13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-06, with 1,325 holding rows worth $3,130,214,000.
- Accession
- 0001420506-21-000488
- Filer
- CIK 1449126
- Filed
- 2021-05-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 1,325 entries on the cover page, a total value of $3,130,214,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,130,214,000 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 |
|---|---|---|---|---|---|---|
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 9,345 | $293,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 5,990 | $293,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 2,714 | $292,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 10,602 | $292,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,468 | $292,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 2,746 | $291,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 17,600 | $291,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 17,365 | $291,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,701 | $291,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 27,234 | $291,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 4,395 | $291,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G609 | CMN | 12,300 | $291,000 | thousands by filing date | call |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,145 | $288,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 9,884 | $288,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 7,824 | $287,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 884 | $285,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 6,671 | $285,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 5,733 | $285,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 859 | $284,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 3,363 | $284,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 8,470 | $284,000 | thousands by filing date | |
| FIRST TRUST DOW JONES INTERNATIONAL INTERNET ETF | 33734X770 | ETF | 6,281 | $284,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 1,629 | $282,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 8,410 | $282,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y285 | FUND | 14,740 | $282,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 889 | $281,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 5,672 | $281,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33741X102 | SMID RISNG ETF | 9,890 | $281,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 5,677 | $281,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 8,076 | $280,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 446 | $279,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 2,095 | $279,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,816 | $278,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 5,252 | $278,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 8,705 | $278,000 | thousands by filing date | |
| HEALTH ASSURANCE ACQUISITION | 42226W208 | UNIT 99/99/9999 | 25,850 | $278,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,421 | $277,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 3,000 | $277,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 5,947 | $277,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 5,197 | $276,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 18,639 | $276,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 5,868 | $274,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 9,819 | $274,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,724 | $274,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 11,018 | $273,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 13,198 | $273,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 5,977 | $273,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 19,300 | $273,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 79,450 | $273,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 8,800 | $271,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 3,070 | $271,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,098 | $271,000 | thousands by filing date | |
| ROCKET COS INC | 77311W101 | COM CL A | 11,652 | $269,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 24,935 | $269,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 1,559 | $268,000 | thousands by filing date | |
| RH | 74967X103 | COM | 450 | $268,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 6,661 | $266,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 1,217 | $265,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 15,667 | $265,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 19,700 | $265,000 | thousands by filing date | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 11,050 | $263,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,217 | $262,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 9,792 | $262,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 4,372 | $262,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 1,135 | $260,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 9,600 | $260,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 5,915 | $259,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 26,334 | $259,000 | thousands by filing date | |
| PORTAGE BIOTECH INC | G7185A128 | COM | 9,270 | $259,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 26,300 | $258,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 1,327 | $258,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 4,509 | $258,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 10,022 | $258,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 8,394 | $258,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 3,038 | $257,000 | thousands by filing date | |
| ISHARES ESG SELECT SCREENED S&P 500 ETF | 46436E569 | ETF | 8,453 | $257,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 2,011 | $256,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 1,058 | $256,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 2,182 | $256,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,294 | $256,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 9,929 | $255,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 2,652 | $254,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 6,131 | $253,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 4,164 | $253,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 4,663 | $253,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 4,134 | $253,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 26,749 | $253,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108888 | BLACKSWAN GRWT | 7,903 | $253,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 3,256 | $252,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 962 | $252,000 | thousands by filing date | |
| ABRAXAS PETE CORP COM NEW | 003830304 | Stock | 80,240 | $252,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 2,710 | $251,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 13,737 | $250,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 5,438 | $250,000 | thousands by filing date | |
| KKR & CO INC | 48251W104 | COM | 5,072 | $248,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 6,739 | $248,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 3,619 | $248,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 3,385 | $247,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,219 | $246,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 1,557 | $246,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 8,279 | $245,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 3,006 | $245,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 3,938 | $245,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 12,417 | $245,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 1,718 | $244,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 16,646 | $244,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 2,633 | $244,000 | thousands by filing date | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 30,650 | $243,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 2,049 | $242,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 10,026 | $242,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 7,671 | $242,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,288 | $241,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C466 | GRWT100 PWR BF | 6,187 | $240,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 31,061 | $239,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 1,813 | $239,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V456 | S&P MDCP VLU MNT | 5,335 | $238,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 3,027 | $238,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 8,984 | $237,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 2,487 | $236,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 6,251 | $236,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 4,575 | $235,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C516 | EMRGNG MKT JAN | 7,747 | $235,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 5,137 | $233,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 1,697 | $233,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 2,997 | $232,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 8,887 | $231,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 100,000 | $231,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 3,096 | $230,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 11,724 | $230,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 2,513 | $230,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 2,046 | $229,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,876 | $229,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 3,966 | $229,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 9,276 | $229,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 6,336 | $229,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,566 | $228,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 5,930 | $227,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,106 | $227,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 68,352 | $227,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 8,860 | $227,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 1,800 | $226,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 9,000 | $226,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 5,609 | $225,000 | thousands by filing date | |
| THERAPEUTICS ACQUISITION COR | 88339T103 | COM CL A | 21,375 | $225,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 5,366 | $224,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 2,631 | $223,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 8,167 | $222,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,200 | $221,000 | thousands by filing date | call |
| ROSS STORES INC COM | 778296103 | Stock | 1,841 | $221,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 616 | $221,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 7,764 | $221,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 4,807 | $221,000 | thousands by filing date | |
| PROGYNY INC COM | 74340E103 | Stock | 4,940 | $220,000 | thousands by filing date | |
| HEALTHPEAK PROPERTIES INC COM | 42250P103 | REIT | 6,921 | $220,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 9,970 | $220,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 3,945 | $219,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,278 | $219,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 3,627 | $218,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 2,918 | $217,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 3,170 | $217,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y691 | CMN | 4,510 | $217,000 | thousands by filing date | |
| JPMORGAN EQUITY PREMIUM INCOME ETF | 46641Q332 | ETF | 3,718 | $216,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 4,053 | $216,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,928 | $216,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 29,889 | $216,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 1,872 | $215,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 2,081 | $215,000 | thousands by filing date | |
| TCF FINANCIAL CORPORATION NE | 872307103 | COM | 4,623 | $215,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F763 | FT VEST US EQT | 6,228 | $215,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 31,608 | $215,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 7,132 | $214,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,435 | $214,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 1,429 | $214,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 2,703 | $214,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 1,750 | $214,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 8,550 | $214,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 6,950 | $213,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 9,769 | $213,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 1,500 | $213,000 | thousands by filing date | call |
| TERADYNE INC COM | 880770102 | Stock | 1,742 | $212,000 | thousands by filing date | |
| TEXAS PACIFIC LAND CORPORATION COM | 88262P102 | Stock | 133 | $212,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 2,213 | $211,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 14,229 | $211,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 8,059 | $211,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 1,100 | $210,000 | thousands by filing date | call |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 968 | $210,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 1,984 | $210,000 | thousands by filing date | |
| Avantis International Small Cap Val ETF | 025072802 | SHS | 3,362 | $209,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 8,969 | $209,000 | thousands by filing date | |
| ISHARES TR | 46435U697 | IBONDS DEC | 7,741 | $209,000 | thousands by filing date | |
| ISHARES TR IBONDS DEC2023 | 46435G318 | IBONDS DEC2023 | 8,000 | $209,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2021 TERM MUNI BD ETF | 46435G789 | ETF | 8,118 | $209,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 999 | $208,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 13,125 | $208,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 11,767 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 2,356 | $208,000 | thousands by filing date | |
| TOMI ENVIRONMENTAL SOLUTIONS | 890023203 | COM NEW | 51,400 | $208,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,525 | $207,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 4,901 | $207,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P300 | NUVEEN ESG LRGVL | 5,729 | $207,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 2,329 | $207,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,135 | $207,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 2,919 | $206,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C656 | US EQTY PWR BUF | 7,178 | $206,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 8,784 | $206,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 2,138 | $206,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 13,193 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 3,569 | $205,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 800 | $204,000 | thousands by filing date | put |
| BOYDGAMINGCORP | 103304101 | STOK | 3,466 | $204,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 3,417 | $204,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 1,951 | $204,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 14,654 | $204,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 3,713 | $204,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 3,247 | $203,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 4,469 | $203,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,152 | $203,000 | thousands by filing date | |
| STAG INDUSTRIAL INC | 85254J102 | COM | 6,027 | $203,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 20,399 | $202,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 33,717 | $201,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 7,186 | $201,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 11,147 | $198,000 | thousands by filing date | |
| AULT GLOBAL HOLDINGS INC | 05150X104 | COM | 59,500 | $196,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 12,566 | $195,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 13,706 | $191,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 15,518 | $191,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 14,415 | $191,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 26,057 | $190,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 10,600 | $189,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 175,000 | $188,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 11,125 | $186,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 32,523 | $185,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 12,650 | $184,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 13,829 | $182,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 11,293 | $178,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 19,997 | $177,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 16,421 | $176,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 64,100 | $176,000 | thousands by filing date | |
| SMITH & WESSON BRANDS INC | 831754106 | COM | 10,019 | $175,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 40,366 | $174,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 11,408 | $173,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 17,630 | $173,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 19,037 | $172,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 49,638 | $172,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 108,450 | $171,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 10,809 | $170,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 11,292 | $165,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 40,500 | $164,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 32,866 | $163,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,175 | $162,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 10,682 | $160,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 11,759 | $158,000 | thousands by filing date | |
| VIDLER WATER RESOUCES INC | 92660E107 | COM | 17,500 | $156,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 37,623 | $153,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 34,653 | $151,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 14,820 | $149,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,583 | $148,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 13,048 | $147,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 191,279 | $147,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 26,359 | $147,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 141,193 | $147,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 13,535 | $146,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 40,874 | $142,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 25,761 | $141,000 | thousands by filing date | |
| GATOS SILVER INC | 368036109 | COM | 13,844 | $138,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 15,200 | $135,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 13,782 | $131,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 17,577 | $129,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 25,510 | $129,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 15,380 | $127,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 20,213 | $123,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 24,976 | $116,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 28,648 | $115,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 12,574 | $114,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 21,500 | $114,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 11,000 | $113,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 11,990 | $112,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 30,231 | $111,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 13,963 | $109,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 12,182 | $105,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 24,422 | $105,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 21,100 | $105,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 10,000 | $104,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 14,700 | $98,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,021 | $93,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 13,700 | $92,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 15,600 | $90,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 26,290 | $88,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 13,610 | $88,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,480 | $88,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 10,823 | $86,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 12,197 | $83,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 10,722 | $81,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 18,270 | $79,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 19,768 | $78,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 21,800 | $77,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 28,390 | $76,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 33,500 | $76,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 16,006 | $72,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 14,502 | $69,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,402 | $66,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 15,404 | $65,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 32,000 | $63,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 10,815 | $61,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 10,436 | $61,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 14,000 | $61,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 12,884 | $60,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 24,331 | $58,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 17,550 | $58,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 10,768 | $54,000 | thousands by filing date | |
| TD HLDGS INC COM NEW | 87250W103 | Stock | 27,000 | $53,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 13,500 | $51,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 14,084 | $50,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 48,000 | $49,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 15,100 | $48,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,390 | $41,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 23,500 | $38,000 | thousands by filing date | |
| BOQI INTL MED INC | 099501108 | COM | 21,000 | $37,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 27,489 | $32,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 13,050 | $32,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J126 | *W EXP 03/14/202 | 20,154 | $32,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,364 | $24,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 14,710 | $19,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 16,612 | $19,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 15,000 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-21-000488 | this filing | 2021-05-06 | acceptance time not in the bulk data set |