13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-01, with 915 holding rows worth $1,684,315,000.
- Accession
- 0001420506-20-000414
- Filer
- CIK 1449126
- Filed
- 2020-05-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 915 entries on the cover page, a total value of $1,684,315,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,684,315,000 with VALUE read as thousands by filing date, 13F file number 028-16541. 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 |
|---|---|---|---|---|---|---|
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 32,591 | $466,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 20,981 | $466,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 16,516 | $465,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 15,141 | $463,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 34,589 | $462,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 4,989 | $461,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 4,306 | $460,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 31,934 | $460,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 5,100 | $459,000 | thousands by filing date | put |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 12,923 | $457,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V498 | S&P SMLCP MOMENT | 15,563 | $456,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H534 | INSPIRE 100 ETF | 18,256 | $454,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 25,046 | $453,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 5,090 | $450,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 304,250 | $450,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 12,450 | $448,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,663 | $446,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 18,443 | $446,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138J650 | BULLETSHS 2027 | 19,035 | $446,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 23,444 | $445,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 3,349 | $444,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 28,742 | $444,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 12,051 | $443,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 38,629 | $440,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 5,940 | $439,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 4,727 | $437,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 19,340 | $437,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,820 | $436,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 3,508 | $436,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 8,834 | $436,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 6,554 | $435,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 3,905 | $434,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 4,311 | $432,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 7,265 | $432,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 101,622 | $432,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 12,204 | $429,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 8,775 | $429,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 15,914 | $427,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 17,679 | $427,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 82,257 | $425,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 12,842 | $423,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 51,867 | $421,000 | thousands by filing date | |
| PACER FDS TR | 69374H642 | TRENDPILOT US BD | 16,508 | $421,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 18,337 | $420,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 5,836 | $420,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 173,000 | $420,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 43,946 | $416,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 849 | $415,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 172,928 | $413,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 7,029 | $410,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 136,217 | $409,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 3,211 | $408,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 1,398 | $404,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 4,421 | $404,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 8,686 | $401,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 13,158 | $401,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 4,824 | $398,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 1,741 | $395,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 7,460 | $395,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 9,355 | $394,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 5,191 | $394,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 10,918 | $393,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 12,488 | $391,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 2,539 | $389,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 3,064 | $387,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,568 | $384,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 1,540 | $383,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 6,127 | $382,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 17,231 | $382,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 18,024 | $381,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 2,002 | $379,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 9,591 | $379,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 22,375 | $378,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 8,508 | $375,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188200 | LTD TRM BD ETF | 7,510 | $374,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 7,818 | $374,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 31,854 | $374,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 5,216 | $372,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 12,669 | $371,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 27,703 | $370,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 12,236 | $369,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 10,704 | $366,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 12,302 | $362,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 3,501 | $362,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 14,698 | $361,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 11,172 | $360,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 2,400 | $358,000 | thousands by filing date | call |
| RH | 74967X103 | COM | 3,560 | $358,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 8,949 | $356,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 5,353 | $354,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 7,316 | $351,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 13,998 | $346,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 11,045 | $345,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 47,490 | $345,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 21,999 | $344,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 89,550 | $344,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 2,191 | $342,000 | thousands by filing date | |
| FRANKLIN ETF TR | 353506108 | SHRT DUR US GOVT | 3,605 | $342,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,196 | $341,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 17,212 | $340,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 775 | $339,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 2,879 | $339,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 2,556 | $338,000 | thousands by filing date | |
| PROGYNY INC COM | 74340E103 | Stock | 15,950 | $338,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,699 | $337,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 11,355 | $335,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 22,546 | $334,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 3,755 | $331,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 21,618 | $331,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 5,678 | $329,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 2,058 | $328,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 18,107 | $326,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 5,777 | $324,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 63,793 | $323,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 16,742 | $322,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 15,200 | $322,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,472 | $321,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 2,517 | $320,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 9,435 | $320,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 17,950 | $320,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 9,824 | $320,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 6,959 | $319,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 9,379 | $319,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 543 | $319,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 7,081 | $318,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 18,613 | $318,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 23,260 | $318,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 23,663 | $318,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 7,103 | $317,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,181 | $315,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 26,657 | $315,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 32,580 | $315,000 | thousands by filing date | |
| ABRDN PALLADIUM ETF TRUST | 003262102 | PHYSICAL PALLADM | 1,417 | $315,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 14,306 | $315,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 3,212 | $314,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 68,121 | $313,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 14,795 | $313,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 15,136 | $311,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 17,746 | $310,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,128 | $309,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 3,779 | $309,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 11,100 | $309,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 6,660 | $308,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 6,969 | $305,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 18,125 | $305,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 10,155 | $304,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 9,737 | $303,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 4,675 | $302,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 21,992 | $302,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 3,360 | $301,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 43,813 | $300,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 7,147 | $300,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 7,035 | $299,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 15,898 | $297,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 30,907 | $297,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 10,227 | $297,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 4,025 | $295,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 11,978 | $292,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 31,356 | $292,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 9,376 | $291,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 2,189 | $291,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 12,197 | $291,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 6,280 | $290,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 19,768 | $290,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 7,793 | $289,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 5,783 | $289,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,640 | $288,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 3,890 | $287,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 3,510 | $285,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 9,995 | $283,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 7,580 | $282,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 3,951 | $281,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 9,736 | $280,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 44,791 | $280,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 3,475 | $279,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 5,510 | $279,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 7,126 | $278,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 7,330 | $278,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 33,698 | $277,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 4,575 | $275,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 11,140 | $275,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 22,433 | $273,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 4,024 | $273,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 3,169 | $272,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 8,591 | $270,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 5,528 | $269,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 3,235 | $269,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 1,333 | $268,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 32,167 | $268,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 20,677 | $267,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 2,604 | $267,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,241 | $265,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 10,012 | $265,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 7,381 | $264,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,952 | $264,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 21,391 | $262,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 2,392 | $260,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,763 | $258,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 8,354 | $258,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 11,494 | $258,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 5,749 | $257,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 16,940 | $257,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 7,764 | $257,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 861 | $256,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 10,777 | $255,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,561 | $254,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 17,054 | $253,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,998 | $253,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 8,987 | $252,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 2,535 | $252,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 23,690 | $250,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 18,459 | $249,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 25,499 | $249,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 13,464 | $247,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 4,525 | $246,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 5,069 | $246,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 33,597 | $246,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,131 | $245,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,010 | $244,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 10,781 | $244,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R804 | ST STR R1K LOWV | 2,697 | $244,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 2,562 | $243,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 3,584 | $241,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 14,160 | $240,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 4,117 | $239,000 | thousands by filing date | |
| iShares Global REIT ETF | 46434V647 | SHS | 12,433 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 2,597 | $238,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 6,659 | $236,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 4,675 | $236,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 20,996 | $236,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 47,567 | $235,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 3,098 | $234,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 11,153 | $232,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,536 | $232,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 25,418 | $231,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 7,725 | $231,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 1,221 | $231,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 16,261 | $230,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 5,898 | $229,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 6,303 | $227,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 7,035 | $226,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,601 | $226,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 21,121 | $225,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,890 | $225,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 10,361 | $225,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 4,639 | $224,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 4,059 | $223,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,418 | $223,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 9,344 | $221,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 4,965 | $221,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 2,037 | $220,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 22,350 | $219,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 5,431 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,655 | $218,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 1,800 | $218,000 | thousands by filing date | put |
| COMERICAINC | 200340107 | COM | 7,402 | $217,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 2,915 | $217,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 94,750 | $216,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 5,733 | $216,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 11,861 | $215,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 1,206 | $214,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,100 | $214,000 | thousands by filing date | call |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 1,649 | $214,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 2,388 | $214,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 3,699 | $214,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,985 | $214,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 1,236 | $214,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 24,136 | $213,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 6,854 | $212,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 2,535 | $211,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 3,456 | $210,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 9,634 | $209,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 10,097 | $209,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 17,585 | $208,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 8,755 | $208,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,046 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,414 | $207,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,427 | $206,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 162 | $206,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 19,379 | $205,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 31,339 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 5,482 | $205,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 1,286 | $205,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 16,735 | $204,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 800 | $203,000 | thousands by filing date | call |
| Booking Holdings Inc. | 09857L108 | COM | 149 | $202,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 6,920 | $202,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 8,555 | $202,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 668 | $201,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 11,309 | $201,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 28,281 | $199,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 10,298 | $192,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 28,699 | $191,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 45,920 | $190,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 11,108 | $188,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 17,046 | $188,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 94,162 | $188,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 10,496 | $187,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 31,686 | $182,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 13,535 | $181,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 17,562 | $180,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 15,371 | $176,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 14,896 | $172,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 66,602 | $171,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 19,991 | $169,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 11,566 | $167,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 10,093 | $167,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 49,570 | $165,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 14,664 | $165,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 12,177 | $162,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 21,481 | $162,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 10,805 | $160,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 36,855 | $156,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 12,750 | $155,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 22,310 | $151,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 10,871 | $151,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 30,744 | $150,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 12,688 | $146,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 14,367 | $145,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 10,000 | $144,000 | thousands by filing date | call |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 10,398 | $143,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 70,062 | $143,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 11,096 | $143,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 11,229 | $141,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 19,217 | $138,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 12,767 | $136,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 63,611 | $136,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 11,062 | $135,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 27,361 | $135,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 25,203 | $132,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 20,793 | $131,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 25,735 | $129,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 10,963 | $127,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 1,041,300 | $126,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 11,975 | $123,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 14,112 | $123,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 13,550 | $122,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 11,429 | $121,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 12,257 | $120,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 14,315 | $118,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 28,946 | $118,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 12,250 | $118,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 21,600 | $118,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 43,054 | $117,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 10,360 | $107,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 15,000 | $103,000 | thousands by filing date | call |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 15,240 | $101,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 12,700 | $98,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 28,596 | $98,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 13,232 | $98,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 11,999 | $97,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 111,202 | $95,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 10,027 | $95,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 10,348 | $94,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 26,300 | $92,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 16,945 | $85,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 12,738 | $84,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 12,313 | $83,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,235 | $82,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 86,226 | $78,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 12,839 | $76,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 18,705 | $71,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 14,180 | $67,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 11,000 | $67,000 | thousands by filing date | |
| LIVE VENTURES INC | 538142308 | COM NEW | 12,580 | $66,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 15,753 | $65,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 11,075 | $65,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 41,130 | $64,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 10,426 | $62,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 170,000 | $62,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 10,522 | $60,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 13,569 | $59,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 13,709 | $58,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 27,364 | $57,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,300 | $57,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,483 | $56,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 10,323 | $54,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 12,757 | $54,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 23,431 | $53,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 10,250 | $51,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 14,582 | $49,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 15,599 | $48,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 105,500 | $47,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 29,632 | $46,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 31,871 | $46,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 11,585 | $44,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 48,000 | $41,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,900 | $40,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 30,204 | $35,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 27,502 | $35,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,000 | $32,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 40,300 | $30,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 33,398 | $28,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 17,249 | $26,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 20,000 | $26,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 12,471 | $26,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,650 | $25,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 14,164 | $25,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y307 | COM | 15,177 | $23,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 15,420 | $23,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,037 | $21,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 15,660 | $15,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 18,350 | $14,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 23,640 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 54,509 | $13,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 24,878 | $12,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 15,000 | $12,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 18,501 | $11,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 34,000 | $9,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 11,966 | $7,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 20,000 | $6,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 26,821 | $5,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 22,451 | $5,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 16,189 | $3,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J126 | *W EXP 03/14/202 | 20,154 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-20-000414 | this filing | 2020-05-01 | acceptance time not in the bulk data set |