13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 7,423 holding rows worth $672,914,636,000.
- Accession
- 0001567619-19-021416
- Filer
- CIK 70858
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 25,402 entries on the cover page, a total value of $672,914,636,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $672,914,636,000 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.028-19575
- 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 |
|---|---|---|---|---|---|---|
| CUMULUS MEDIA INC | 231082801 | COM CL A | 7,580 | $111,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 16,149 | $111,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 17,945 | $110,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 30,618 | $110,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 65,559 | $109,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 2,688 | $109,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 4,562 | $109,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 9,978 | $109,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 5,806 | $108,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 3,048 | $108,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 191,305 | $108,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 11,957 | $108,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G821 | EMERGING MKTS | 4,845 | $108,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 8,019 | $107,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 2,919 | $106,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 36,738 | $106,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 7,482 | $106,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 3,634 | $106,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 50,000 | $105,000 | thousands by filing date | call |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 3,785 | $105,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 22,875 | $105,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 5,295 | $105,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 100,000 | $105,000 | thousands by filing date | principal |
| INTEVAC INC | 461148108 | COM | 20,000 | $105,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 120,000 | $105,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 82,545 | $105,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 15,338 | $104,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 4,867 | $104,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 83,325 | $104,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935409 | US MINIMUM | 1,170 | $104,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 8,097 | $104,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 53,303 | $104,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935300 | US LIQUIDITY | 1,255 | $104,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935706 | US QUALITY | 1,300 | $103,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 10,000 | $103,000 | thousands by filing date | call |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 19,757 | $103,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 165,450 | $103,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 102,000 | $103,000 | thousands by filing date | principal |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 10,232 | $102,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 23,478 | $102,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 21,833 | $102,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 12,168 | $102,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 5,437 | $102,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 4,088 | $101,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 3,500 | $101,000 | thousands by filing date | put |
| FIDELITY COVINGTON TRUST | 316092725 | INT HG DIV ETF | 5,000 | $101,000 | thousands by filing date | |
| SILK ROAD MEDICAL INC | 82710M100 | COMMON STOCK | 3,100 | $101,000 | thousands by filing date | call |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 10,246 | $101,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 4,892 | $100,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 3,388 | $100,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 3,774 | $100,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 3,150 | $100,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 10,110 | $100,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,605 | $99,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 7,157 | $98,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 4,155 | $98,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 2,614 | $98,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 7,532 | $98,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 46,037 | $98,000 | thousands by filing date | |
| STEALTH BIOTHERAPEUTICS CORP SPONSORED ADS | 85789A105 | Stock | 16,452 | $98,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 1,857 | $97,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 12,860 | $97,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 22,920 | $97,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 17,689 | $96,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 2,967 | $96,000 | thousands by filing date | |
| FQF TR AGFIQ | 351680806 | HEDGED DIV | 3,980 | $96,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 3,300 | $95,000 | thousands by filing date | call |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 2,845 | $95,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 4,978 | $95,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 6,441 | $95,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 31,897 | $95,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,700 | $94,000 | thousands by filing date | call |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 5,495 | $94,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 2,420 | $94,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 15,375 | $94,000 | thousands by filing date | |
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 3,400 | $93,000 | thousands by filing date | put |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,025 | $93,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 3,385 | $93,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 7,746 | $93,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 6,813 | $93,000 | thousands by filing date | |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 1,925 | $93,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 100,000 | $93,000 | thousands by filing date | principal |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 4,854 | $93,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 20,648 | $93,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 3,874 | $93,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 7,249 | $92,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 9,903 | $92,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 1,925 | $92,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 13,867 | $92,000 | thousands by filing date | |
| SENESTECH INC | 81720R109 | COM | 91,100 | $92,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 6,067 | $91,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 10,621 | $91,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 3,131 | $91,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 3,680 | $91,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 5,426 | $91,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 4,504 | $90,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 7,675 | $90,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 8,080 | $90,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 7,000 | $90,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,846 | $89,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 11,380 | $89,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 33,714 | $89,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V472 | S&P MDCP QUALITY | 1,795 | $89,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 2,588 | $89,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 83,789 | $89,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 7,588 | $88,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 22,600 | $88,000 | thousands by filing date | |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 12,507 | $87,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 4,675 | $87,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 23,925 | $87,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 25,792 | $87,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 4,643 | $87,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 9,048 | $87,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 16,689 | $86,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 3,093 | $86,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 1,775 | $86,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L696 | CMN | 1,212 | $86,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 4,273 | $86,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 4,771 | $86,000 | thousands by filing date | |
| ARCO PLATFORM LTD | G04553106 | COM CL A | 1,688 | $86,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 5,733 | $86,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 3,576 | $86,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 2,401 | $85,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 2,186 | $85,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 3,850 | $85,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 3,913 | $85,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 12,600 | $84,000 | thousands by filing date | call |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 6,945 | $84,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 1,800 | $84,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 6,336 | $83,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,775 | $83,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 5,923 | $83,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 318,953 | $83,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y832 | ICBCCS S&P CHINA | 3,190 | $83,000 | thousands by filing date | |
| iShares Trust iShares USD Green Bond ETF | 46435U440 | SHS | 1,475 | $82,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 20,723 | $82,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 4,166 | $82,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 21,000 | $82,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,282 | $82,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 6,090 | $81,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 1,800 | $81,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 4,775 | $81,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 39,714 | $81,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 3,318 | $80,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 9,794 | $80,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 7,771 | $80,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 24,595 | $80,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 4,635 | $80,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 22,022 | $80,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 10,987 | $80,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 5,413 | $80,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 8,959 | $79,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 3,714 | $79,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 3,318 | $79,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 16,487 | $79,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 75,000 | $79,000 | thousands by filing date | principal |
| ADMA BIOLOGICS INC | 000899104 | COM | 17,747 | $78,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 6,104 | $78,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 23,681 | $78,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 9,880 | $77,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 600 | $77,000 | thousands by filing date | call |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 12,318 | $77,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 4,731 | $77,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 5,271 | $77,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 950 | $77,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 37,150 | $77,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 26,949 | $77,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 8,763 | $77,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 8,280 | $77,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 3,356 | $76,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 16,877 | $76,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 100,000 | $76,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,943 | $76,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 2,550 | $76,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 22,752 | $76,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 4,104 | $75,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 7,054 | $75,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 3,199 | $75,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 603 | $75,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 14,677 | $75,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 14,985 | $75,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 3,747 | $74,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 13,933 | $74,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 7,006 | $73,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 20,287 | $73,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 15,013 | $73,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 5,200 | $73,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 300 | $72,000 | thousands by filing date | put |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 2,224 | $72,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 160,552 | $72,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 72,458 | $72,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 2,919 | $72,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 6,614 | $71,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,407 | $71,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 22,868 | $71,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 3,579 | $71,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 500 | $70,000 | thousands by filing date | put |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 16,626 | $70,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 27,988 | $70,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 5,003 | $70,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 937 | $70,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 5,629 | $69,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 5,938 | $69,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 3,579 | $68,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 29,869 | $68,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 5,250 | $68,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 121 | $68,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 17,476 | $68,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 20,543 | $68,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 15,555 | $68,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,372 | $67,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 551 | $67,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 7,010 | $66,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 1,245 | $66,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 4,440 | $66,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 1,231 | $66,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 29,778 | $66,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 29,100 | $65,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,102 | $65,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 2,030 | $65,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 24,193 | $65,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 836 | $65,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 2,187 | $65,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 5,354 | $64,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 25,393 | $64,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 40,633 | $64,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 50,059 | $64,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 3,294 | $64,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G839 | EMERGING MKT | 2,712 | $64,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 9,754 | $63,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 6,645 | $63,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,001 | $63,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 28,616 | $63,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 2,408 | $63,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 9,035 | $62,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 21,714 | $62,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 3,800 | $61,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 9,342 | $61,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 3,752 | $61,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 5,701 | $61,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 24,103 | $61,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 3,188 | $60,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 4,517 | $60,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 5,512 | $60,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 4,273 | $60,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 1,004 | $60,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 2,732 | $60,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 13,469 | $60,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 7,981 | $60,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 6,347 | $60,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 77,336 | $60,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 2,975 | $59,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 7,252 | $59,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 2,262 | $59,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 33,587 | $59,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 2,106 | $59,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 14,854 | $59,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 2,011 | $58,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 4,215 | $58,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 51,907 | $58,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 4,334 | $58,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 15,423 | $58,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 33,835 | $58,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 700 | $57,000 | thousands by filing date | call |
| NEXTDECADE CORP | 65342K105 | COM | 9,695 | $57,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 3,551 | $57,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 5,599 | $57,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B201 | JR GOLD MINERS E | 1,872 | $57,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 7,536 | $57,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 2,700 | $57,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 4,178 | $57,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 4,111 | $57,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 2,090 | $57,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 3,675 | $56,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 9,428 | $56,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 112,079 | $56,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 27,225 | $56,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 3,169 | $56,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 8,492 | $56,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 7,252 | $56,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 15,604 | $56,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 10,954 | $56,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 2,319 | $56,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 1,400 | $55,000 | thousands by filing date | call |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 2,500 | $55,000 | thousands by filing date | call |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 1,500 | $55,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 1,877 | $55,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 10,361 | $55,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,735 | $55,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 29,571 | $55,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 100 | $54,000 | thousands by filing date | call |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 1,247 | $54,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 1,100 | $54,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 7,915 | $54,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 3,794 | $54,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 20,139 | $54,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,401 | $54,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 50,807 | $54,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 2,900 | $54,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 2,243 | $54,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 800 | $53,000 | thousands by filing date | put |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 14,590 | $53,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 17,818 | $53,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,966 | $53,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 695 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 2,600 | $53,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 13,223 | $53,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 3,551 | $53,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 1,405 | $53,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 3,050 | $52,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 3,621 | $52,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 6,422 | $52,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 992 | $52,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 21,959 | $52,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 3,607 | $52,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 637 | $51,000 | thousands by filing date | |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 635 | $51,000 | thousands by filing date | |
| DYNATRACE INC COM NEW | 268150109 | Stock | 2,712 | $51,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 5,101 | $51,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 5,352 | $51,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 1,738 | $51,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 2,000 | $51,000 | thousands by filing date | call |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 51,000 | $51,000 | thousands by filing date | principal |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,712 | $51,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 8,989 | $51,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 2,135 | $50,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,808 | $50,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 25,034 | $49,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 4,547 | $49,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 7,632 | $49,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 3,616 | $49,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 37,959 | $49,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 4,178 | $48,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 5,740 | $48,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 14,468 | $48,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 4,414 | $48,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 6,755 | $48,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 2,514 | $48,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 300 | $47,000 | thousands by filing date | put |
| CELCUITY INC | 15102K100 | COM | 2,793 | $47,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 831 | $47,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 38,748 | $47,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 45,000 | $47,000 | thousands by filing date | principal |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 3,664 | $46,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 1,961 | $46,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 571 | $46,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 6,368 | $46,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 17,278 | $46,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 27,298 | $46,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,875 | $46,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,850 | $45,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 1,100 | $45,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,992 | $45,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 1,989 | $45,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,257 | $45,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 7,263 | $45,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 17,925 | $45,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 13,262 | $45,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,271 | $45,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 1,865 | $45,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 30,087 | $45,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 3,375 | $45,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416300 | Cmn | 2,752 | $45,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 877 | $44,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 824 | $44,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 24,875 | $44,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 4,851 | $44,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 60,563 | $44,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 2,885 | $44,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 3,051 | $43,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 9,000 | $43,000 | thousands by filing date | call |
| Gilat Satellite Network | M51474118 | COM | 5,148 | $43,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,042 | $43,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 6,758 | $43,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,631 | $42,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,217 | $42,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 628 | $42,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,706 | $42,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 948 | $42,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,615 | $42,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 8,491 | $42,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,309 | $42,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 5,601 | $41,000 | thousands by filing date | |
| CHINA FIN ONLINE CO LTD | 169379104 | SPONSORED ADR | 56,700 | $41,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,085 | $41,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 9,031 | $41,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 516 | $41,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,420 | $40,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,076 | $40,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 901 | $40,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 13,431 | $40,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,717 | $40,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 11,614 | $40,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 13,996 | $40,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 26,755 | $40,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 180,246 | $40,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 900 | $39,000 | thousands by filing date | call |
| RIMINI STR INC DEL | 76674Q107 | COM | 8,691 | $39,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 40,805 | $39,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,068 | $39,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $39,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 1,571 | $39,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 6,853 | $39,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 2,300 | $39,000 | thousands by filing date | call |
| CALYXT INC | 13173L107 | COM | 6,748 | $39,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,925 | $39,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 1,996 | $38,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,636 | $38,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 8,589 | $38,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,298 | $38,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 19,092 | $38,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 5,334 | $38,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 16,833 | $38,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 1,447 | $38,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 1,300 | $37,000 | thousands by filing date | call |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,464 | $37,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 4,029 | $37,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 612 | $37,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 3,842 | $37,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 5,468 | $37,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 1,175 | $37,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,709 | $37,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,000 | $37,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 1,509 | $37,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,475 | $37,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 9,516 | $36,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,370 | $36,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 991 | $36,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 12,104 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,434 | $36,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,855 | $36,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 3,210 | $36,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 31,220 | $36,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 1,337 | $36,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 1,724 | $36,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 3,440 | $35,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 3,326 | $35,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 4,635 | $35,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 1,861 | $35,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 37,266 | $35,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 26,000 | $35,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 21,218 | $35,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 20,660 | $35,000 | thousands by filing date | principal |
| CENTRIC BRANDS INC | 15644G104 | COM | 13,762 | $35,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 2,000 | $34,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,108 | $34,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 2,950 | $34,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,389 | $34,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 6,400 | $34,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,880 | $34,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 35,000 | $34,000 | thousands by filing date | principal |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 11,204 | $34,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 10,602 | $34,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 17,945 | $34,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 8,440 | $33,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 5,134 | $33,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 8,280 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,800 | $33,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 2,278 | $33,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,054 | $33,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 26,238 | $33,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 11,878 | $33,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 32,000 | $33,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 1,213 | $33,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 2,811 | $33,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,269 | $32,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 1,755 | $32,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 8,462 | $32,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q746 | USD EMRNG MKT | 639 | $32,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 2,604 | $32,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 6,100 | $32,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 12,523 | $32,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 17,346 | $32,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 2,202 | $32,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 2,656 | $32,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 3,819 | $32,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 100 | $31,000 | thousands by filing date | put |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 1,945 | $31,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 17,772 | $31,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,314 | $31,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 707 | $31,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,177 | $31,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,972 | $31,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,341 | $31,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 17,000 | $31,000 | thousands by filing date | principal |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 6,131 | $31,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 3,042 | $31,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 9,409 | $31,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 2,770 | $30,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 2,872 | $30,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 3,619 | $30,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 750 | $30,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 3,013 | $30,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 7,480 | $30,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 1,710 | $29,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,891 | $29,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 3,474 | $29,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 9,763 | $29,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 90,893 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 825 | $29,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-021416 | this filing | 2019-11-14 | acceptance time not in the bulk data set |