13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 6,967 holding rows worth $208,022,192,000.
- Accession
- 0001567619-19-004295
- Filer
- CIK 1000275
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 25,895 entries on the cover page, a total value of $208,022,192,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $208,022,192,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAston Asset Management, LLC028-12347
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
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 |
|---|---|---|---|---|---|---|
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 291 | $8,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 100 | $8,000 | thousands by filing date | put |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 2,340 | $8,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $8,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,285 | $8,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 316 | $8,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 600 | $8,000 | thousands by filing date | call |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 350 | $8,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,500 | $8,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 924 | $8,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 183 | $8,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 8,451 | $8,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,000 | $8,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 3,500 | $8,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 9,000 | $8,000 | thousands by filing date | principal |
| PDVWIRELESS INC | 69290R104 | COM | 222 | $8,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E677 | GLOBAL GLD PREC | 450 | $8,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 600 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 400 | $8,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 188 | $7,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 200 | $7,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 200 | $7,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 617 | $7,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 200 | $7,000 | thousands by filing date | call |
| CAMTEK LTD ORD | M20791105 | Stock | 1,000 | $7,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 1,500 | $7,000 | thousands by filing date | call |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 500 | $7,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 300 | $7,000 | thousands by filing date | call |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 542 | $7,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 365 | $7,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 300 | $7,000 | thousands by filing date | call |
| PG&E CORP COM | 69331C108 | Stock | 300 | $7,000 | thousands by filing date | put |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 100 | $7,000 | thousands by filing date | call |
| FORTIVE CORP COM | 34959J108 | Stock | 100 | $7,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 115 | $7,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 600 | $7,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 10,000 | $7,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 4,339 | $7,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 269 | $7,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 982 | $7,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 157 | $7,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 308 | $7,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 4,177 | $7,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V449 | S&P 100 EQL WIGH | 150 | $7,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q845 | DIVERSFD EQT ETF | 260 | $7,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 1,000 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 115 | $7,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 1,327 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 80 | $7,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $7,000 | thousands by filing date | principal |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 1,000 | $7,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 100 | $7,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 435 | $7,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,760 | $7,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 400 | $7,000 | thousands by filing date | |
| EVENTBRITE INC | 29975E109 | COM CL A | 250 | $7,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 5,490 | $7,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 700 | $7,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 8,000 | $7,000 | thousands by filing date | principal |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 431 | $7,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 256 | $7,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 300 | $7,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 725 | $7,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 631 | $7,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 7,000 | $7,000 | thousands by filing date | principal |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 610 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 602 | $7,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 416 | $7,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 729 | $7,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 780 | $7,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 435 | $7,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 9,000 | $7,000 | thousands by filing date | principal |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 2,008 | $7,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 7,000 | $7,000 | thousands by filing date | principal |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 8,083 | $7,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 300 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 910 | $7,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 800 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K810 | MD CP BEAR 3X NW | 401 | $7,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 7,000 | $7,000 | thousands by filing date | principal |
| WOORI BK | 98105T104 | ADR | 163 | $7,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E309 | VLCTYSHS 3X INV | 449 | $7,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 800 | $6,000 | thousands by filing date | call |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 334 | $6,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 500 | $6,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 190 | $6,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 100 | $6,000 | thousands by filing date | call |
| PACCAR INC COM | 693718108 | Stock | 100 | $6,000 | thousands by filing date | call |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $6,000 | thousands by filing date | put |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 100 | $6,000 | thousands by filing date | call |
| KELLANOVA | 487836108 | COM | 100 | $6,000 | thousands by filing date | call |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 200 | $6,000 | thousands by filing date | call |
| CRONOS GROUP INC | 22717L101 | COM | 600 | $6,000 | thousands by filing date | call |
| STOCK YDS BANCORP INC | 861025104 | COM | 171 | $6,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 209 | $6,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 500 | $6,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,749 | $6,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 54 | $6,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,635 | $6,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE-TRA | 74255Y870 | USMC | 248 | $6,000 | thousands by filing date | |
| XEROX CORP | 984121608 | COM NEW | 300 | $6,000 | thousands by filing date | put |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 1,100 | $6,000 | thousands by filing date | put |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| AUBURN NATL BANCORP | 050473107 | COM | 206 | $6,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 3,902 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 72 | $6,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 380 | $6,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,000 | $6,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 9,200 | $6,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 171 | $6,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,000 | $6,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 777 | $6,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 900 | $6,000 | thousands by filing date | call |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 1,500 | $6,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 1,500 | $6,000 | thousands by filing date | put |
| COOPER TIRE & RUBR CO | 216831107 | COM | 200 | $6,000 | thousands by filing date | call |
| DERMIRA INC | 24983L104 | COM | 827 | $6,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 2,505 | $6,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 300 | $6,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 370 | $6,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 1,000 | $6,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 348 | $6,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,000 | $6,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,600 | $6,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 274 | $6,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,000 | $6,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 429 | $6,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 3,000 | $6,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 6,000 | $6,000 | thousands by filing date | principal |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 2,500 | $6,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,000 | $6,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 6,000 | $6,000 | thousands by filing date | principal |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 12,355 | $6,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 170 | $5,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 37 | $5,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 192 | $5,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 400 | $5,000 | thousands by filing date | call |
| EXELON CORP COM | 30161N101 | Stock | 100 | $5,000 | thousands by filing date | call |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $5,000 | thousands by filing date | call |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 100 | $5,000 | thousands by filing date | put |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 100 | $5,000 | thousands by filing date | call |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 300 | $5,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 100 | $5,000 | thousands by filing date | put |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,596 | $5,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 300 | $5,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,000 | $5,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 114 | $5,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 276 | $5,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 300 | $5,000 | thousands by filing date | call |
| GOLDMAN SACHS ETF TR | 381430602 | ACTIVEBETA US | 125 | $5,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 750 | $5,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 400 | $5,000 | thousands by filing date | put |
| HANESBRANDS INC | 410345102 | COM | 400 | $5,000 | thousands by filing date | call |
| UNITI GROUP INC | 91325V108 | COM | 300 | $5,000 | thousands by filing date | call |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 500 | $5,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 200 | $5,000 | thousands by filing date | put |
| MINDBODY INC | 60255W105 | COM CL A | 140 | $5,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 400 | $5,000 | thousands by filing date | call |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,585 | $5,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 319 | $5,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 1,915 | $5,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 166 | $5,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 252 | $5,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 91 | $5,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 2,209 | $5,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 200 | $5,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,500 | $5,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 500 | $5,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,667 | $5,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 200 | $5,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 348 | $5,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 219 | $5,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 210 | $5,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 7,387 | $5,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 2,500 | $5,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 297 | $5,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 287 | $5,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 2,106 | $5,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 2,200 | $5,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 800 | $5,000 | thousands by filing date | put |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 197 | $5,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 2,354 | $5,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 7,038 | $5,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 2,300 | $5,000 | thousands by filing date | call |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 200 | $5,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 889 | $5,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 21,500 | $5,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,810 | $5,000 | thousands by filing date | |
| DANAOS CORP | Y1968P105 | SHS | 6,640 | $5,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 180 | $5,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 499 | $5,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 300 | $5,000 | thousands by filing date | call |
| DAVIDSTEA INC | 238661102 | COM | 4,205 | $5,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 2,009 | $5,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 1,007 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 300 | $5,000 | thousands by filing date | put |
| WILLSCOT CORP | 971375126 | COM | 601 | $5,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 419 | $5,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 12,731 | $5,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAG9 | NOTE 2.750%12/0 | 5,000 | $5,000 | thousands by filing date | principal |
| PROSHARES TR | 74348A392 | ULTPRO SHT MDCP | 384 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 100 | $4,000 | thousands by filing date | put |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 500 | $4,000 | thousands by filing date | call |
| AGNC INVT CORP COM | 00123Q104 | REIT | 200 | $4,000 | thousands by filing date | call |
| NUTANIX INC CL A | 67059N108 | Stock | 100 | $4,000 | thousands by filing date | call |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 100 | $4,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 500 | $4,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 236 | $4,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 200 | $4,000 | thousands by filing date | call |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 165 | $4,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 100 | $4,000 | thousands by filing date | put |
| PAPA JOHNS INTL INC | 698813102 | COM | 100 | $4,000 | thousands by filing date | call |
| SHOE STA GROUP INC | 824889109 | COM | 92 | $4,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 200 | $4,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 690370101 | COM | 300 | $4,000 | thousands by filing date | put |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 109 | $4,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 277 | $4,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 100 | $4,000 | thousands by filing date | put |
| VERICEL CORP | 92346J108 | COM | 202 | $4,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 100 | $4,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 100 | $4,000 | thousands by filing date | call |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 100 | $4,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 500 | $4,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 81 | $4,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 100 | $4,000 | thousands by filing date | put |
| CONTINENTAL RES INC | 212015101 | COM | 100 | $4,000 | thousands by filing date | call |
| U S SILICA HLDGS INC | 90346E103 | COM | 400 | $4,000 | thousands by filing date | call |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 350 | $4,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 400 | $4,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 300 | $4,000 | thousands by filing date | put |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 400 | $4,000 | thousands by filing date | call |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 158 | $4,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 300 | $4,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,100 | $4,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 1,000 | $4,000 | thousands by filing date | put |
| United States Brent Oil Fund L | 91167Q100 | COM | 250 | $4,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 2,500 | $4,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 300 | $4,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 100 | $4,000 | thousands by filing date | call |
| KEANE GROUP INC | 48669A108 | COM | 512 | $4,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 200 | $4,000 | thousands by filing date | put |
| MARCHEX INC | 56624R108 | CMN | 1,500 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051242 | CMN | 182 | $4,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,189 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 220 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 200 | $4,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 200 | $4,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 255 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 73 | $4,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 70 | $4,000 | thousands by filing date | principal |
| MEDICINES CO | 584688105 | COM | 202 | $4,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 891 | $4,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 300 | $4,000 | thousands by filing date | put |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 145 | $4,000 | thousands by filing date | |
| BRIGHTSPHERE INVESTMENT GROUP | G1644T109 | COMMON STOCK-FO | 361 | $4,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 886 | $4,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 512 | $4,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 171 | $4,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 145 | $4,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,600 | $4,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,475 | $4,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 1,036 | $4,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 5,000 | $4,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| OPTINOSE INC | 68404V100 | COM | 650 | $4,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 3,070 | $4,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 336 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $4,000 | thousands by filing date | principal |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 2,500 | $4,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 227 | $4,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 1,880 | $4,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 154 | $4,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,839 | $4,000 | thousands by filing date | |
| IMPRIMIS PHARMA IMMY | 45323A201 | COMMON | 720 | $4,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 500 | $4,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 170 | $4,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 394 | $4,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 4,985 | $4,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 246 | $4,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 699 | $4,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,008 | $4,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 1,465 | $4,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $4,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 11,553 | $4,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 457 | $4,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,631 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A178 | ULTRAPRO DOW 30 | 202 | $4,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 163 | $4,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 225 | $4,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 521 | $4,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 374 | $4,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 97 | $4,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 900 | $4,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 800 | $4,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 725 | $4,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 5,000 | $4,000 | thousands by filing date | principal |
| GNC Holdings | 36191GAB3 | CONV BOND | 5,000 | $4,000 | thousands by filing date | principal |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 4,000 | $4,000 | thousands by filing date | principal |
| PRESBIA PLC | G7234P100 | SHS | 12,502 | $4,000 | thousands by filing date | |
| REALITY | 75605A884 | SHS ETF TR FUNDDSTRAT DQM | 182 | $4,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 200 | $3,000 | thousands by filing date | call |
| GERON CORP | 374163103 | COM | 3,450 | $3,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 500 | $3,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 405 | $3,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 100 | $3,000 | thousands by filing date | call |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 100 | $3,000 | thousands by filing date | put |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 165 | $3,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 100 | $3,000 | thousands by filing date | put |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 100 | $3,000 | thousands by filing date | put |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 100 | $3,000 | thousands by filing date | put |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 100 | $3,000 | thousands by filing date | call |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 500 | $3,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 269 | $3,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 667 | $3,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 979 | $3,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 94 | $3,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 91 | $3,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 192 | $3,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 400 | $3,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 120 | $3,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 800 | $3,000 | thousands by filing date | call |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 120 | $3,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 100 | $3,000 | thousands by filing date | call |
| LIVEPERSON, INC. | 538146101 | COM | 150 | $3,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 300 | $3,000 | thousands by filing date | call |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 200 | $3,000 | thousands by filing date | call |
| BIG LOTS INC | 089302103 | COM | 100 | $3,000 | thousands by filing date | call |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 217 | $3,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 145 | $3,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 115 | $3,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 501 | $3,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 593 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 221 | $3,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 225 | $3,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 244 | $3,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 122 | $3,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 1,500 | $3,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,205 | $3,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 137 | $3,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 73 | $3,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 592 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 75 | $3,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 110 | $3,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 200 | $3,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 269 | $3,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 319 | $3,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 200 | $3,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 220 | $3,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 850 | $3,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 87 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 200 | $3,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 300 | $3,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 147 | $3,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 403 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 336 | $3,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 345 | $3,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 800 | $3,000 | thousands by filing date | call |
| PLAYAGS INC | 72814N104 | COM | 139 | $3,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 800 | $3,000 | thousands by filing date | put |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 750 | $3,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 680 | $3,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 200 | $3,000 | thousands by filing date | put |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,200 | $3,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 135 | $3,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,860 | $3,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $3,000 | thousands by filing date | principal |
| SERES THERAPEUTICS INC | 81750R102 | COM | 600 | $3,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 1,223 | $3,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 500 | $3,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 1,750 | $3,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 2,000 | $3,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,260 | $3,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 879 | $3,000 | thousands by filing date | |
| Ambac Financial Group Wt 4/30/2023 | 023139116 | *W EXP 04/30/202 | 347 | $3,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 300 | $3,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 12,290 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,325 | $3,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 51 | $3,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 600 | $3,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 900 | $3,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 862 | $3,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 4,000 | $3,000 | thousands by filing date | principal |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 500 | $3,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 4,075 | $3,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 2,016 | $3,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 6,600 | $3,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 79 | $3,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 175 | $3,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 2,509 | $3,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 3,515 | $3,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 1,075 | $3,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U605 | ORGANICS ETF | 160 | $3,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $3,000 | thousands by filing date | principal |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 4,000 | $3,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,000 | $3,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 2,000 | $3,000 | thousands by filing date | principal |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 218 | $3,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 893 | $3,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 384 | $3,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 5,000 | $3,000 | thousands by filing date | principal |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 100 | $3,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,925 | $3,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 500 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A768 | PRMSE CP DIVRSFD | 89 | $3,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 2,569 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 365 | $3,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 4,167 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 4,000 | $3,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 200 | $3,000 | thousands by filing date | |
| ELBIT IMAGING LTD | M37605124 | SHS | 2,667 | $3,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y594 | PAC EN FLTG RT | 55 | $3,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 100 | $2,000 | thousands by filing date | call |
| GEVO INC | 374396406 | COM PAR | 1,001 | $2,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 100 | $2,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 4,375 | $2,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 270 | $2,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 100 | $2,000 | thousands by filing date | put |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 100 | $2,000 | thousands by filing date | call |
| PG&E CORP COM | 69331C108 | Stock | 100 | $2,000 | thousands by filing date | call |
| DROPBOX INC CL A | 26210C104 | Stock | 100 | $2,000 | thousands by filing date | put |
| EVERPURE INC CL A | 74624M102 | Stock | 100 | $2,000 | thousands by filing date | call |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 100 | $2,000 | thousands by filing date | call |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 100 | $2,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 100 | $2,000 | thousands by filing date | call |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 100 | $2,000 | thousands by filing date | put |
| POWELL INDS INC | 739128106 | COM | 69 | $2,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 485 | $2,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 49 | $2,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 87 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 2,907 | $2,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 400 | $2,000 | thousands by filing date | call |
| GNC HLDGS INC | 36191G107 | COM CL A | 900 | $2,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 200 | $2,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F627 | CHINE INNOV ETF | 82 | $2,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 41 | $2,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 113 | $2,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 82 | $2,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 309 | $2,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 373 | $2,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 102 | $2,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 2,873 | $2,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 203 | $2,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 37 | $2,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 200 | $2,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 100 | $2,000 | thousands by filing date | put |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 100 | $2,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 300 | $2,000 | thousands by filing date | call |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $2,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 79 | $2,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 240 | $2,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 100 | $2,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 101 | $2,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 500 | $2,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 179 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 107 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 122 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 100 | $2,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,030 | $2,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 100 | $2,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 1,200 | $2,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 400 | $2,000 | thousands by filing date | put |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 2,500 | $2,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,850 | $2,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 73 | $2,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 500 | $2,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 2,600 | $2,000 | thousands by filing date | |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 138 | $2,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 668 | $2,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 215 | $2,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 306 | $2,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 126 | $2,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 208 | $2,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 330 | $2,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 141 | $2,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 1,200 | $2,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,720 | $2,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 500 | $2,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 335 | $2,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 6,517 | $2,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 284 | $2,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,000 | $2,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 1,700 | $2,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 1,132 | $2,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 10,500 | $2,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 2,000 | $2,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,100 | $2,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 291 | $2,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 25 | $2,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 386 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-004295 | this filing | 2019-02-14 | acceptance time not in the bulk data set |