13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 6,886 holding rows worth $252,891,319,000.
- Accession
- 0001567619-19-021473
- Filer
- CIK 1000275
- 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, 25,498 entries on the cover page, a total value of $252,891,319,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $252,891,319,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC Capital Markets Arbitrage S.A.028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAston Asset Management, LLC028-12347
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 17,566 | $183,000 | thousands by filing date | |
| CALERES INC | 129500104 | COM | 7,800 | $182,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 11,785 | $181,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 6,561 | $181,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 4,836 | $181,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 13,869 | $181,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 9,183 | $181,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 13,221 | $180,000 | thousands by filing date | |
| SMARTSHEET INC. (CLASS A) | 83200N103 | COM CL A | 5,000 | $180,000 | thousands by filing date | |
| EVOQUA WATER TECHNOLOGIES CO | 30057T105 | COM | 10,566 | $180,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 160,304 | $180,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 14,001 | $179,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 3,746 | $179,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 6,070 | $179,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G862 | FLOAT RATE ETF | 7,158 | $179,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 13,573 | $178,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 12,990 | $178,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 581 | $177,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 73,180 | $177,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 2,593 | $176,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 9,282 | $176,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 171,000 | $176,000 | thousands by filing date | principal |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 19,209 | $176,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 5,853 | $176,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 2,813 | $175,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 1,441 | $174,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 4,994 | $174,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 12,055 | $173,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 3,425 | $173,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 8,234 | $173,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 9,969 | $173,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N104 | CL A | 37,273 | $173,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A289 | DEFIANCE SPACE A | 7,010 | $172,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 8,000 | $172,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 10,617 | $171,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 178,000 | $171,000 | thousands by filing date | principal |
| AK STEEL HOLDING CORP | 001547108 | COM | 75,311 | $171,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 20,436 | $170,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 44,665 | $170,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 406,985 | $169,000 | thousands by filing date | |
| ADVANSIX INC | 00773T101 | COM | 6,609 | $169,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 11,671 | $169,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 27,607 | $169,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 15,358 | $169,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 2,896 | $168,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y657 | US PFD ETF | 6,704 | $168,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 13,500 | $168,000 | thousands by filing date | call |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 3,727 | $168,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 12,404 | $167,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 12,784 | $167,000 | thousands by filing date | |
| DBX ETF TR | 233051192 | XTKR EMGRIN MKTS | 6,380 | $167,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 12,949 | $167,000 | thousands by filing date | |
| OPTION CARE HEALTH INC | 68404L102 | COM | 52,224 | $167,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 9,992 | $166,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 14,262 | $166,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 5,900 | $166,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 2,769 | $166,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 42,258 | $166,000 | thousands by filing date | |
| PROSHARES TR | 74348A491 | ULSH 20YRTRE NEW | 11,356 | $166,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 1,768 | $165,000 | thousands by filing date | |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 16,187 | $165,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 8,115 | $165,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 19,200 | $165,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 6,210 | $165,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 13,793 | $165,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 3,567 | $165,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 129,833 | $164,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 32,599 | $163,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 52,510 | $163,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 37 | $162,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 9,865 | $162,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 3,645 | $162,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 7,484 | $162,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 9,400 | $162,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 3,763 | $162,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 11,847 | $162,000 | thousands by filing date | |
| PROGRESS SOFTWARE CORP COM | 743312100 | Stock | 4,190 | $160,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 6,208 | $160,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 23,959 | $160,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 3,027 | $160,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 49,001 | $159,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 4,633 | $159,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 15,822 | $158,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 11,058 | $158,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 5,767 | $158,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 12,597 | $158,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 6,044 | $157,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 28,293 | $156,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 9,269 | $156,000 | thousands by filing date | |
| SLEEP NUMBER CORP | 83125X103 | COM D | 3,791 | $156,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 4,976 | $155,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 6,390 | $155,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 16,739 | $154,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P110 | NUVEEN ESG 1-5 | 6,129 | $154,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 10,437 | $154,000 | thousands by filing date | |
| STRATEGY | 86280R209 | EXCHANGE TRADED | 3,734 | $154,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 11,962 | $153,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,200 | $153,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 14,605 | $153,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 4,360 | $153,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 11,654 | $153,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 121,140 | $152,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 53,615 | $152,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,385 | $152,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 14,118 | $152,000 | thousands by filing date | |
| SPDR SER TR | 78468R713 | DORSEY WRGT FI | 6,461 | $152,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P102 | NUVEEN ENHNC YLD | 6,058 | $151,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 3,006 | $151,000 | thousands by filing date | |
| PGIM ETF TR | 69344A503 | QMA STRGC GWTH | 3,096 | $151,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 4,880 | $150,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 7,500 | $150,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 60,100 | $150,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 2,326 | $149,000 | thousands by filing date | |
| DIAMOND S SHIPPING INC COM | Y20676105 | COM | 13,474 | $149,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 29,372 | $149,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 4,603 | $148,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 15,925 | $148,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 11,831 | $148,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 23,720 | $148,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 10,325 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 10,003 | $147,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 19,645 | $147,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 30,817 | $147,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,000 | $146,000 | thousands by filing date | call |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 1,570 | $146,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 3,579 | $146,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 35,000 | $145,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 40,000 | $144,000 | thousands by filing date | call |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 13,180 | $143,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 1,470 | $142,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 109,423 | $142,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 9,920 | $142,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 4,076 | $142,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 10,557 | $142,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 5,108 | $142,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 2,175 | $142,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 7,443 | $141,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 8,400 | $141,000 | thousands by filing date | call |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 9,847 | $141,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 7,339 | $141,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 3,925 | $140,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 5,404 | $140,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 19,500 | $140,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 1,800 | $139,000 | thousands by filing date | put |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 12,113 | $139,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 2,800 | $139,000 | thousands by filing date | call |
| WATERSTONE FINL INC MD | 94188P101 | COM | 8,113 | $139,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 74,366 | $139,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 55,983 | $139,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 1,200 | $138,000 | thousands by filing date | call |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 14,190 | $138,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,265 | $138,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 40,000 | $138,000 | thousands by filing date | call |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 28,725 | $138,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 6,600 | $137,000 | thousands by filing date | |
| BRAINSWAY LTD | 10501L106 | CMN | 15,000 | $137,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 7,825 | $136,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 9,535 | $136,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 13,200 | $136,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 16,740 | $135,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R407 | NASDAQ BUYWRITE | 6,037 | $135,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 12,504 | $134,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 11,922 | $134,000 | thousands by filing date | |
| Fidelity High Dividend ETF | 316092840 | SHS | 4,411 | $133,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 21,312 | $133,000 | thousands by filing date | call |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 4,337 | $133,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 11,428 | $133,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y727 | NEWFLT MULSINC | 2,737 | $133,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 11,066 | $132,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 5,349 | $132,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 3,729 | $132,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 12,175 | $131,000 | thousands by filing date | |
| PACER INDUSTRIAL REAL ESTATE ETF | 69374H766 | ETF | 4,036 | $131,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 22,737 | $131,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,014 | $130,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 2,702 | $130,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 4,552 | $130,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 19,030 | $130,000 | thousands by filing date | |
| ELASTIC N V ORD SHS | N14506104 | Stock | 1,576 | $129,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 10,156 | $129,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 23,771 | $129,000 | thousands by filing date | |
| ISHARES TR | 46435G888 | MSCI SO KOREA | 5,112 | $129,000 | thousands by filing date | |
| iShares U.S. ETF Trust iShares GSCI Commodity Dynamic Roll Strategy ETF | 46431W853 | SHS | 4,054 | $128,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 1,783 | $128,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 16,696 | $127,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 5,545 | $127,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 28,710 | $127,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 29,211 | $126,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 13,798 | $126,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 22,577 | $126,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 35,415 | $126,000 | thousands by filing date | |
| DYNATRACE INC COM NEW | 268150109 | Stock | 6,721 | $125,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 7,474 | $125,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,924 | $124,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 14,000 | $124,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 33,475 | $124,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 20,048 | $124,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 12,696 | $123,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 2,850 | $123,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 3,144 | $123,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K104 | COM | 12,550 | $123,000 | thousands by filing date | |
| IQ HEDGE MARKET NEUT TRACK | 45409B503 | CMN | 4,639 | $123,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 8,093 | $122,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 14,613 | $122,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 51,214 | $122,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 8,315 | $122,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 5,724 | $121,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 6,653 | $121,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 26,994 | $121,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 6,415 | $121,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 26,307 | $121,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 13,595 | $121,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 7,767 | $120,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 17,283 | $120,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 1,000 | $119,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F676 | COM | 1,000 | $119,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 10,000 | $119,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 6,957 | $119,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 1,343 | $119,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 40,199 | $119,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 5,087 | $119,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B412 | IQ S&P HGH YLD | 4,697 | $119,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 12,445 | $118,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 2,583 | $118,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 9,412 | $118,000 | thousands by filing date | |
| JANUS DETROIT STR TR OBESITY ETF | 47103U506 | CEF | 3,525 | $118,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 5,900 | $117,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 7,190 | $117,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 4,591 | $117,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 10,422 | $116,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 3,163 | $116,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 4,003 | $116,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y434 | GENOMIC BIOTECH | 9,230 | $115,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 7,245 | $114,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 21,820 | $114,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 7,654 | $114,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 2,850 | $114,000 | thousands by filing date | |
| LISTED FD TR EVENTSHS US LEGI | 53656F102 | CEF | 5,273 | $114,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 12,200 | $113,000 | thousands by filing date | put |
| NEOGENOMICS INC | 64049M209 | COM NEW | 5,932 | $113,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 4,391 | $113,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 9,883 | $113,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 28,557 | $113,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 95,536 | $113,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 8,190 | $112,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 23,079 | $112,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 3,489 | $112,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 3,286 | $111,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 5,340 | $111,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 14,192 | $111,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 2,750 | $111,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 37,168 | $111,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745105 | COM CLASS A | 10,800 | $111,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 1,000 | $110,000 | thousands by filing date | put |
| BYLINE BANCORP INC | 124411109 | COM | 6,146 | $110,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 16,500 | $110,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 6,789 | $110,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 600 | $109,000 | thousands by filing date | put |
| SAFEHOLD INC | 78645L100 | COM | 3,580 | $109,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 4,445 | $109,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 6,766 | $109,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 9,105 | $109,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 9,929 | $109,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 23,100 | $109,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 25,342 | $109,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 50,026 | $108,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 5,065 | $108,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 1,870 | $108,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 15,724 | $108,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 2,961 | $108,000 | thousands by filing date | |
| DBX ETF TR | 233051739 | UIT EXCHANGE TRADED | 4,650 | $108,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 1,166 | $107,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 2,864 | $107,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 7,465 | $107,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 5,826 | $107,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 400 | $106,000 | thousands by filing date | put |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 6,191 | $106,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 20,794 | $106,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 14,693 | $105,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 7,702 | $105,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 4,925 | $105,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 27,141 | $105,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 6,666 | $104,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 2,973 | $104,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 11,243 | $104,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 10,200 | $104,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 4,012 | $104,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 21,811 | $104,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 3,610 | $103,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 5,582 | $103,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 8,701 | $103,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 9,618 | $103,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 104,000 | $103,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 100,000 | $103,000 | thousands by filing date | principal |
| IMPINJ INC | 453204109 | COM | 3,324 | $102,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 53,626 | $102,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 4,991 | $102,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 6,093 | $101,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 2,777 | $101,000 | thousands by filing date | |
| Hartford Municipal Opportnits ETF | 41653L503 | ETF | 2,400 | $101,000 | thousands by filing date | |
| PROSHARES TR | 74348A533 | PRIV EQTY-LSTD | 2,911 | $101,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 5,000 | $101,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 8,773 | $100,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,185 | $100,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 2,596 | $100,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 5,334 | $99,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 758 | $99,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 6,754 | $99,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 35,000 | $99,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 7,597 | $98,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 8,998 | $98,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 18,797 | $98,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 16,124 | $98,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 33,489 | $97,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 6,527 | $97,000 | thousands by filing date | |
| AVANTOR INC | 05352A209 | 6.25 PFD CNV SR | 1,808 | $97,000 | thousands by filing date | principal |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,136 | $96,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 4,970 | $96,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 2,169 | $95,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 1,027 | $95,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 8,461 | $95,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 122 | $95,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 29,492 | $94,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 3,965 | $94,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 7,796 | $94,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,001 | $94,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 2,575 | $94,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 2,439 | $94,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 16,253 | $94,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 1,949 | $93,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 2,223 | $93,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 2,827 | $93,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 8,778 | $93,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 4,281 | $93,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 4,960 | $92,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 3,176 | $92,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 2,605 | $92,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 4,366 | $92,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 11,400 | $92,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 67,700 | $92,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 2,693 | $92,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 2,382 | $92,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 9,251 | $92,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 2,227 | $91,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 2,000 | $91,000 | thousands by filing date | put |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 1,625 | $91,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 831 | $91,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 6,020 | $91,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 700 | $90,000 | thousands by filing date | call |
| EBAY INC. COM | 278642103 | Stock | 2,300 | $90,000 | thousands by filing date | call |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 17,844 | $90,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 873 | $90,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 3,700 | $90,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 6,365 | $90,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 21,035 | $90,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,172 | $89,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P589 | FUND | 2,105 | $89,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 4,060 | $89,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 3,931 | $88,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 14,162 | $88,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 915 | $88,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 9,077 | $88,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E119 | MSCI SUPR EM ETF | 6,965 | $88,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 17,989 | $88,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 4,642 | $87,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 3,150 | $87,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 16,573 | $87,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 74,884 | $87,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 28,074 | $86,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 911 | $86,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 8,259 | $86,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 1,457 | $86,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 900 | $86,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 4,995 | $86,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 5,226 | $86,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 6,845 | $86,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 54,970 | $86,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 6,000 | $86,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 4,764 | $85,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 2,068 | $85,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 1,861 | $85,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 3,900 | $85,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 24,418 | $85,000 | thousands by filing date | |
| ISHARES TR | 46435G813 | MSCI SPAIN ETF | 3,902 | $85,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 6,474 | $84,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 5,000 | $84,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 3,147 | $84,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 4,505 | $84,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 72,300 | $84,000 | thousands by filing date | put |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,287 | $83,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 3,872 | $83,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 5,655 | $83,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 7,900 | $83,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 5,300 | $83,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 6,167 | $83,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 2,218 | $83,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 4,900 | $82,000 | thousands by filing date | call |
| LOOP INDS INC | 543518104 | COM | 6,410 | $82,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 25,875 | $82,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 4,240 | $82,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 2,656 | $82,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 12,728 | $82,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 5,354 | $81,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 2,833 | $81,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 3,427 | $81,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 50,229 | $81,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 3,931 | $81,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 5,785 | $81,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 5,500 | $81,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 2,863 | $81,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 6,139 | $80,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 300 | $80,000 | thousands by filing date | call |
| BRADY CORP | 104674106 | CL A | 1,487 | $80,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 26,867 | $80,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 10,550 | $80,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 9,954 | $80,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 40,492 | $80,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 3,395 | $80,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,727 | $80,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 5,969 | $80,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 2,071 | $80,000 | thousands by filing date | principal |
| RUBICON PROJ INC | 78112V102 | COM | 9,120 | $80,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 9,185 | $80,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 63 | $80,000 | thousands by filing date | principal |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 2,122 | $79,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 4,000 | $79,000 | thousands by filing date | |
| HARTFORD FDS EXCHANGE TRADED | 41653L305 | TOTAL RTRN ETF | 1,900 | $79,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 14,000 | $79,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 8,167 | $79,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 6,700 | $79,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 1,966 | $78,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 9,800 | $78,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 9,100 | $78,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 2,255 | $78,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 8,571 | $78,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 4,943 | $77,000 | thousands by filing date | |
| FARFETCH LTD | 30744W107 | ORD SH CL A | 8,827 | $77,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 17,179 | $77,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 2,773 | $77,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 2,318 | $76,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P888 | NUVEEN ESG EMRGN | 3,038 | $76,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 3,826 | $76,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y707 | RENEWABLE ENERGY | 5,492 | $76,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 82,977 | $76,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 2,848 | $76,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 39,857 | $76,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,774 | $75,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 9,225 | $75,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,025 | $75,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 3,684 | $75,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 85,000 | $75,000 | thousands by filing date | principal |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 8,227 | $74,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 3,300 | $74,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 2,894 | $74,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 5,400 | $74,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 2,664 | $74,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 5,365 | $74,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 1,048 | $73,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 1,526 | $73,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 12,572 | $73,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 1,532 | $73,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 3,076 | $73,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 529 | $73,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 9,052 | $73,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 18,955 | $73,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 20,000 | $72,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 20,126 | $72,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 5,648 | $72,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 6,197 | $71,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 10,579 | $71,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 25,205 | $71,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 798 | $71,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 1,414 | $71,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 12,300 | $71,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 2,334 | $70,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 1,047 | $70,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 6,539 | $70,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 26,739 | $70,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 1,491 | $70,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 9,120 | $70,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 41,482 | $70,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 6,600 | $70,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 21,910 | $69,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 6,925 | $69,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 7,785 | $69,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 1,034 | $69,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 6,589 | $69,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 1,050 | $69,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 5,814 | $69,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 18,206 | $69,000 | thousands by filing date | |
| ISHARES TR | 46435G821 | MSCI ITALY ETF | 3,937 | $69,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 600 | $68,000 | thousands by filing date | put |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 4,902 | $68,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 1,806 | $68,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 8,047 | $68,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 4,618 | $68,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 3,234 | $68,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 4,000 | $68,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 7,194 | $68,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,699 | $68,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-19-021473 | this filing | 2019-11-14 | acceptance time not in the bulk data set |