13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-14, with 7,316 holding rows worth $660,739,605,000.
- Accession
- 0001567619-19-016888
- Filer
- CIK 70858
- 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, 25,283 entries on the cover page, a total value of $660,739,605,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $660,739,605,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerBOFA SECURITIES, INC.
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 1,124 | $27,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 42,026 | $27,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 27,889 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 480 | $27,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 935 | $27,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 4,738 | $26,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 1,670 | $26,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 22,214 | $26,000 | thousands by filing date | |
| DBX ETF TR | 233051226 | CMN | 1,005 | $26,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 7,156 | $26,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 6,700 | $26,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 17,332 | $26,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 1,000 | $26,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 2,190 | $25,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,172 | $25,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,345 | $25,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 1,061 | $25,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 26,035 | $25,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 2,382 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 499 | $25,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 2,800 | $24,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,178 | $24,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 1,509 | $24,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 2,740 | $24,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 4,031 | $24,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 1,822 | $24,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 1,865 | $24,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 848 | $24,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 22,656 | $24,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 3,243 | $24,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,573 | $24,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 11,909 | $24,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 3,389 | $23,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,202 | $23,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 2,000 | $23,000 | thousands by filing date | put |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 7,545 | $23,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 10,842 | $23,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 8,973 | $23,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 87,494 | $23,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 13,678 | $23,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 4,262 | $23,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B203 | PFD CV SER A | 448 | $23,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 4,842 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 400 | $22,000 | thousands by filing date | put |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,026 | $22,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,500 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 644 | $22,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $22,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 1,447 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 1,002 | $22,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 22,000 | $22,000 | thousands by filing date | principal |
| NRC GROUP HLDGS CORP | 629375106 | COM | 2,015 | $22,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 3,729 | $21,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 2,000 | $21,000 | thousands by filing date | call |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 5,561 | $21,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,717 | $21,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 17,644 | $21,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,234 | $21,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 12,483 | $21,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 735 | $20,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 12,516 | $20,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 3,081 | $20,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 2,106 | $20,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 265 | $20,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 15,501 | $20,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,600 | $20,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 1,335 | $20,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 15,957 | $20,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,060 | $20,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 13,540 | $20,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 70,500 | $20,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,123 | $20,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 581 | $20,000 | thousands by filing date | |
| CIM COML TR CORP | 125525105 | COM | 961 | $20,000 | thousands by filing date | |
| Enterprise Federal Bancorp | 26952G107 | Common | 1,272 | $20,000 | thousands by filing date | |
| STANTEC INC COM | 85472N109 | Stock | 816 | $19,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,600 | $19,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 836 | $19,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,548 | $19,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,295 | $19,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 971 | $19,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 6,033 | $19,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 6,060 | $19,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 4,350 | $19,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 2,810 | $19,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 20,000 | $19,000 | thousands by filing date | principal |
| REMARK HLDGS INC | 75955K102 | COM | 22,600 | $19,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 3,981 | $19,000 | thousands by filing date | |
| IPIC ENTMT INC | 46263D106 | COM CL A | 5,000 | $19,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 21,000 | $19,000 | thousands by filing date | principal |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 1,965 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 830 | $18,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 1,253 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $18,000 | thousands by filing date | principal |
| IMMUNIC INC | 4525EP101 | COM | 1,613 | $18,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 2,468 | $18,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 1,500 | $18,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,833 | $18,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 6,000 | $18,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 5,913 | $18,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 197 | $17,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,206 | $17,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 9,197 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 590 | $17,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 410 | $17,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,270 | $17,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 600 | $17,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 3,082 | $17,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 3,465 | $17,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 13,779 | $17,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 14,876 | $17,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 1,564 | $17,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,174 | $17,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 310 | $17,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 19,505 | $17,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 200 | $16,000 | thousands by filing date | call |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1,026 | $16,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 300 | $16,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 2,071 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 300 | $16,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 2,092 | $16,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,381 | $16,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 836 | $16,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,975 | $16,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 11,667 | $16,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $16,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 515 | $16,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,323 | $16,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 3,420 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 327 | $16,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 300 | $15,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,369 | $15,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 4,168 | $15,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 18,600 | $15,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 2,463 | $15,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 503 | $15,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 448 | $15,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 13,810 | $15,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 16,986 | $15,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 35,000 | $15,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 7,419 | $15,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 885 | $15,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 20,058 | $15,000 | thousands by filing date | |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 2,990 | $15,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AG9 | NOTE 2.75010/0 | 4,000 | $15,000 | thousands by filing date | principal |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 195 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 357 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 531 | $14,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 1,199 | $14,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,000 | $14,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,501 | $14,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 4,580 | $14,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 3,279 | $14,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 63,915 | $14,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 500 | $13,000 | thousands by filing date | call |
| NUTANIX INC CL A | 67059N108 | Stock | 500 | $13,000 | thousands by filing date | call |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 465 | $13,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 809 | $13,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,317 | $13,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 1,133 | $13,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,500 | $13,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 2,645 | $13,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 3,125 | $13,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 5,000 | $13,000 | thousands by filing date | call |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,700 | $13,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S203 | CONV PFD SER A | 500 | $13,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 15,000 | $13,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $13,000 | thousands by filing date | principal |
| LIPOCINE INC NEW | 53630X104 | CMN | 6,733 | $13,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978AAA2 | NOTE 1.500%11/0 | 5,000 | $13,000 | thousands by filing date | principal |
| ENDAVA PLC ADS | 29260V105 | ADR | 295 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 130 | $12,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,000 | $12,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 650 | $12,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,229 | $12,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 600 | $12,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 575 | $12,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 700 | $12,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 13,704 | $12,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 733 | $12,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 1,000 | $12,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 12,000 | $12,000 | thousands by filing date | principal |
| WORLD WRESTLING ENTMT INC | 98156QAB4 | BOND | 4,000 | $12,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 12,000 | $12,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 2,245 | $12,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $12,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $12,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 14,855 | $12,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,899 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,000 | $12,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 3,415 | $12,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 16,199 | $12,000 | thousands by filing date | |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 8,700 | $12,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 2,658 | $12,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 11,000 | $12,000 | thousands by filing date | principal |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,248 | $11,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 539 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 322 | $11,000 | thousands by filing date | |
| NEW CONCEPT ENERGY INC | 643611106 | COM | 5,722 | $11,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 734 | $11,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 1,035 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 347 | $11,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,020 | $11,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 766 | $11,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 8,500 | $11,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 1,500 | $11,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 2,982 | $11,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 4,304 | $11,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 4,361 | $11,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 7,673 | $11,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 1,232 | $11,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 560 | $11,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 6,000 | $11,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 21,455 | $11,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 6,654 | $11,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 11,000 | $11,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 4,563 | $11,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 6,100 | $11,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 13,786 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y840 | CB OE RUSSELL | 541 | $11,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 18,060 | $10,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,300 | $10,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 638 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 325 | $10,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 1,303 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 105 | $10,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 735 | $10,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,200 | $10,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 467 | $10,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 342 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 20,292 | $10,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 7,989 | $10,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 879 | $10,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 2,500 | $10,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 4,272 | $10,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 4,099 | $10,000 | thousands by filing date | |
| DIREXION DAILY S&P OIL & GAS EXP. & PROD. BEAR 2X SHARES | 25460E174 | ETF | 174 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| EXCHANGE LISTED FDS TR | 30151E608 | KNLDG LD WD ETF | 300 | $10,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 100 | $9,000 | thousands by filing date | call |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 384 | $9,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 655 | $9,000 | thousands by filing date | |
| FIRST TRUST DOW JONES INTERNATIONAL INTERNET ETF | 33734X770 | ETF | 433 | $9,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,274 | $9,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 11,724 | $9,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 448 | $9,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $9,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,497 | $9,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 410 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 9,000 | $9,000 | thousands by filing date | principal |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 80 | $9,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 10,151 | $9,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 717 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 12,000 | $8,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 749 | $8,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 275 | $8,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 44,273 | $8,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 500 | $8,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 802 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 418 | $8,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 337 | $8,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 299 | $8,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 600 | $8,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 3,589 | $8,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 2,000 | $8,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 3,740 | $8,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 605 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E242 | GBLX CHIMATL NEW | 500 | $8,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 3,924 | $8,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 10,186 | $8,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 14,737 | $8,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 6,125 | $8,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 133 | $8,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 1,329 | $8,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 1,950 | $8,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $8,000 | thousands by filing date | principal |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 2,852 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 144 | $7,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $7,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 161 | $7,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 527 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 700 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 300 | $7,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 940 | $7,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,431 | $7,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 21,563 | $7,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 125,863 | $7,000 | thousands by filing date | principal |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 200 | $7,000 | thousands by filing date | call |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 2,592 | $7,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 3,132 | $7,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 817 | $7,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 3,700 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $7,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 849 | $7,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 225 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 250 | $7,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C107 | ASIA 50ADR IDX | 243 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 1,050 | $7,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 6,323 | $7,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 13,740 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E143 | GBL X JPM EFF | 282 | $7,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 583 | $6,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 11,322 | $6,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 600 | $6,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,722 | $6,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 313 | $6,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,662 | $6,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 166 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $6,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 556 | $6,000 | thousands by filing date | |
| READING INTL INC | 755408200 | CL B | 247 | $6,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,473 | $6,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 632 | $6,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 5,000 | $6,000 | thousands by filing date | principal |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 1,258 | $6,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 2,833 | $6,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 1,649 | $6,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 3,700 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 915 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 524 | $6,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $6,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 3,547 | $6,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 475 | $6,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 3,818 | $6,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 256 | $6,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 66 | $6,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 2,800 | $6,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,283 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 289 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 110 | $6,000 | thousands by filing date | |
| PROTECTIVE INS CORP | 74368L104 | CL A | 349 | $6,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G748 | RUSL 1000 QTLY | 222 | $6,000 | thousands by filing date | |
| FRANKLIN LIBERTY HIGH YIELD | 35473P629 | LIBERTY HI YLD | 197 | $5,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 313 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $5,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 144 | $5,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 100 | $5,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,400 | $5,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,222 | $5,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 10,266 | $5,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 425 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 19,123 | $5,000 | thousands by filing date | principal |
| ALIMERA SCIENCES INC | 016259103 | COM | 5,152 | $5,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,000 | $5,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 58,423 | $5,000 | thousands by filing date | principal |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 7,485 | $5,000 | thousands by filing date | |
| EMCLAIRE FINL CORP | 290828102 | COM | 151 | $5,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 415 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 250 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 155 | $5,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,948 | $5,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 7,548 | $4,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 436 | $4,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,223 | $4,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 200 | $4,000 | thousands by filing date | call |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 939 | $4,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 1,168 | $4,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,236 | $4,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 2,680 | $4,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 140 | $4,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 4,740 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 150 | $4,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 385 | $4,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 247 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 221 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 51 | $4,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 432 | $4,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 1,064 | $4,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 612 | $4,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 831 | $4,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,959 | $4,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 1,000 | $4,000 | thousands by filing date | principal |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 996 | $4,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 10,504 | $4,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 500 | $4,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,515 | $4,000 | thousands by filing date | principal |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 215 | $4,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $4,000 | thousands by filing date | |
| FORESIGHT ENERGY LP | 34552U104 | COM UNT RP INT | 5,000 | $4,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 541 | $4,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628202 | COM NEW | 13,293 | $4,000 | thousands by filing date | |
| SUNWORKS INC | 86803X105 | COM | 7,707 | $4,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 100 | $3,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 142 | $3,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 270 | $3,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 206 | $3,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,874 | $3,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 100 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,562 | $3,000 | thousands by filing date | principal |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 161 | $3,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 1,169 | $3,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 275 | $3,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 2,232 | $3,000 | thousands by filing date | |
| VIRTRA INC | 92827K301 | CMN | 1,246 | $3,000 | thousands by filing date | |
| QUARTERHILL INC COM | 747713105 | COM | 2,096 | $3,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 1,174 | $3,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 268 | $3,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 582 | $3,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 155 | $3,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 301 | $3,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 2,503 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,000 | $3,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,500 | $3,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,658 | $3,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 300 | $3,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,000 | $3,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 1,056 | $3,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,291 | $3,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 4,070 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,034 | $3,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,000 | $3,000 | thousands by filing date | |
| HOPFED BANCORP INC | 439734104 | COM | 140 | $3,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 341 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 150 | $3,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 890 | $3,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 2,000 | $3,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 764 | $3,000 | thousands by filing date | |
| ASTROTECH CORP | 046484200 | COM NEW | 1,010 | $3,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 887 | $3,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 4,041 | $3,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 1,306 | $3,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 200 | $3,000 | thousands by filing date | |
| AFFINITY BANCSHARES INC COM | 20369M104 | Stock | 334 | $3,000 | thousands by filing date | |
| MEDALIST DIVERSIFIED REIT IN | 58403P105 | COM | 794 | $3,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 971 | $3,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 3,000 | $3,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 1,275 | $3,000 | thousands by filing date | |
| ASV HLDGS INC | 00215L104 | COM | 460 | $3,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 2,426 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 20 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 32 | $2,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 2,114 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 600 | $2,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 245 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 365 | $2,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 137 | $2,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 191 | $2,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 50 | $2,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,501 | $2,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 747 | $2,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 5 | $2,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 841 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 217 | $2,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 161 | $2,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 732 | $2,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 3,142 | $2,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $2,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 82 | $2,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 150 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,400 | $2,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 2,000 | $2,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 2,000 | $2,000 | thousands by filing date | principal |
| Cinedigm Corp CL A | 172406209 | COM NEW | 1,202 | $2,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 2,369 | $2,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 188 | $2,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 1,401 | $2,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 2,100 | $2,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 570 | $2,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 1,800 | $2,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 5,000 | $2,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 1,379 | $2,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,550 | $2,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 48 | $2,000 | thousands by filing date | |
| HOTH THERAPEUTICS INC COM NEW | 44148G105 | Stock | 339 | $2,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 2,913 | $2,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 1,000 | $2,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 164 | $2,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 2,150 | $2,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 2,448 | $2,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 2,606 | $2,000 | thousands by filing date | |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 2,000 | $2,000 | thousands by filing date | principal |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 1,000 | $2,000 | thousands by filing date | principal |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L306 | COM | 855 | $2,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 2,428 | $2,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 384 | $2,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 2,283 | $2,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 3,057 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 75 | $2,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 188 | $2,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 1,265 | $2,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 929 | $2,000 | thousands by filing date | |
| YUMA ENERGY INC NEW | 98872F105 | COM | 10,314 | $2,000 | thousands by filing date | |
| THESTREET INC COM NEW | 88368Q202 | Stock | 400 | $2,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 200 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-016888 | this filing | 2019-08-14 | acceptance time not in the bulk data set |