars as filed | |
| TRX GOLD CORPORATION | 87283P109 | COM | 48,532 | $23,402 | dollars as filed | |
| FEMASYS INC | 31447E105 | cs | 21,032 | $22,820 | dollars as filed | |
| Algoma Stl Group Inc W Exp 10/19/202 | 015658115 | SPAC Combination | 13,000 | $22,750 | dollars as filed | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 16,596 | $22,571 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 44,000 | $22,548 | dollars as filed | principal |
| SELECTQUOTE INC | 816307300 | COM | 10,225 | $22,188 | dollars as filed | |
| BARNWELL INDS INC | 068221100 | COM | 10,000 | $22,000 | dollars as filed | |
| OPKO HEALTH INC | 68375N103 | COM | 14,951 | $21,828 | dollars as filed | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 34,138 | $21,780 | dollars as filed | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 28,810 | $21,711 | dollars as filed | |
| BIOCARDIA INC | 09060U507 | COM | 11,050 | $21,548 | dollars as filed | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 14,124 | $21,186 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T108 | ORDINARY SHARES | 16,174 | $20,703 | dollars as filed | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 19,636 | $20,618 | dollars as filed | |
| EMX RTY CORP | 26873J107 | COM | 10,340 | $20,577 | dollars as filed | |
| Allbirds Inc | 01675A109 | COM | 17,099 | $20,519 | dollars as filed | |
| TUSIMPLE HLDGS INC | 90089L108 | CL A | 13,915 | $20,455 | dollars as filed | |
| LUCID DIAGNOSTICS INC | 54948X109 | COM | 14,400 | $20,160 | dollars as filed | |
| THE REALREAL INC | 88339P101 | COM | 15,959 | $20,108 | dollars as filed | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 10,740 | $19,869 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 12,950 | $19,555 | dollars as filed | |
| SYNLOGIC INC | 87166L100 | COM | 30,088 | $19,016 | dollars as filed | |
| VAXART INC NEW | 92243A200 | COM | 24,913 | $18,852 | dollars as filed | |
| Veru Inc | 92536C103 | Common Stock | 16,140 | $18,722 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L104 | COMMON | 10,000 | $18,600 | dollars as filed | |
| AQUA METALS INC | 03837J101 | COM | 18,582 | $18,582 | dollars as filed | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $18,500 | dollars as filed | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 16,000 | $18,175 | dollars as filed | principal |
| Cango Inc/KY | 137586103 | ADS | 15,940 | $18,172 | dollars as filed | |
| LIPOCINE INC NEW | 53630X104 | CMN | 56,500 | $17,973 | dollars as filed | |
| THE REAL BROKERAGE INC | 75585H206 | COM NEW | 14,505 | $17,551 | dollars as filed | |
| ENERGOUS CORP | 29272C103 | COM | 32,442 | $17,519 | dollars as filed | |
| APPLIED UV INC | 03828V105 | COM | 19,500 | $17,160 | dollars as filed | |
| THERATECHNOLOGIES INC | 88338HAA8 | NOTE 5.750% 6/3 | 18,000 | $16,910 | dollars as filed | principal |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 25,386 | $16,833 | dollars as filed | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 20,000 | $16,400 | dollars as filed | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 28,114 | $16,374 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 19,960 | $16,367 | dollars as filed | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 28,596 | $16,025 | dollars as filed | |
| VACASA INC | 91854V107 | COM | 16,500 | $15,876 | dollars as filed | |
| WAYFAIR INC | 94419LAM3 | NOTE 0.625%10/0 | 21,000 | $15,176 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $15,092 | dollars as filed | principal |
| MOMENTUS INC | 60879E101 | COM | 25,159 | $14,718 | dollars as filed | |
| ORBITAL ENERGY GROUP INC | 68559A109 | COM | 100,000 | $14,590 | dollars as filed | |
| NUVVE HOLDING CORP | 67079Y100 | COMMON STOCK | 20,751 | $14,526 | dollars as filed | |
| AEVA TECHNOLOGIES INC | 00835Q103 | COM | 12,061 | $14,353 | dollars as filed | |
| LILIUM N V | N52586109 | COM | 21,594 | $14,036 | dollars as filed | |
| ENTHUSIAST GAMING HLDGS INC | 29385B109 | COM | 23,849 | $13,835 | dollars as filed | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 15,000 | $13,447 | dollars as filed | principal |
| UR-ENERGY INC | 91688R108 | COM | 12,583 | $13,338 | dollars as filed | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 55,750 | $13,313 | dollars as filed | |
| ATERIAN INC | 02156U101 | COM | 15,274 | $13,137 | dollars as filed | |
| VINTAGE WINE ESTATES INC | 92747V106 | COM | 12,000 | $12,840 | dollars as filed | |
| AVEANNA HEALTHCARE HLDGS INC | 05356F105 | COM | 11,500 | $11,960 | dollars as filed | |
| DEXCOM INC | 252131AK3 | NOTE 0.250%11/1 | 11,000 | $11,678 | dollars as filed | principal |
| REGULUS THERAPEUTICS INC | 75915K309 | COM | 13,502 | $11,443 | dollars as filed | |
| RUBICON TECHNOLOGIES INC CL A | 78112J109 | Stock | 17,000 | $11,155 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 12,112 | $11,022 | dollars as filed | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 10,000 | $10,795 | dollars as filed | principal |
| MULLEN AUTOMOTIVE INC | 62526P109 | COM | 81,021 | $10,638 | dollars as filed | |
| TMC THE METALS CO INC | 87261Y106 | COMMON STOCK | 12,540 | $10,394 | dollars as filed | |
| ASTRA SPACE INC | 04634X103 | COM CL A | 24,323 | $10,337 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 20,250 | $10,125 | dollars as filed | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 12,390 | $10,036 | dollars as filed | |
| VINCO VENTURES INC | 927330100 | COM | 30,510 | $9,803 | dollars as filed | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 26,375 | $8,968 | dollars as filed | |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,590 | $8,687 | dollars as filed | |
| UPSTART HLDGS INC | 91680MAB3 | NOTE 0.250% 8/1 | 15,000 | $8,566 | dollars as filed | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 12,893 | $8,548 | dollars as filed | |
| CERBERUS CYBER SENTINEL CORP | 15672X102 | COM | 25,000 | $8,450 | dollars as filed | |
| BED BATH & BEYOND INC | 075896100 | COM | 19,237 | $8,222 | dollars as filed | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 10,000 | $7,545 | dollars as filed | principal |
| CBRE GLOBAL REAL ESTATE INCOME FD SUBSCRIPTION RT | 12504G118 | COM | 239,935 | $7,413 | dollars as filed | |
| SONO GROUP N V | N81409109 | COM | 20,000 | $7,378 | dollars as filed | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 14,178 | $7,364 | dollars as filed | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 10,456 | $7,349 | dollars as filed | |
| NEOGENOMICS INC | 64049MAB6 | NOTE 0.250% 1/1 | 10,000 | $7,338 | dollars as filed | principal |
| REUNION NEUROSCIENCE INC | 76134G103 | COM | 10,520 | $7,263 | dollars as filed | |
| ATI PHYSICAL THERAPY INC | 00216W109 | COM CL A | 25,000 | $6,355 | dollars as filed | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 16,557 | $6,060 | dollars as filed | |
| APTINYX INC | 03836N103 | COM | 40,000 | $4,992 | dollars as filed | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 21,238 | $4,496 | dollars as filed | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 33,000 | $4,301 | dollars as filed | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,064 | $4,227 | dollars as filed | |
| BRIGHT HEALTH GROUP INC | 10920V107 | COM | 18,525 | $4,081 | dollars as filed | |
| OUSTER INC | 68989M129 | *W EXP 09/29/202 | 14,805 | $3,997 | dollars as filed | |
| AUDACY INC | 05070N103 | COM | 28,172 | $3,795 | dollars as filed | |
| ARRIVAL GROUP | L0423Q108 | SHS | 24,156 | $3,237 | dollars as filed | |
| IDEANOMICS INC | 45166V106 | COM | 16,909 | $1,826 | dollars as filed | |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $799 | dollars as filed | |
| POLYMET MNG CORP | 731916144 | WARR | 44,909 | $121 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-23-000004 | this filing | 2023-05-10 | acceptance time not in the bulk data set |