13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-15, with 7,190 holding rows worth $643,561,408,000.
- Accession
- 0001567619-19-010988
- Filer
- CIK 70858
- Filed
- 2019-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 21,426 entries on the cover page, a total value of $643,561,408,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $643,561,408,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
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 ETF TR | 353506108 | SHRT DUR US GOVT | 826 | $78,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 4,853 | $78,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 2,575 | $78,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 7,900 | $78,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,600 | $77,000 | thousands by filing date | call |
| LOVESAC COMPANY | 54738L109 | COM | 2,748 | $77,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 11,059 | $77,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 988 | $77,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 1,800 | $77,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 7,295 | $77,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 3,534 | $77,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 2,652 | $76,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 3,307 | $76,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 11,803 | $76,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 3,102 | $76,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 56,455 | $76,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 22,738 | $76,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 13,788 | $76,000 | thousands by filing date | |
| ODONATE THERAPEUTICS INC | 676079106 | COM | 3,400 | $76,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 1,800 | $75,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 1,844 | $75,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 8,251 | $75,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 75,000 | $75,000 | thousands by filing date | principal |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 8,164 | $75,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 8,254 | $75,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 14,118 | $74,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 9,464 | $74,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 4,089 | $74,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 57,079 | $74,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 2,014 | $74,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 5,485 | $74,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 8,295 | $74,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 6,507 | $74,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 1,951 | $73,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 4,659 | $73,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 28,983 | $73,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 2,068 | $73,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 3,425 | $73,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 13,990 | $73,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 3,179 | $73,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,542 | $72,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 1,182 | $72,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 13,846 | $72,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 3,976 | $71,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 14,569 | $71,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 855 | $71,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 10,682 | $71,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 38,037 | $71,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 2,634 | $71,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 71,000 | $71,000 | thousands by filing date | principal |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 35,393 | $70,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 13,376 | $70,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 9,991 | $70,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 322,453 | $70,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 23,416 | $70,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 10,874 | $70,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 875 | $70,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 875 | $69,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 4,162 | $69,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 7,414 | $69,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 11,857 | $69,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 7,527 | $69,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 6,879 | $69,000 | thousands by filing date | |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 2,769 | $68,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 1,913 | $68,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 18,358 | $68,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 25,818 | $68,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 4,663 | $68,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 700 | $67,000 | thousands by filing date | put |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 3,196 | $67,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 3,555 | $67,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 7,006 | $67,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 31,000 | $67,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,714 | $67,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 2,408 | $67,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 2,069 | $67,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 5,613 | $67,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 69,000 | $67,000 | thousands by filing date | principal |
| NEW HOME CO INC COM | 645370107 | COM | 14,181 | $67,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E135 | GBL X JPM ROTA | 2,791 | $67,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 6,897 | $66,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 3,626 | $66,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 4,270 | $66,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 27,225 | $66,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 2,713 | $66,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 37,004 | $66,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935805 | US VALUE FACTR | 900 | $65,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,653 | $65,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,350 | $65,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 1,702 | $65,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 750 | $65,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 25,392 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 4,994 | $65,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 2,500 | $65,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,395 | $65,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 6,423 | $65,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 1,335 | $64,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 10,583 | $64,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 26,139 | $64,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 4,495 | $64,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 4,045 | $64,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 4,517 | $63,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,702 | $63,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 1,238 | $63,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 2,205 | $63,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 2,465 | $63,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 65,000 | $63,000 | thousands by filing date | principal |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 22,687 | $63,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 875 | $63,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 4,063 | $62,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 2,290 | $62,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 807 | $62,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 3,529 | $61,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 3,794 | $61,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 1,959 | $61,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 20,008 | $61,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 12,542 | $61,000 | thousands by filing date | |
| AVEDRO INC | 05355N109 | COM | 5,006 | $61,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 10,290 | $61,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,583 | $60,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 2,131 | $60,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,324 | $60,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 9,084 | $60,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,000 | $60,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 21,296 | $60,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,799 | $59,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 2,327 | $59,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 20,000 | $59,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 4,029 | $59,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 17,400 | $59,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 2,653 | $58,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 15,880 | $58,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,116 | $58,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,839 | $58,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 16,982 | $58,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 11,392 | $58,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 514 | $58,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,673 | $58,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 20,178 | $58,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 10,753 | $58,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 3,223 | $57,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 5,615 | $57,000 | thousands by filing date | |
| BROOKFIELD BUSINESS PARTNERS | G16234109 | COMMON STOCK-FO | 1,440 | $57,000 | thousands by filing date | |
| MORPHOSYS AG | 617760202 | ADR | 2,523 | $57,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 6,161 | $57,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 15,488 | $57,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 3,213 | $57,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 8,565 | $57,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 16,789 | $57,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 2,562 | $57,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 700 | $56,000 | thousands by filing date | call |
| PROSHARES TR | 74347B581 | SP500 EX ENRGY | 937 | $56,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 2,000 | $55,000 | thousands by filing date | call |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 300 | $55,000 | thousands by filing date | call |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 2,388 | $55,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,267 | $55,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 4,039 | $55,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 4,178 | $55,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 155,774 | $55,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,712 | $55,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,192 | $55,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 2,118 | $55,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 700 | $54,000 | thousands by filing date | call |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 3,142 | $54,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 5,959 | $54,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 50,000 | $54,000 | thousands by filing date | put |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 4,589 | $54,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 2,300 | $53,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 852 | $53,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 41,980 | $53,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,827 | $53,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 3,503 | $53,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 26,735 | $53,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 1,405 | $53,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 34,020 | $53,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 2,463 | $53,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 4,309 | $52,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 1,772 | $52,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 3,026 | $52,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 756 | $52,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 3,028 | $52,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 8,218 | $52,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 6,648 | $52,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 4,943 | $52,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 4,448 | $51,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 28,834 | $51,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 25,801 | $51,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 12,894 | $51,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,256 | $51,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,342 | $51,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 17,925 | $51,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 2,837 | $51,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 12,161 | $51,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 3,744 | $51,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 8,288 | $51,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 3,626 | $50,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 13,906 | $50,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 3,320 | $50,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 7,438 | $50,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 2,923 | $50,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,827 | $50,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 2,558 | $49,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 2,123 | $49,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 2,000 | $49,000 | thousands by filing date | call |
| QUANTERIX CORP | 74766Q101 | COMMON STOCK | 1,881 | $49,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,486 | $49,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 4,000 | $49,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 1,903 | $49,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 3,481 | $48,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 6,009 | $48,000 | thousands by filing date | |
| FIRST TR NASDAQ SMART PHONE | 33737K106 | COM SHS | 977 | $48,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,850 | $47,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 782 | $47,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 3,611 | $47,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 6,133 | $47,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 630 | $47,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 2,599 | $47,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 183,275 | $47,000 | thousands by filing date | principal |
| AVID BIOSERVICES INC | 05368M106 | COM | 11,018 | $47,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,257 | $47,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 1,542 | $47,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,370 | $47,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 4,139 | $47,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 1,200 | $46,000 | thousands by filing date | call |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 580 | $46,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 3,141 | $46,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,000 | $46,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,500 | $46,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,640 | $46,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 3,284 | $46,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 3,082 | $46,000 | thousands by filing date | |
| PACER FDS TR | 69374H832 | MILTRY TIMS ETF | 1,706 | $46,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 1,883 | $46,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 8,558 | $45,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,419 | $45,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 2,575 | $45,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,828 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 2,100 | $45,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 4,634 | $45,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 26,470 | $45,000 | thousands by filing date | |
| USAA ETF TR | 90291F204 | MSCI USA SMALL | 877 | $45,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 3,907 | $44,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 572 | $44,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 3,290 | $44,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,197 | $44,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,723 | $44,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 2,741 | $44,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 17,965 | $44,000 | thousands by filing date | |
| CARBONITE INC | 141337AB1 | NOTE 2.500% 4/0 | 38,000 | $44,000 | thousands by filing date | principal |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 14,164 | $43,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 3,899 | $43,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 3,142 | $43,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 3,168 | $43,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,594 | $43,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 17,933 | $43,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,110 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,115 | $43,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 7,170 | $43,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 3,462 | $42,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 21,326 | $42,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 2,737 | $42,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 5,570 | $42,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 650 | $42,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 2,052 | $42,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,468 | $42,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 13,793 | $42,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,756 | $42,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 3,929 | $42,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 13,507 | $41,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 2,353 | $41,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $41,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E851 | DAILY JR BULL 3X | 4,158 | $41,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 6,600 | $41,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 2,409 | $40,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,340 | $40,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 13,469 | $40,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 19,500 | $40,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 39,000 | $40,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q650 | WRKPLC EQL PRT | 1,102 | $40,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 4,616 | $40,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,237 | $39,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 4,177 | $39,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 2,504 | $39,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 17,386 | $39,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 4,968 | $39,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 4,730 | $39,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,944 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,434 | $39,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 19,979 | $39,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,688 | $39,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,375 | $38,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 10,752 | $38,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 9,050 | $38,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,000 | $38,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $38,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 1,490 | $38,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 19,741 | $38,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 17,452 | $38,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 10,714 | $38,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V654 | DYNMC RETAIL | 1,033 | $38,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 2,571 | $38,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 7,709 | $38,000 | thousands by filing date | |
| DREYFUS ALCENTRA GBL CR INCO | 26189A105 | COM | 4,287 | $38,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,850 | $37,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 2,135 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,800 | $37,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,939 | $37,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 3,850 | $37,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,000 | $37,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,000 | $37,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 6,416 | $37,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 5,293 | $37,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 3,128 | $36,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 7,000 | $36,000 | thousands by filing date | put |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 7,000 | $36,000 | thousands by filing date | call |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 23,300 | $36,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,100 | $36,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 1,832 | $36,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 6,300 | $36,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 8,684 | $36,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 1,799 | $36,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,663 | $36,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,703 | $36,000 | thousands by filing date | |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 16,764 | $36,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,318 | $36,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 1,498 | $35,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 3,126 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y609 | CMN | 1,482 | $35,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 912 | $35,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 8,779 | $35,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 57,357 | $35,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,528 | $35,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 5,383 | $35,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,472 | $35,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 1,682 | $35,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 9,503 | $34,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 11,991 | $34,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B202 | EM CORE EX ETF | 1,353 | $34,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 3,358 | $34,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 2,353 | $34,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 1,000 | $34,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,973 | $34,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 31,089 | $34,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 2,599 | $34,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,309 | $33,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,037 | $33,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 1,933 | $33,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,103 | $33,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 5,390 | $33,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 1,402 | $33,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 1,343 | $33,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 4,358 | $33,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 20,000 | $33,000 | thousands by filing date | |
| OSI ETF TR | 67110P100 | OSI ETF TR | 1,240 | $33,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 35,000 | $33,000 | thousands by filing date | principal |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,054 | $32,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 512 | $32,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 3,775 | $32,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 3,280 | $32,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 15,930 | $32,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 51,229 | $32,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 17,000 | $32,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 32,000 | $32,000 | thousands by filing date | principal |
| ASHFORD INC | 044104107 | COM | 586 | $32,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 7,852 | $32,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 1,102 | $32,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 200 | $31,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 1,114 | $31,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 689 | $31,000 | thousands by filing date | |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 1,148 | $31,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 2,545 | $31,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 1,716 | $31,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 700 | $31,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 2,536 | $31,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 1,124 | $31,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 7,803 | $31,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 1,126 | $31,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 700 | $30,000 | thousands by filing date | call |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 4,373 | $30,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 700 | $30,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L746 | US QUALITY CAP | 903 | $30,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 2,156 | $30,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 14,775 | $30,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 1,457 | $30,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 26,000 | $30,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 53,000 | $30,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,963 | $29,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 579 | $29,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,550 | $29,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 4,998 | $29,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 1,000 | $29,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 16,732 | $29,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 2,147 | $29,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 1,320 | $29,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 21,109 | $29,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,744 | $29,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 17,425 | $28,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 3,109 | $28,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 28,600 | $28,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 4,233 | $28,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,325 | $28,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,360 | $28,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 2,854 | $28,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 3,687 | $28,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 6,164 | $28,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $28,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 1,249 | $28,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 902 | $27,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 4,059 | $27,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 9,533 | $27,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 400 | $27,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 1,260 | $27,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 868 | $27,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 999 | $27,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,897 | $27,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 9,006 | $27,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 2,078 | $27,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,810 | $27,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 8,949 | $27,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 7,694 | $27,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $26,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,176 | $26,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 533 | $26,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 850 | $26,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 4,558 | $26,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,588 | $26,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 5,244 | $26,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,946 | $26,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 4,914 | $26,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 2,900 | $26,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| iShares ESG Aware US Aggregate Bond ETF | 46435U549 | SHS | 475 | $25,000 | thousands by filing date | |
| KODIAK SCIENCES INC | 50015M109 | COM | 3,774 | $25,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 5,507 | $25,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 4,251 | $25,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,600 | $25,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,039 | $25,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,015 | $25,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 14,360 | $25,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 3,179 | $25,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 22,594 | $25,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 1,468 | $25,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 3,666 | $25,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 1,588 | $25,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,400 | $24,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 6,716 | $24,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 317 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 1,037 | $24,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 6,049 | $24,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 750 | $24,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 35,000 | $24,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 29,000 | $24,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 5,963 | $24,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 848 | $24,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 9,140 | $24,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 21,455 | $24,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,200 | $24,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 900 | $24,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 9,092 | $24,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 20,058 | $24,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 43,400 | $23,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 5,557 | $23,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 6,162 | $23,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 1,563 | $23,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 5,306 | $23,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,027 | $23,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 2,800 | $23,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 7,500 | $23,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 1,757 | $23,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 989 | $23,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L753 | CR SCORED LONG | 435 | $23,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 11,667 | $23,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 8,853 | $23,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,545 | $23,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 17,803 | $23,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 1,454 | $23,000 | thousands by filing date | |
| iShares Trust iShares USD Green Bond ETF | 46435U440 | SHS | 416 | $22,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 774 | $22,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 1,075 | $22,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 2,911 | $22,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 29,614 | $22,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $22,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 22,629 | $22,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 22,000 | $22,000 | thousands by filing date | principal |
| CIM COML TR CORP | 125525105 | COM | 1,176 | $22,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,847 | $21,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $21,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 4,496 | $21,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 785 | $21,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,906 | $21,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,500 | $21,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 2,096 | $21,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 3,063 | $21,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,227 | $21,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 21,000 | $21,000 | thousands by filing date | principal |
| TECNOGLASS INC | G87264100 | ORD SHS | 2,783 | $20,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 4,034 | $20,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 6,905 | $20,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 1,274 | $20,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 6,145 | $20,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-010988 | this filing | 2019-05-15 | acceptance time not in the bulk data set |