13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-14, with 7,018 holding rows worth $248,806,989,000.
- Accession
- 0001567619-19-016867
- Filer
- CIK 1000275
- Filed
- 2019-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 25,827 entries on the cover page, a total value of $248,806,989,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $248,806,989,000 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 |
|---|---|---|---|---|---|---|
| MEDICINES CO | 584688105 | COM | 300 | $11,000 | thousands by filing date | call |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 1,700 | $11,000 | thousands by filing date | put |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,000 | $11,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 2,056 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 363 | $11,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,066 | $11,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 282 | $11,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 2,000 | $11,000 | thousands by filing date | principal |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $11,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 6,228 | $11,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $11,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 300 | $11,000 | thousands by filing date | call |
| HUDSON LTD | G46408103 | COM CL A | 773 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $11,000 | thousands by filing date | principal |
| OCH ZIFF CPTL MANGEMNT GRP I | 67551U204 | CL A NEW | 450 | $11,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 300 | $10,000 | thousands by filing date | call |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 415 | $10,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 92 | $10,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 1,200 | $10,000 | thousands by filing date | call |
| FLUOR CORP | 343412102 | COM | 300 | $10,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 180 | $10,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 480 | $10,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 400 | $10,000 | thousands by filing date | call |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 700 | $10,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,500 | $10,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 2,176 | $10,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 3,499 | $10,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 1,930 | $10,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 4,900 | $10,000 | thousands by filing date | put |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 510 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 551 | $10,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 271 | $10,000 | thousands by filing date | principal |
| MV OIL TR | 553859109 | TR UNITS | 1,260 | $10,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 445 | $10,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 594 | $10,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 647 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 11,000 | $10,000 | thousands by filing date | principal |
| Cbs Corporation Cl A New | 124857103 | CLA | 202 | $10,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $10,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 210 | $10,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 11,380 | $10,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,911 | $10,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 4,000 | $10,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 464 | $10,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 800 | $10,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 356 | $10,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 346 | $10,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 100 | $9,000 | thousands by filing date | call |
| PVH CORPORATION COM | 693656100 | Stock | 100 | $9,000 | thousands by filing date | put |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $9,000 | thousands by filing date | put |
| CARMAX INC COM | 143130102 | Stock | 100 | $9,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 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 | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 330 | $9,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 270 | $9,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 300 | $9,000 | thousands by filing date | call |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,000 | $9,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 400 | $9,000 | thousands by filing date | put |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,685 | $9,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 400 | $9,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 355 | $9,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $9,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,400 | $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 | |
| Enzo Biochem Inc | 294100102 | Common Stock | 2,634 | $9,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 2,650 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,000 | $9,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 848 | $9,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 1,200 | $9,000 | thousands by filing date | call |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 600 | $9,000 | thousands by filing date | call |
| PARTY CITY HOLDCO INC | 702149105 | COM | 1,221 | $9,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 835 | $9,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 4,000 | $9,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,000 | $9,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,669 | $9,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 925 | $9,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 334 | $9,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 5,500 | $9,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R304 | WBI BBR YLD 2000 | 476 | $9,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 950 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 355 | $9,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 300 | $9,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 2,000 | $9,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 354 | $9,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 100 | $8,000 | thousands by filing date | put |
| Schlumberger Limited | 806857108 | COM | 200 | $8,000 | thousands by filing date | call |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 900 | $8,000 | thousands by filing date | call |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 200 | $8,000 | thousands by filing date | call |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 400 | $8,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $8,000 | thousands by filing date | put |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 529 | $8,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 300 | $8,000 | thousands by filing date | put |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 300 | $8,000 | thousands by filing date | call |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 3,645 | $8,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 2,153 | $8,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 100 | $8,000 | thousands by filing date | put |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,733 | $8,000 | thousands by filing date | |
| PAGSEGURO DIGITAL LTD | G68707101 | COM CL A | 200 | $8,000 | thousands by filing date | call |
| MACROGENICS INC | 556099109 | COM | 498 | $8,000 | thousands by filing date | |
| DESIGNER BRANDS INC | 250565108 | CL A | 400 | $8,000 | thousands by filing date | put |
| ZYNGA INC. | 98986T108 | CL A | 1,300 | $8,000 | thousands by filing date | call |
| FOOT LOCKER INC | 344849104 | COM | 200 | $8,000 | thousands by filing date | put |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 400 | $8,000 | thousands by filing date | put |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 700 | $8,000 | thousands by filing date | call |
| ACCELERON PHARMA INC | 00434H108 | COM | 196 | $8,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 400 | $8,000 | thousands by filing date | put |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 386 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,000 | $8,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 241 | $8,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 4,155 | $8,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,000 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 2,719 | $8,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 461 | $8,000 | thousands by filing date | |
| KEANE GROUP INC | 48669A108 | COM | 1,240 | $8,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 600 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 400 | $8,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 960 | $8,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,300 | $8,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 2,500 | $8,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 2,300 | $8,000 | thousands by filing date | call |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 2,700 | $8,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,250 | $8,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 2,260 | $8,000 | thousands by filing date | |
| DECIPHERA PHARMACEUTICALS IN | 24344T101 | COM | 341 | $8,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 245 | $8,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 500 | $8,000 | thousands by filing date | call |
| OFFICE DEPOT INC | 676220106 | COM | 3,900 | $8,000 | thousands by filing date | call |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,000 | $8,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 660 | $8,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 200 | $8,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,700 | $8,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 248 | $8,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 191 | $8,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 14,385 | $8,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,650 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 13,400 | $8,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 14,700 | $8,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 450 | $8,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 31,801 | $8,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 3,070 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 300 | $8,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 7,758 | $8,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 5,618 | $8,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 1,975 | $8,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 300 | $8,000 | thousands by filing date | |
| FORTY SEVEN INC | 34983P104 | COM | 800 | $8,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 720 | $8,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,180 | $8,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 420 | $7,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 100 | $7,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 400 | $7,000 | thousands by filing date | put |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 200 | $7,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 300 | $7,000 | thousands by filing date | call |
| KEYCORP COM | 493267108 | Stock | 400 | $7,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 2,700 | $7,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 1,330 | $7,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 100 | $7,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 700 | $7,000 | thousands by filing date | call |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,540 | $7,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 243 | $7,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 345 | $7,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 666 | $7,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 150 | $7,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 300 | $7,000 | thousands by filing date | put |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 300 | $7,000 | thousands by filing date | call |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 518 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 128 | $7,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 300 | $7,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 250 | $7,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576101 | COMMON STOCK | 338 | $7,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,000 | $7,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 2,200 | $7,000 | thousands by filing date | |
| 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 | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,850 | $7,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 380 | $7,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 293 | $7,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 1,350 | $7,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 1,100 | $7,000 | thousands by filing date | call |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,903 | $7,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,273 | $7,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 248 | $7,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 546 | $7,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 1,386 | $7,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 200 | $7,000 | thousands by filing date | call |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 1,308 | $7,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 600 | $7,000 | thousands by filing date | call |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 1,748 | $7,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 4,000 | $7,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 7,000 | $7,000 | thousands by filing date | principal |
| INTEVAC INC | 461148108 | COM | 1,500 | $7,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 1,089 | $7,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 336 | $7,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 10,700 | $7,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 462 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,000 | $7,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 364 | $7,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 649 | $7,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,600 | $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 | 415 | $7,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 3,000 | $7,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 406 | $7,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,000 | $7,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 462 | $7,000 | thousands by filing date | |
| NEXTERA ENERGY INC CORPORATE | 65339f820 | COM | 120 | $7,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 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 |
| Southern Company | 842587107 | COM | 100 | $6,000 | thousands by filing date | call |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,200 | $6,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 1,000 | $6,000 | thousands by filing date | put |
| MACYS INC COM | 55616P104 | Stock | 300 | $6,000 | thousands by filing date | call |
| BLOCK H & R INC COM | 093671105 | Stock | 200 | $6,000 | thousands by filing date | put |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 165 | $6,000 | thousands by filing date | |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 290 | $6,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 100 | $6,000 | thousands by filing date | put |
| ENERGY RECOVERY INC | 29270J100 | COM | 553 | $6,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 400 | $6,000 | thousands by filing date | call |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 3,682 | $6,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 100 | $6,000 | thousands by filing date | call |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 400 | $6,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652406 | COM | 600 | $6,000 | thousands by filing date | call |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 500 | $6,000 | thousands by filing date | put |
| HYSTER-YALE INC | 449172105 | CL A | 100 | $6,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 720 | $6,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 227 | $6,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,625 | $6,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 7,397 | $6,000 | thousands by filing date | |
| 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 | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 3,400 | $6,000 | thousands by filing date | call |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 247 | $6,000 | thousands by filing date | |
| 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 | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 237 | $6,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 348 | $6,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 5,000 | $6,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 226 | $6,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,572 | $6,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 600 | $6,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 430 | $6,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 600 | $6,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 13,092 | $6,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 313 | $6,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 350 | $6,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 4,998 | $6,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 225 | $6,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 2,307 | $6,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,720 | $6,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 200 | $6,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 500 | $6,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,200 | $6,000 | thousands by filing date | call |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 4,000 | $6,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 430 | $6,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 216 | $6,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 400 | $6,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 8,543 | $6,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 400 | $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 | 210 | $6,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 5,000 | $6,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 375 | $6,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 235 | $6,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 274 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E885 | DLY S&P500 BR 3X | 300 | $6,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 3,515 | $6,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 1,347 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347G309 | ULTRAPRO DOW 30 | 120 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E125 | DAILY SM CP BEAR | 117 | $6,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 213 | $6,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 100 | $6,000 | thousands by filing date | principal |
| MOTUS GI HLDGS INC | 62014P108 | COM | 2,005 | $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 |
| PROSHARES TR | 74347G200 | ULSHRT SEMIC NEW | 250 | $6,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 96 | $5,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 300 | $5,000 | thousands by filing date | call |
| AES CORP COM | 00130H105 | Stock | 300 | $5,000 | thousands by filing date | call |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 300 | $5,000 | thousands by filing date | put |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 192 | $5,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 165 | $5,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 100 | $5,000 | thousands by filing date | put |
| MASTEC INC COM | 576323109 | Stock | 100 | $5,000 | thousands by filing date | put |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 138 | $5,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 226 | $5,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 100 | $5,000 | thousands by filing date | call |
| EVERPURE INC CL A | 74624M102 | Stock | 300 | $5,000 | thousands by filing date | call |
| NEWS CORP NEW CL A | 65249B109 | Stock | 400 | $5,000 | thousands by filing date | call |
| GAP INC COM | 364760108 | Stock | 300 | $5,000 | thousands by filing date | call |
| AGNC INVT CORP COM | 00123Q104 | REIT | 300 | $5,000 | thousands by filing date | put |
| KELLANOVA | 487836108 | COM | 100 | $5,000 | thousands by filing date | call |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 200 | $5,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 300 | $5,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 107 | $5,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 500 | $5,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 260 | $5,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 83 | $5,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 100 | $5,000 | thousands by filing date | call |
| STEELCASE INC-CLASS A | 858155203 | CL A | 271 | $5,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 100 | $5,000 | thousands by filing date | call |
| TURNING PT THERAPEUTICS | 90041T108 | COM | 112 | $5,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 154 | $5,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 600 | $5,000 | thousands by filing date | call |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 200 | $5,000 | thousands by filing date | put |
| HORIZON BANCORP IND | 440407104 | COM | 295 | $5,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 400 | $5,000 | thousands by filing date | call |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 739 | $5,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 400 | $5,000 | thousands by filing date | call |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 97 | $5,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,100 | $5,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 159 | $5,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 110 | $5,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 250 | $5,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 200 | $5,000 | thousands by filing date | put |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 452 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 320 | $5,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 384 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 220 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 200 | $5,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 202 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 200 | $5,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 1,292 | $5,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 395 | $5,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 747 | $5,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 879 | $5,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 300 | $5,000 | thousands by filing date | call |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 500 | $5,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 295 | $5,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 600 | $5,000 | thousands by filing date | put |
| Lee Enterprises Inc | 523768109 | COM | 2,315 | $5,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,200 | $5,000 | thousands by filing date | |
| ICL GROUP LTD ILS1 | M5920A109 | Common Stock | 1,011 | $5,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 805 | $5,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 150 | $5,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 200 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $5,000 | thousands by filing date | principal |
| 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 | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 650 | $5,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,820 | $5,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 500 | $5,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 350 | $5,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 2,000 | $5,000 | thousands by filing date | principal |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 4,109 | $5,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 100 | $5,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B318 | S&P 500 BD ETF | 58 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,855 | $5,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 150 | $5,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 5,000 | $5,000 | thousands by filing date | principal |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,627 | $5,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 1,000 | $5,000 | thousands by filing date | put |
| GREENLANE HLDGS INC | 395330103 | CL A | 500 | $5,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 343 | $5,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 200 | $5,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,000 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 154 | $5,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 3,000 | $5,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R205 | WBI BBR VAL 2000 | 211 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 900 | $5,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 1,871 | $5,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 5,700 | $5,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,000 | $5,000 | thousands by filing date | |
| REALITY | 75605A884 | SHS ETF TR FUNDDSTRAT DQM | 182 | $5,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 486 | $4,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 100 | $4,000 | thousands by filing date | put |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 155 | $4,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 100 | $4,000 | thousands by filing date | call |
| WENDYS CO COM | 95058W100 | Stock | 200 | $4,000 | thousands by filing date | call |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 288 | $4,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 91 | $4,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 100 | $4,000 | thousands by filing date | put |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 270 | $4,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 200 | $4,000 | thousands by filing date | call |
| CAMECO CORP COM | 13321L108 | Stock | 400 | $4,000 | thousands by filing date | call |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 100 | $4,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 506 | $4,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 100 | $4,000 | thousands by filing date | put |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 100 | $4,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 200 | $4,000 | thousands by filing date | put |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 165 | $4,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,020 | $4,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 100 | $4,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 585 | $4,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 557 | $4,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 300 | $4,000 | thousands by filing date | call |
| MYLAN NV | N59465109 | SHS EURO | 200 | $4,000 | thousands by filing date | call |
| TRUBRIDGE INC | 205306103 | COM | 162 | $4,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 1,454 | $4,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 210 | $4,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 139 | $4,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 290 | $4,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 94 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 71 | $4,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 144 | $4,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 175 | $4,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 3,811 | $4,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 200 | $4,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $4,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 116 | $4,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 5,349 | $4,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 1,000 | $4,000 | thousands by filing date | call |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,522 | $4,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 1,500 | $4,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 2,705 | $4,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 126 | $4,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 680 | $4,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 400 | $4,000 | thousands by filing date | call |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 9,475 | $4,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 300 | $4,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 2,860 | $4,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 2,000 | $4,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 1,000 | $4,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 238 | $4,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 335 | $4,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 313 | $4,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 13,100 | $4,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 3,642 | $4,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 213 | $4,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 2,500 | $4,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 125 | $4,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 84 | $4,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 710 | $4,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 24,000 | $4,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,038 | $4,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 170 | $4,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 300 | $4,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 1,200 | $4,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 2,016 | $4,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 700 | $4,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 94 | $4,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 55 | $4,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 4,000 | $4,000 | thousands by filing date | principal |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 4,000 | $4,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 72 | $4,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 909 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 3,900 | $4,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 1,000 | $4,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 3,500 | $4,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 844 | $4,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 3,000 | $4,000 | thousands by filing date | principal |
| 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 | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 146 | $4,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 33 | $4,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 514 | $4,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 850 | $4,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 1,600 | $4,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 1,321 | $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 | |
| CONAGRA FOODS INC | 205887102 | COM | 100 | $3,000 | thousands by filing date | put |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 213 | $3,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 100 | $3,000 | thousands by filing date | put |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 149 | $3,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 310 | $3,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 800 | $3,000 | thousands by filing date | call |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 263 | $3,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 100 | $3,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092527 | SML MID MLTFCT | 100 | $3,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 83 | $3,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 100 | $3,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 40 | $3,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 500 | $3,000 | thousands by filing date | call |
| SI BONE INC | 825704109 | COM | 163 | $3,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 135 | $3,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 120 | $3,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 800 | $3,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 36 | $3,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 400 | $3,000 | thousands by filing date | put |
| FIREEYE INC | 31816Q101 | COM | 200 | $3,000 | thousands by filing date | put |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 400 | $3,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 226 | $3,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 100 | $3,000 | thousands by filing date | put |
| 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 | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 698 | $3,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 138 | $3,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 54 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 100 | $3,000 | thousands by filing date | call |
| SOUNDTHINKING INC | 82536T107 | COM | 57 | $3,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 110 | $3,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 575 | $3,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 400 | $3,000 | thousands by filing date | put |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 319 | $3,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 106 | $3,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 100 | $3,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 320 | $3,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 100 | $3,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 240 | $3,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 500 | $3,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 600 | $3,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 90 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-016867 | this filing | 2019-08-14 | acceptance time not in the bulk data set |