13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2022-09-30, filed 2022-11-10, with 1,261 holding rows worth $2,623,404,000.
- Accession
- 0001420506-22-002048
- Filer
- CIK 1449126
- Filed
- 2022-11-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A holdings report, 1,261 entries on the cover page, a total value of $2,623,404,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,623,404,000 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 |
|---|---|---|---|---|---|---|
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 6,501 | $258,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,100 | $256,000 | thousands by filing date | call |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 3,918 | $256,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 20,763 | $256,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 2,043 | $255,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 8,065 | $254,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 5,915 | $254,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 5,328 | $254,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 1,969 | $252,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 5,579 | $252,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 18,454 | $252,000 | thousands by filing date | |
| FISKER INC | 33813J106 | CL A COM STK | 33,424 | $252,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F847 | FT VEST US EQT | 7,605 | $251,000 | thousands by filing date | |
| KRISPY KREME INC | 50101L106 | COMMON STOCK | 21,767 | $251,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 12,948 | $250,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 5,540 | $250,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 BUFFER ETF JUNE | 45782C755 | ETF | 8,674 | $250,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 6,656 | $249,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 2,122 | $249,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 641,050 | $248,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 9,761 | $247,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 7,329 | $246,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,252 | $246,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 3,290 | $246,000 | thousands by filing date | |
| PREMIER FINANCIAL CORP | 74052F108 | COMMON STOCK | 9,590 | $246,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 20,357 | $245,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 10,485 | $245,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 756 | $245,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,293 | $244,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 15,246 | $244,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 22,434 | $244,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 8,900 | $244,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 6,015 | $243,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 15,428 | $242,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 11,845 | $242,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 5,278 | $241,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 9,522 | $241,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 2,769 | $240,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 1,731 | $239,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 4,613 | $238,000 | thousands by filing date | |
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 6,645 | $238,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 1,349 | $238,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 21,910 | $238,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092386 | STOCK FOR INFL | 8,420 | $237,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 5,362 | $236,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45783Y756 | LADDERED ALC BFR | 10,900 | $236,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 9,387 | $236,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 3,188 | $235,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 4,150 | $235,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 11,592 | $235,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 4,255 | $233,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 6,617 | $232,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 7,125 | $232,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F680 | FT VEST US EQT | 7,889 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 6,946 | $232,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 1,113 | $231,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,630 | $230,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,518 | $230,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 39,564 | $230,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 9,811 | $229,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 26,713 | $228,000 | thousands by filing date | |
| DIMENSIONAL ETF TRUST | 25434V708 | US CORE EQUITY 2 | 10,231 | $228,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,612 | $228,000 | thousands by filing date | |
| MP MATERIALS CORP | 553368101 | COM CL A | 8,337 | $228,000 | thousands by filing date | |
| PAGERDUTY INC COM | 69553P100 | Stock | 9,852 | $227,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 9,217 | $227,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 7,540 | $227,000 | thousands by filing date | |
| RIVIAN AUTOMOTIVE INC COM CL A | 76954A103 | Stock | 6,877 | $226,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 27,291 | $226,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 11,283 | $226,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 15,537 | $225,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 10,911 | $225,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 47,758 | $225,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 14,300 | $224,000 | thousands by filing date | |
| ISHARES ESG SELECT SCREENED S&P 500 ETF | 46436E569 | ETF | 8,272 | $222,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A446 | OPUS SML CP VL | 7,817 | $222,000 | thousands by filing date | |
| United States Oil Fund LP | 91232N207 | COM | 3,394 | $222,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 12,800 | $221,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 1,895 | $221,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 4,578 | $220,000 | thousands by filing date | |
| INGERSOLL RAND INC COM | 45687V106 | Stock | 5,037 | $218,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 1,281 | $218,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 2,998 | $218,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C680 | US EQTY PWR BF | 8,066 | $218,000 | thousands by filing date | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 263,050 | $218,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 3,048 | $217,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,418 | $217,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 4,051 | $217,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 2,620 | $216,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 6,104 | $216,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 2,982 | $215,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 4,282 | $215,000 | thousands by filing date | |
| ACADEMY SPORTS & OUTDOORS INC COM | 00402L107 | Stock | 5,038 | $213,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767652 | KFA MOUNT LUCAS | 5,537 | $212,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 19,551 | $211,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 11,400 | $211,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 948 | $210,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 4,416 | $210,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092709 | MSCI INDL INDX | 4,806 | $210,000 | thousands by filing date | |
| INNOVATOR U.S. EQUITY BUFFER ETF - OCTOBER | 45782C771 | ETF | 7,021 | $210,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 5,212 | $209,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 15,241 | $209,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 2,508 | $209,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 5,143 | $209,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 3,617 | $209,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 2,853 | $208,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 8,572 | $207,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 4,894 | $206,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 4,550 | $205,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 2,729 | $205,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 2,586 | $205,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U307 | FT VEST US EQT | 6,487 | $205,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H393 | INSPIRE CAPITAL | 8,875 | $205,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 5,840 | $204,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 19,170 | $204,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 3,830 | $204,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 20,100 | $204,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 3,480 | $203,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 16,615 | $203,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F862 | FT VEST US EQT | 6,170 | $203,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 7,398 | $202,000 | thousands by filing date | |
| CONCENTRIX CORP | 20602D101 | COM | 1,809 | $202,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 3,006 | $201,000 | thousands by filing date | |
| HALEON PLC SPON ADS | 405552100 | ADR | 32,711 | $199,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 85,350 | $199,000 | thousands by filing date | |
| IN8BIO INC | 45674E109 | COM | 98,750 | $199,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC | Y27183600 | COM CL A | 12,534 | $198,000 | thousands by filing date | |
| RUM GROUP INC COM CL A | 78137L105 | Stock | 15,961 | $196,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 11,290 | $194,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 23,732 | $192,000 | thousands by filing date | |
| 374WATER INC | 88583P104 | COM | 67,833 | $192,000 | thousands by filing date | |
| HEALTH ASSURANCE ACQUISITION | 42226W208 | UNIT 99/99/9999 | 19,220 | $192,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 21,965 | $191,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 22,602 | $190,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 13,447 | $188,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 23,246 | $187,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 11,130 | $186,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 16,198 | $184,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 16,179 | $180,000 | thousands by filing date | |
| TRUMP MEDIA & TECHNOLOGY GRO | 25400Q113 | *W EXP 03/25/202 | 49,705 | $179,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 18,708 | $178,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 175,000 | $178,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 23,400 | $175,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 11,518 | $173,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 10,523 | $173,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 11,100 | $173,000 | thousands by filing date | put |
| MATTERPORT INC | 577096100 | COM CL A | 45,460 | $172,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 10,081 | $166,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 11,308 | $163,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 22,822 | $160,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 10,538 | $158,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 10,600 | $158,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 11,773 | $157,000 | thousands by filing date | |
| FRANKLIN BSP REALTY TRUST IN | 35243J101 | REIT | 14,506 | $156,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 13,156 | $154,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 10,798 | $150,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 16,199 | $149,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 13,176 | $148,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 12,000 | $148,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 28,186 | $146,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,419 | $143,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092337 | FIDELITY FUND LR | 11,217 | $143,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 11,565 | $142,000 | thousands by filing date | |
| DOCGO INC | 256086109 | COM | 14,200 | $141,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 16,811 | $137,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 19,326 | $135,000 | thousands by filing date | |
| EVGO INC | 30052F100 | CL A COM | 16,716 | $132,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 38,215 | $130,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 15,746 | $129,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 23,509 | $129,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 11,229 | $128,000 | thousands by filing date | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 14,920 | $125,000 | thousands by filing date | |
| SMITH & WESSON BRANDS INC | 831754106 | COM | 11,947 | $124,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y453 | PURE US CANNABIS | 13,593 | $121,000 | thousands by filing date | |
| PETCO HEALTH AND WELLNESS CO | 71601V105 | COM | 10,788 | $120,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 10,217 | $120,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 34,876 | $119,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 10,471 | $119,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 35,053 | $116,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 10,159 | $115,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 10,458 | $115,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 10,282 | $115,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 10,201 | $115,000 | thousands by filing date | |
| HARBOR CUSTOM | 41150T207 | PFD | 10,300 | $114,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 29,539 | $113,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 10,933 | $112,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 15,680 | $112,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 19,645 | $112,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,186 | $111,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 13,483 | $109,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 13,987 | $108,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 21,862 | $107,000 | thousands by filing date | |
| PURECYCLE TECHNOLOGIES INC | 74623V103 | COM | 12,730 | $103,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 19,620 | $102,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 12,258 | $101,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 40,160 | $101,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 11,389 | $101,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 13,601 | $95,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 25,159 | $89,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 17,500 | $84,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 19,417 | $83,000 | thousands by filing date | |
| PORTAGE BIOTECH INC | G7185A128 | COM | 11,688 | $80,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 85,600 | $79,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,903 | $78,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,969 | $75,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,300 | $75,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 11,377 | $75,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 117,200 | $66,000 | thousands by filing date | |
| MOMENTUS INC | 60879E101 | COM | 47,775 | $65,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 52,148 | $62,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D200 | COMMON | 57,500 | $61,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 10,526 | $60,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 19,035 | $57,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $56,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 11,500 | $56,000 | thousands by filing date | |
| IMMUNITYBIO INC | 45256X103 | COM | 10,750 | $53,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 18,891 | $52,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 12,885 | $52,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 11,524 | $49,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 16,700 | $49,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 10,365 | $48,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 51,000 | $48,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 14,265 | $46,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 12,331 | $44,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 17,289 | $43,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 12,500 | $43,000 | thousands by filing date | call |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 47,481 | $41,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 14,300 | $39,000 | thousands by filing date | |
| GT BIOPHARMA INC | 36254L209 | COM NEW | 21,395 | $38,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 45,363 | $38,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 12,587 | $37,000 | thousands by filing date | |
| TRX GOLD CORPORATION | 87283P109 | COM | 91,505 | $36,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 14,330 | $34,000 | thousands by filing date | |
| EXICURE INC | 30205M200 | COM NEW | 21,807 | $34,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 41,150 | $31,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 18,500 | $30,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,402 | $29,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 14,000 | $29,000 | thousands by filing date | call |
| SmileDirectClub Inc | 83192H106 | COM | 29,284 | $27,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 10,692 | $26,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,100 | $25,000 | thousands by filing date | |
| CORE SCIENTIFIC INC | 21873J108 | Common Stock | 18,500 | $24,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 15,914 | $20,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 29,000 | $19,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 10,700 | $18,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 20,025 | $18,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 81,750 | $17,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 12,400 | $15,000 | thousands by filing date | call |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 16,503 | $15,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 13,200 | $12,000 | thousands by filing date | |
| Bitfarms Ltd/Canada | 09173B107 | Common Stock | 10,000 | $11,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 20,000 | $9,000 | thousands by filing date | |
| CONTEXTLOGIC INC | 21077C107 | COMMON STOCK | 10,500 | $8,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 32,000 | $5,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 17,500 | $5,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 30,445 | $4,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 12,300 | $4,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 16,996 | $3,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L113 | *W EXP 01/24/202 | 17,452 | $2,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,000 | $2,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 17,442 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-22-002048 | this filing | 2022-11-10 | acceptance time not in the bulk data set |