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 |
|---|---|---|---|---|---|---|
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 5,488 | $29,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 8,986 | $28,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,000 | $28,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $28,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 1,044 | $28,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 6,778 | $28,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,390 | $28,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 121,089 | $28,000 | thousands by filing date | principal |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 14,879 | $28,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 1,402 | $28,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 19,909 | $28,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 35,000 | $28,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 24,671 | $27,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $27,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 486 | $27,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 1,018 | $27,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 640 | $27,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,500 | $27,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 1,929 | $27,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 9,422 | $27,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 14,341 | $27,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 81,633 | $27,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 20,871 | $27,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 200 | $26,000 | thousands by filing date | call |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 929 | $26,000 | thousands by filing date | |
| MFA FINL INC | 55272XAA0 | BOND | 25,000 | $26,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 20,471 | $26,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 848 | $26,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 23,074 | $26,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 18,807 | $26,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 16,000 | $26,000 | thousands by filing date | principal |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 5,214 | $26,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 5,230 | $26,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 12,820 | $26,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,929 | $26,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 480 | $26,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 27,000 | $26,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 1,056 | $26,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 1,670 | $25,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,378 | $25,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,945 | $25,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 6,800 | $25,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 25,000 | $25,000 | thousands by filing date | principal |
| GREAT PANTHER MINING | 39115V101 | COM | 35,332 | $25,000 | thousands by filing date | |
| ZYMEWORKS INC | 98985W102 | COM | 1,000 | $25,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 12,270 | $25,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 2,500 | $25,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,800 | $24,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,191 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R697 | SP KENSHO INFRA | 808 | $24,000 | thousands by filing date | |
| FQF TR | 351680707 | QUANT NEUT ANT | 1,000 | $24,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 25,421 | $24,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 300 | $23,000 | thousands by filing date | call |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 6,441 | $23,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,061 | $23,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 2,800 | $23,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 1,061 | $23,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 5,769 | $23,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 2,182 | $23,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,174 | $23,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052305 | COM PAR $0 01 | 2,365 | $23,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 34,120 | $23,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 5,000 | $22,000 | thousands by filing date | call |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 400 | $22,000 | thousands by filing date | put |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 3,170 | $22,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $22,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 753 | $22,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 2,821 | $22,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,500 | $22,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 5,474 | $22,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 19,695 | $22,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 22,000 | $22,000 | thousands by filing date | principal |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 5,388 | $21,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 3,168 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 629 | $21,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,000 | $21,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 6,246 | $21,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 11,537 | $21,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 9,131 | $21,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 5,700 | $20,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 836 | $20,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 3,751 | $20,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,600 | $20,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 4,477 | $20,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,340 | $20,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 20,000 | $20,000 | thousands by filing date | principal |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 9,059 | $20,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $19,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 8,939 | $19,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 18,532 | $19,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 8,959 | $19,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 8,193 | $19,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 581 | $19,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 48,837 | $19,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 3,906 | $19,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 6,557 | $19,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 1,800 | $19,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 934 | $18,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 5,212 | $18,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 4,847 | $18,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 4,069 | $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 |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 8,862 | $18,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 5,000 | $18,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,157 | $18,000 | thousands by filing date | |
| ECOLOGY & ENVIRONMENT INC | 278878103 | CL A | 1,156 | $18,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 2,916 | $18,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 7,050 | $18,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 9,146 | $18,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 10,091 | $18,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,206 | $17,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 855 | $17,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,300 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 300 | $17,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 3,054 | $17,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 620 | $17,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 559 | $17,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,487 | $17,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 14,086 | $17,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,130 | $17,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 4,576 | $17,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 70,500 | $17,000 | thousands by filing date | |
| WVS FINL CORP | 929358109 | COM | 1,040 | $17,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 711 | $17,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 310 | $17,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 700 | $16,000 | thousands by filing date | call |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 19,485 | $16,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 1,807 | $16,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 868 | $16,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 524 | $16,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 772 | $16,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 5,000 | $16,000 | thousands by filing date | call |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 5,572 | $16,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 21,864 | $16,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 254 | $16,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 327 | $16,000 | thousands by filing date | |
| RED RIVER BANCSHARES INC | 75686R202 | COMMON STOCK | 361 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 829 | $15,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,494 | $15,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 875 | $15,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 7,508 | $15,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 10,565 | $15,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $15,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 3,961 | $15,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 6,672 | $15,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 20,955 | $15,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 100 | $14,000 | thousands by filing date | put |
| Mallinckrodt Plc | G5785G107 | SHS | 5,800 | $14,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 1,134 | $14,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,912 | $14,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 195 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 535 | $14,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 1,000 | $14,000 | thousands by filing date | call |
| SANOFI | 80105N113 | COMMON STOCK-FO | 26,625 | $14,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 11,000 | $14,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 14,000 | $14,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 16,300 | $14,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,470 | $14,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 4,172 | $14,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 12,598 | $14,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 12,500 | $14,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y164 | COM NEW | 5,012 | $14,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,590 | $14,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 5,596 | $14,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 1,463 | $14,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 336 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 465 | $13,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 80 | $13,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 461 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 415 | $13,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,561 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 2,781 | $13,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,256 | $13,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 774 | $13,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 6,285 | $13,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 15,000 | $13,000 | thousands by filing date | principal |
| RANDOLPH BANCORP INC | 752378109 | COM | 895 | $13,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 15,770 | $13,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,001 | $12,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 1,568 | $12,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 2,523 | $12,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,443 | $12,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 7,063 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,803 | $12,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $12,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 1,000 | $12,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 12,000 | $12,000 | thousands by filing date | principal |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 8,200 | $12,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 13,598 | $12,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,407 | $12,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 4,145 | $12,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 5,970 | $12,000 | thousands by filing date | |
| FQF TR | 351680103 | QUANTSHARE MOM | 500 | $12,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 911 | $12,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,517 | $12,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 462 | $12,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 6,484 | $12,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 4,529 | $12,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 695 | $12,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 11,000 | $12,000 | thousands by filing date | principal |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 11,000 | $12,000 | thousands by filing date | principal |
| MEDLEY CAP CORP | 58503F106 | COM | 4,200 | $11,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,256 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 305 | $11,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,500 | $11,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 1,231 | $11,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 1,893 | $11,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 783 | $11,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $11,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 2,570 | $11,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $11,000 | thousands by filing date | principal |
| China Rapid Finance Ltd ADR | 16953Q105 | ADR | 21,455 | $11,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 1,819 | $11,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 15,278 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 325 | $10,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,007 | $10,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,700 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 105 | $10,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,523 | $10,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 926 | $10,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 1,000 | $10,000 | thousands by filing date | call |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,749 | $10,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 661 | $10,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 100 | $10,000 | thousands by filing date | put |
| DHX MEDIA LTD | 252406152 | COM VAR VTG | 7,516 | $10,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 381 | $10,000 | thousands by filing date | |
| SALARIUS PHARMACEUTICALS INC | 79400X107 | COM NEW | 1,907 | $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 |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 10,000 | $10,000 | thousands by filing date | principal |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,000 | $9,000 | thousands by filing date | |
| FIRST TRUST DOW JONES INTERNATIONAL INTERNET ETF | 33734X770 | ETF | 415 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 418 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,200 | $9,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 12,114 | $9,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,431 | $9,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 2,415 | $9,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 18,159 | $9,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 943 | $9,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 3,128 | $9,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 12,148 | $9,000 | thousands by filing date | |
| FQF TR | 351680400 | QUANTSHARE SIZ | 500 | $9,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 4,391 | $9,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 15,405 | $9,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 357 | $9,000 | thousands by filing date | |
| INVESCO CURNCYSHS SWEDSH KRO | 46138V109 | SWEDISH KRONA | 100 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 13,145 | $8,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 1,685 | $8,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 3,136 | $8,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $8,000 | thousands by filing date | |
| TAYLOR DEVICES INC | 877163105 | COMMON STOCK | 793 | $8,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 2,098 | $8,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $8,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 418 | $8,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 749 | $8,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 601 | $8,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 13,085 | $8,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 5,903 | $8,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 2,000 | $8,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 767 | $8,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 15,751 | $8,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 5,537 | $8,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 4,810 | $8,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,114 | $8,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 10,230 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 1,168 | $8,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 2,003 | $8,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 4,145 | $8,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 3,192 | $8,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,000 | $8,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 8,000 | $8,000 | thousands by filing date | principal |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $8,000 | thousands by filing date | principal |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 432 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 144 | $7,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 12,704 | $7,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 1,279 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 55 | $7,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 401 | $7,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 1,327 | $7,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,191 | $7,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 373 | $7,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C888 | US EQT BUFR APR | 275 | $7,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 2,002 | $7,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 5,858 | $7,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 360 | $7,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 413 | $7,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 468 | $7,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 200 | $7,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L738 | REAL ASST IDX | 249 | $7,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 882 | $7,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 461 | $7,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 2,354 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 569 | $7,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 5,449 | $7,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 10,599 | $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 | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 9,049 | $7,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 10,151 | $7,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 834 | $7,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 34,287 | $7,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 579 | $6,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,048 | $6,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 362 | $6,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 316 | $6,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,262 | $6,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 521 | $6,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 483 | $6,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 809 | $6,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,133 | $6,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 5,285 | $6,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 108,225 | $6,000 | thousands by filing date | principal |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 2,509 | $6,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 3,104 | $6,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 4,443 | $6,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 582 | $6,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 6,548 | $6,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 8,519 | $6,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 1,231 | $6,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 3,880 | $6,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 930 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 270 | $6,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 3,924 | $6,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 632 | $6,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 412 | $6,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,647 | $6,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 1,324 | $6,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 16,900 | $6,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 2,200 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 6,000 | $6,000 | thousands by filing date | principal |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,797 | $6,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 110 | $6,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G748 | RUSL 1000 QTLY | 210 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051499 | XTRACK FTSE EMRG | 273 | $6,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,400 | $5,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 413 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 114 | $5,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,098 | $5,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 800 | $5,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 243 | $5,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 369 | $5,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 7,624 | $5,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 3,210 | $5,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 144 | $5,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 1,057 | $5,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 474 | $5,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 2,259 | $5,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 311 | $5,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 401 | $5,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 4,416 | $5,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 1,003 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 19,553 | $5,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 1,045 | $5,000 | thousands by filing date | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 5,569 | $5,000 | thousands by filing date | |
| HMN FINL INC | 40424G108 | COM | 221 | $5,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 2,192 | $5,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 200 | $5,000 | thousands by filing date | |
| GUARANTY FED BANCSHARES INC | 40108P101 | COM | 202 | $5,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 1,629 | $5,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 1,000 | $5,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 3,000 | $5,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 6,544 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 155 | $5,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,741 | $5,000 | thousands by filing date | principal |
| KEMPHARM INC COM NEW | 488445107 | Stock | 7,124 | $5,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 20,854 | $5,000 | thousands by filing date | |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 10,048 | $5,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 750 | $4,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 432 | $4,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 200 | $4,000 | thousands by filing date | |
| 10X GENOMICS INC CL A COM | 88025U109 | Stock | 75 | $4,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 374 | $4,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 650 | $4,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 983 | $4,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 348 | $4,000 | thousands by filing date | |
| HIREQUEST INC | 433535101 | COMMON STOCK | 587 | $4,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $4,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,468 | $4,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 468 | $4,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 1,506 | $4,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 165 | $4,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 116 | $4,000 | thousands by filing date | |
| PROSHARES TR II | 74347W569 | ULTRASHORT YEN N | 50 | $4,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 742 | $4,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 1,035 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 237 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 431 | $4,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 225 | $4,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,413 | $4,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 1,347 | $4,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 3,301 | $4,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 13,825 | $4,000 | thousands by filing date | |
| PLX PHARMA INC. XXXBANKRUPTCY EFF: 10/02/23 | 72942A107 | COMMON STOCK | 689 | $4,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 11,321 | $4,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 619 | $4,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 51 | $4,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 3,832 | $4,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 5,341 | $4,000 | thousands by filing date | |
| P & F INDS INC | 692830508 | CL A NEW | 598 | $4,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 5,808 | $4,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 2,215 | $4,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 164 | $4,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 6,000 | $4,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 5,470 | $4,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $4,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 8,502 | $4,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 1,321 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,052 | $4,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,143 | $4,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 1,295 | $4,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 3,356 | $4,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 337 | $4,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $4,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,618 | $4,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 1,264 | $3,000 | thousands by filing date | |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 100 | $3,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 100 | $3,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,000 | $3,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 451 | $3,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 809 | $3,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,711 | $3,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 422 | $3,000 | thousands by filing date | |
| RHINEBECK BANCORP INC | 762093102 | COMMON STOCK | 314 | $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 | 4,560 | $3,000 | thousands by filing date | principal |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 155 | $3,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 4,640 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 123 | $3,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 181 | $3,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 533 | $3,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,401 | $3,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 470 | $3,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J303 | COM | 1,979 | $3,000 | thousands by filing date | |
| Community West Bancshares | 204157101 | Common Stock | 340 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| ZOVIO INC | 98979V102 | COMMON STOCK | 1,283 | $3,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 7,184 | $3,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 11,148 | $3,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,742 | $3,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 654 | $3,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 470 | $3,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 1,861 | $3,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 1,016 | $3,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 608 | $3,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 501 | $3,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 1,621 | $3,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,000 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 5,160 | $3,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 840 | $3,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 560 | $3,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,090 | $3,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,000 | $3,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 408 | $3,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 218 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 150 | $3,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,697 | $3,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 81 | $3,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 10,830 | $3,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 838 | $3,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,029 | $3,000 | thousands by filing date | |
| HV BANCORP | 40441H105 | COM | 221 | $3,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 545 | $3,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 1,481 | $3,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 634 | $3,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 1,508 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| FSB BANCORP INC | 30289C102 | COM | 184 | $3,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 541 | $3,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628301 | COM | 1,646 | $3,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 2,000 | $3,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 75 | $2,000 | thousands by filing date | |
| CERENCE INC COM | 156727109 | Stock | 100 | $2,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 257 | $2,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 1,111 | $2,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 607 | $2,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 645 | $2,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 3,104 | $2,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 20 | $2,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,003 | $2,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 747 | $2,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 460 | $2,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 139 | $2,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 311 | $2,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 97 | $2,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 300 | $2,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 596 | $2,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 226 | $2,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 243 | $2,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 300 | $2,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 504 | $2,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 581 | $2,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 300 | $2,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 142 | $2,000 | 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 |