13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-15, with 7,014 holding rows worth $234,152,580,000.
- Accession
- 0001567619-19-011119
- Filer
- CIK 1000275
- 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, 25,016 entries on the cover page, a total value of $234,152,580,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $234,152,580,000 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 | 35473P603 | CMN | 400 | $10,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $10,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 500 | $10,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 4,200 | $10,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 500 | $10,000 | thousands by filing date | call |
| OFFICE DEPOT INC | 676220106 | COM | 2,800 | $10,000 | thousands by filing date | call |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,196 | $10,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,000 | $10,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 137 | $10,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 246 | $10,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 2,000 | $10,000 | thousands by filing date | principal |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $10,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $10,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 470 | $10,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,397 | $10,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 7,719 | $10,000 | thousands by filing date | |
| AMERICAS SILVER CORP | 03063L705 | COM NEW | 6,083 | $10,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 4,000 | $10,000 | thousands by filing date | principal |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 1,625 | $10,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 300 | $10,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 354 | $10,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C781 | GLOBAL ESG ETF | 346 | $10,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 200 | $9,000 | thousands by filing date | put |
| Vanguard Energy ETF | 92204A306 | SHS | 100 | $9,000 | thousands by filing date | put |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 316 | $9,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 63 | $9,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 400 | $9,000 | thousands by filing date | put |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 249 | $9,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 407 | $9,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 500 | $9,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 150 | $9,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 100 | $9,000 | thousands by filing date | call |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 415 | $9,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 200 | $9,000 | thousands by filing date | call |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 200 | $9,000 | thousands by filing date | put |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 200 | $9,000 | thousands by filing date | call |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 200 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 166 | $9,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 500 | $9,000 | thousands by filing date | call |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 300 | $9,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,250 | $9,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 400 | $9,000 | thousands by filing date | call |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 466 | $9,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 1,930 | $9,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 461 | $9,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 430 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P207 | EMER MKT COR DIV | 291 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 400 | $9,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 2,500 | $9,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 770 | $9,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 322 | $9,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 600 | $9,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 1,679 | $9,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,500 | $9,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 1,392 | $9,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 178 | $9,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 703 | $9,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 269 | $9,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 4,165 | $9,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 659 | $9,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 8,502 | $9,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 1,615 | $9,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 5,618 | $9,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,568 | $9,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 1,475 | $9,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 170 | $9,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 274 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 355 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 400 | $9,000 | thousands by filing date | |
| PRESBIA PLC | G7234P100 | SHS | 12,502 | $9,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 300 | $8,000 | thousands by filing date | call |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,400 | $8,000 | thousands by filing date | call |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 200 | $8,000 | thousands by filing date | call |
| D R HORTON INC COM | 23331A109 | Stock | 200 | $8,000 | thousands by filing date | call |
| FORTINET INC COM | 34959E109 | Stock | 100 | $8,000 | thousands by filing date | call |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 100 | $8,000 | thousands by filing date | call |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 400 | $8,000 | thousands by filing date | put |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 500 | $8,000 | thousands by filing date | call |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 300 | $8,000 | thousands by filing date | call |
| CROCS INC COM | 227046109 | Stock | 300 | $8,000 | thousands by filing date | call |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 200 | $8,000 | thousands by filing date | put |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 458 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 345 | $8,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 383 | $8,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 200 | $8,000 | thousands by filing date | put |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 700 | $8,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 600 | $8,000 | thousands by filing date | call |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 386 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,694 | $8,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 544 | $8,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 1,007 | $8,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,635 | $8,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 166 | $8,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 4,000 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,300 | $8,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,000 | $8,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,561 | $8,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 15,700 | $8,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 700 | $8,000 | thousands by filing date | call |
| COMSCORE INC | 20564W105 | COM | 400 | $8,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 350 | $8,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 11,462 | $8,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 800 | $8,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 2,416 | $8,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 8,000 | $8,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,400 | $8,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 107 | $8,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,600 | $8,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 425 | $8,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 34,000 | $8,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 200 | $8,000 | thousands by filing date | put |
| RETAIL VALUE INC | 76133Q102 | COM | 257 | $8,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 400 | $8,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 700 | $8,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 8,035 | $8,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 300 | $8,000 | thousands by filing date | |
| CYTRX CORP | 232828608 | COM PAR | 12,481 | $8,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 2,005 | $8,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 100 | $7,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 800 | $7,000 | thousands by filing date | call |
| EXELIXIS INC COM | 30161Q104 | Stock | 300 | $7,000 | thousands by filing date | call |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 100 | $7,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 300 | $7,000 | thousands by filing date | call |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $7,000 | thousands by filing date | put |
| PITNEY BOWES INC COM | 724479100 | Stock | 1,000 | $7,000 | thousands by filing date | call |
| BEST BUY INC COM | 086516101 | Stock | 100 | $7,000 | thousands by filing date | call |
| TYSON FOODS INC CL A | 902494103 | Stock | 100 | $7,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 400 | $7,000 | thousands by filing date | call |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,540 | $7,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 3,100 | $7,000 | thousands by filing date | call |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,953 | $7,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 1,375 | $7,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 300 | $7,000 | thousands by filing date | call |
| GRUBHUB INC | 400110102 | COM | 100 | $7,000 | thousands by filing date | put |
| U S SILICA HLDGS INC | 90346E103 | COM | 400 | $7,000 | thousands by filing date | call |
| NEKTAR THERAPEUTICS | 640268108 | COM | 200 | $7,000 | thousands by filing date | call |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,749 | $7,000 | thousands by filing date | |
| TRUBRIDGE INC | 205306103 | COM | 220 | $7,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 232 | $7,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 1,009 | $7,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 1,000 | $7,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 80 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $7,000 | thousands by filing date | principal |
| MARCHEX INC | 56624R108 | CMN | 1,500 | $7,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 380 | $7,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 600 | $7,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 2,281 | $7,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 838 | $7,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 600 | $7,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 2,200 | $7,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 1,780 | $7,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 300 | $7,000 | thousands by filing date | call |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 249 | $7,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,720 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 200 | $7,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 245 | $7,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 8,000 | $7,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 321 | $7,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 507 | $7,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 4,525 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 416 | $7,000 | thousands by filing date | |
| MFC BANCORP LTD | G60630103 | USD MFC SHS | 1,007 | $7,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 286 | $7,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 3,500 | $7,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 800 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 600 | $7,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,000 | $7,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 6,000 | $7,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B219 | ULSHRT SEMIC NEW | 500 | $7,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 800 | $6,000 | thousands by filing date | call |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 300 | $6,000 | thousands by filing date | put |
| SCHOLASTIC CORP COM | 807066105 | Stock | 168 | $6,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 300 | $6,000 | thousands by filing date | call |
| MARATHON PETE CORP COM | 56585A102 | Stock | 100 | $6,000 | thousands by filing date | call |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 204 | $6,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 300 | $6,000 | thousands by filing date | call |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $6,000 | thousands by filing date | call |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 300 | $6,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 100 | $6,000 | thousands by filing date | call |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 100 | $6,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,020 | $6,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 100 | $6,000 | thousands by filing date | call |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 600 | $6,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 136 | $6,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 100 | $6,000 | thousands by filing date | put |
| MAXLINEAR INC | 57776J100 | COM | 264 | $6,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 154 | $6,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 201 | $6,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 467 | $6,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 100 | $6,000 | thousands by filing date | call |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 500 | $6,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 387 | $6,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 120 | $6,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 260 | $6,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 100 | $6,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 355 | $6,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 262 | $6,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,883 | $6,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 400 | $6,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,100 | $6,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 1,436 | $6,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 900 | $6,000 | thousands by filing date | put |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,500 | $6,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 500 | $6,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 300 | $6,000 | thousands by filing date | call |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 200 | $6,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 507 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 255 | $6,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 348 | $6,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 247 | $6,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 464 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 5,500 | $6,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 214 | $6,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,657 | $6,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 300 | $6,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 300 | $6,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 7,700 | $6,000 | thousands by filing date | call |
| LRAD CORP | 50213V109 | COM | 2,000 | $6,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,000 | $6,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 180 | $6,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 274 | $6,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 1,350 | $6,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 300 | $6,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T217 | VLCTYSHS 3X S&P | 200 | $6,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 402 | $6,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,631 | $6,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 800 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 600 | $6,000 | thousands by filing date | put |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 530 | $6,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 3,123 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 1,254 | $6,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 2,000 | $6,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 623 | $6,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 4,167 | $6,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 100 | $6,000 | thousands by filing date | principal |
| TJX Companies Inc | 872540109 | COM | 100 | $5,000 | thousands by filing date | put |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 451 | $5,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 400 | $5,000 | thousands by filing date | call |
| MOSAIC CO COM | 61945C103 | Stock | 200 | $5,000 | thousands by filing date | call |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 192 | $5,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 106 | $5,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 200 | $5,000 | thousands by filing date | call |
| EXELON CORP COM | 30161N101 | Stock | 100 | $5,000 | thousands by filing date | call |
| DOCUSIGN INC COM | 256163106 | Stock | 100 | $5,000 | thousands by filing date | put |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 100 | $5,000 | thousands by filing date | put |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 100 | $5,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 2,300 | $5,000 | thousands by filing date | call |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 200 | $5,000 | thousands by filing date | call |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 300 | $5,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 500 | $5,000 | thousands by filing date | call |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 200 | $5,000 | thousands by filing date | call |
| BUNGE LTD | G16962105 | COM | 100 | $5,000 | thousands by filing date | call |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 100 | $5,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 573 | $5,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 64 | $5,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 300 | $5,000 | thousands by filing date | put |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 350 | $5,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 310 | $5,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,000 | $5,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 94 | $5,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 218 | $5,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 177 | $5,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 153 | $5,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 250 | $5,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 100 | $5,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 200 | $5,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 100 | $5,000 | thousands by filing date | call |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 610 | $5,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 360 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 220 | $5,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 620 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 200 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 200 | $5,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 222 | $5,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 8,000 | $5,000 | thousands by filing date | |
| Direxion Daily Small Cap Bear | 25490k521 | COM | 500 | $5,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 400 | $5,000 | thousands by filing date | call |
| SPIRIT AIRLS INC | 848577102 | COM | 100 | $5,000 | thousands by filing date | call |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 750 | $5,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,475 | $5,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 300 | $5,000 | thousands by filing date | call |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 139 | $5,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,860 | $5,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 2,290 | $5,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 150 | $5,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 13,100 | $5,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 10,017 | $5,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 227 | $5,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,346 | $5,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,819 | $5,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 220 | $5,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 350 | $5,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 600 | $5,000 | thousands by filing date | call |
| CALYXT INC | 13173L107 | COM | 300 | $5,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 6,000 | $5,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 367 | $5,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 2,016 | $5,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 1,509 | $5,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 8,532 | $5,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 780 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,000 | $5,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 1,925 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 154 | $5,000 | thousands by filing date | |
| FGL HLDGS | G3402M102 | ORD SHS | 586 | $5,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 3,000 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 97 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 900 | $5,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 909 | $5,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,000 | $5,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 512 | $5,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W107 | COM CLASS A | 475 | $5,000 | thousands by filing date | |
| REALITY | 75605A884 | SHS ETF TR FUNDDSTRAT DQM | 182 | $5,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 100 | $4,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 300 | $4,000 | thousands by filing date | call |
| ISHARES TR | 464288687 | COM | 100 | $4,000 | thousands by filing date | call |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 2,519 | $4,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 400 | $4,000 | thousands by filing date | put |
| CIENA CORP COM NEW | 171779309 | Stock | 100 | $4,000 | thousands by filing date | put |
| IAMGOLD CORP COM | 450913108 | Stock | 1,200 | $4,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 400 | $4,000 | thousands by filing date | call |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 6,911 | $4,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 100 | $4,000 | thousands by filing date | call |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 187 | $4,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 140 | $4,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 100 | $4,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 300 | $4,000 | thousands by filing date | call |
| AGNC INVT CORP COM | 00123Q104 | REIT | 200 | $4,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 507 | $4,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 100 | $4,000 | thousands by filing date | call |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 165 | $4,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 150 | $4,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 202 | $4,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 100 | $4,000 | thousands by filing date | put |
| NORDSTROM INC | 655664100 | COM | 100 | $4,000 | thousands by filing date | call |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 400 | $4,000 | thousands by filing date | put |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 400 | $4,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 720 | $4,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 759 | $4,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 2,155 | $4,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 448 | $4,000 | thousands by filing date | |
| SOUNDTHINKING INC | 82536T107 | COM | 104 | $4,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 244 | $4,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 200 | $4,000 | thousands by filing date | call |
| CLOUDERA INC | 18914U100 | COM | 400 | $4,000 | thousands by filing date | call |
| SILICOM LTD | M84116108 | ORD | 108 | $4,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 500 | $4,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 200 | $4,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 70 | $4,000 | thousands by filing date | principal |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 877 | $4,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 400 | $4,000 | thousands by filing date | put |
| GROUPON INC | 399473107 | COMMON STOCK | 1,100 | $4,000 | thousands by filing date | call |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 500 | $4,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,521 | $4,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 799 | $4,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 680 | $4,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,000 | $4,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 200 | $4,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 2,000 | $4,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 1,100 | $4,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 2,505 | $4,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| YAMANA GOLD INC | 98462Y100 | COM | 1,500 | $4,000 | thousands by filing date | put |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 1,822 | $4,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 600 | $4,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 1,400 | $4,000 | thousands by filing date | call |
| ENERGOUS CORP | 29272C103 | COM | 700 | $4,000 | thousands by filing date | put |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $4,000 | thousands by filing date | principal |
| GLATFELTER | 377316104 | COM | 284 | $4,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 111 | $4,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 213 | $4,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 4,000 | $4,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 148 | $4,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 67 | $4,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 500 | $4,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 2,100 | $4,000 | thousands by filing date | |
| AMBOW ED HLDG LTD SPONSORED ADS | 02322P200 | ADR | 600 | $4,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 100 | $4,000 | thousands by filing date | call |
| INSPIRE 500 ETF | 45782C201 | ETF | 170 | $4,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 666 | $4,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 1,420 | $4,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,008 | $4,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,205 | $4,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 2,705 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 200 | $4,000 | thousands by filing date | |
| NOBILIS HEALTH CORP | 65500B103 | COM | 14,115 | $4,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 439 | $4,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 4,000 | $4,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 3,000 | $4,000 | thousands by filing date | principal |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 218 | $4,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 2,051 | $4,000 | thousands by filing date | |
| OCH ZIFF CPTL MANGEMNT GRP I | 67551U204 | CL A NEW | 240 | $4,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 7,037 | $4,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 163 | $4,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 134 | $4,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 800 | $4,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 4,000 | $4,000 | thousands by filing date | principal |
| OHA INVT CORP | 67091U102 | COM | 3,250 | $4,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 400 | $4,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 200 | $4,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 12,355 | $4,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 200 | $3,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 270 | $3,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 200 | $3,000 | thousands by filing date | call |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 100 | $3,000 | thousands by filing date | call |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 100 | $3,000 | thousands by filing date | put |
| CROCS INC COM | 227046109 | Stock | 100 | $3,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,000 | $3,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 564 | $3,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 1,100 | $3,000 | thousands by filing date | put |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 40 | $3,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 667 | $3,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 240 | $3,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 164 | $3,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 800 | $3,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 25 | $3,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 100 | $3,000 | thousands by filing date | put |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 100 | $3,000 | thousands by filing date | call |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 100 | $3,000 | thousands by filing date | call |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 200 | $3,000 | thousands by filing date | call |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 247 | $3,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 742 | $3,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 145 | $3,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 622 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 214 | $3,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 207 | $3,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 200 | $3,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W565 | 7 10YR TRES BULL | 75 | $3,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 200 | $3,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 319 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 93 | $3,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 170 | $3,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 127 | $3,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 100 | $3,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 850 | $3,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 566 | $3,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 1,334 | $3,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,189 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 134 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 200 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 107 | $3,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $3,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 251 | $3,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 320 | $3,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 116 | $3,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 500 | $3,000 | thousands by filing date | call |
| NEXTGEN HEALTHCARE INC | 65343C102 | COMMON STOCK | 149 | $3,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 600 | $3,000 | thousands by filing date | put |
| SILVERBOW RES INC | 82836G102 | COM | 131 | $3,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 1,000 | $3,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,703 | $3,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 1,500 | $3,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 2,012 | $3,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 700 | $3,000 | thousands by filing date | put |
| RETROPHIN INC | 761299106 | COM | 135 | $3,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 2,000 | $3,000 | thousands by filing date | principal |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 269 | $3,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 400 | $3,000 | thousands by filing date | call |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,670 | $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 | 337 | $3,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 11,516 | $3,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 1,100 | $3,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 3,010 | $3,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 900 | $3,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 500 | $3,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 2,678 | $3,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 361 | $3,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 773 | $3,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 3,485 | $3,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 681 | $3,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 4,000 | $3,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 600 | $3,000 | thousands by filing date | put |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 890 | $3,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 1,072 | $3,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 5,000 | $3,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E255 | S&P HIGH INCOM | 100 | $3,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 401 | $3,000 | thousands by filing date | |
| NEOVASC INC | 64065J205 | COM NEW | 7,116 | $3,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 6,531 | $3,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 1,865 | $3,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F783 | POLAND ETF | 200 | $3,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 1,001 | $2,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 430 | $2,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 100 | $2,000 | thousands by filing date | call |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 100 | $2,000 | thousands by filing date | call |
| MATADOR RES CO COM | 576485205 | Stock | 100 | $2,000 | thousands by filing date | put |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 100 | $2,000 | thousands by filing date | put |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 100 | $2,000 | thousands by filing date | call |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 300 | $2,000 | thousands by filing date | put |
| ALEXANDERS INC COM | 014752109 | REIT | 6 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-011119 | this filing | 2019-05-15 | acceptance time not in the bulk data set |