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 TRUST | 92189F288 | ENERGY INCOME | 1,082 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R648 | SP KENSHO NEWEC | 600 | $20,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 438 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 800 | $20,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 11,241 | $20,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 8,558 | $20,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,306 | $20,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 3,000 | $20,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,728 | $20,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 25,000 | $20,000 | thousands by filing date | principal |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 1,220 | $19,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 1,000 | $19,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 1,633 | $19,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 800 | $19,000 | thousands by filing date | call |
| PARSONS CORP DEL COM | 70202L102 | Stock | 569 | $19,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 326 | $19,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,647 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 570 | $19,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 1,051 | $19,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 811 | $19,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 1,158 | $19,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 400 | $19,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 2,571 | $19,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 602 | $19,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 1,900 | $19,000 | thousands by filing date | |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 4,724 | $19,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 886 | $19,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 1,029 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 547 | $19,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 2,300 | $19,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 533 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 700 | $19,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 3,463 | $19,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 1,819 | $19,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 1,963 | $19,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 19,568 | $19,000 | thousands by filing date | |
| DANAHER CORPORATION | 235851300 | 4.75 MND CV PFD | 16 | $19,000 | thousands by filing date | principal |
| Emmis Communications Corp | 291525400 | COM | 3,813 | $19,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 661 | $18,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 200 | $18,000 | thousands by filing date | call |
| UPWORK INC | 91688F104 | COM | 1,340 | $18,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 3,056 | $18,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 1,330 | $18,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 603 | $18,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 1,350 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 357 | $18,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 920 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74348A608 | SHT 7-10 YR TR | 683 | $18,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 2,000 | $18,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 891 | $18,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 19,800 | $18,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 2,650 | $18,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 3,208 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 505 | $18,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 14,595 | $18,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 14,920 | $18,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 3,704 | $18,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 178 | $17,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 676 | $17,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,000 | $17,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 300 | $17,000 | thousands by filing date | call |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $17,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 400 | $17,000 | thousands by filing date | put |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 5,500 | $17,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,218 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 745 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 626 | $17,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,233 | $17,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 295 | $17,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B169 | CMN | 500 | $17,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 630 | $17,000 | thousands by filing date | principal |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $17,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 6,924 | $17,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,500 | $17,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 1,536 | $17,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,300 | $17,000 | thousands by filing date | |
| DBX ETF TR | 233051440 | XTRACK RUSS 2000 | 500 | $17,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,134 | $17,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 3,000 | $17,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 310 | $17,000 | thousands by filing date | principal |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 28,612 | $17,000 | thousands by filing date | |
| RA PHARMACEUTICALS INC | 74933V108 | COM | 700 | $17,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 11,000 | $17,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 170 | $17,000 | thousands by filing date | principal |
| GERON CORP | 374163103 | COM | 12,150 | $16,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 4,400 | $16,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 848 | $16,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 487 | $16,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 6,448 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 336 | $16,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 2,900 | $16,000 | thousands by filing date | put |
| ENERGY FUELS INC | 292671708 | COM NEW | 7,500 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 300 | $16,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 439 | $16,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 403 | $16,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 518 | $16,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,978 | $16,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F304 | ENVIRONMENTAL SR | 150 | $16,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,883 | $16,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 520 | $16,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 1,831 | $16,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 563 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A453 | CLEARSHS ULTRA | 160 | $16,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 17,500 | $16,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 200 | $16,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,070 | $16,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 1,475 | $16,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 268 | $16,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 4,950 | $16,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 624 | $16,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 5,120 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 613 | $16,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 10,000 | $16,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 1,359 | $16,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 22,000 | $16,000 | thousands by filing date | principal |
| CHIASMA INC | 16706W102 | COM | 3,150 | $16,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 19,048 | $16,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 735 | $15,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 2,000 | $15,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 1,165 | $15,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 992 | $15,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 760 | $15,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,117 | $15,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 784 | $15,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL MOMENTU | 78468R762 | ETF | 200 | $15,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,000 | $15,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,400 | $15,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 10,728 | $15,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 4,706 | $15,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 985 | $15,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 599 | $15,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 930 | $15,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 944 | $15,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 621 | $15,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,050 | $15,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 760 | $15,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 970 | $15,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 536 | $15,000 | thousands by filing date | principal |
| BG STAFFING INC | 05544A109 | COM | 785 | $15,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 15,000 | $15,000 | thousands by filing date | principal |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 5,100 | $15,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 300 | $15,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 158 | $15,000 | thousands by filing date | principal |
| GENERAL ELEC CO | 369604103 | COM | 1,600 | $14,000 | thousands by filing date | call |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 2,000 | $14,000 | thousands by filing date | put |
| THE REALREAL INC | 88339P101 | COM | 617 | $14,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 616 | $14,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 1,011 | $14,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 811 | $14,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 2,749 | $14,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 437 | $14,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 1,087 | $14,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 300 | $14,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 130 | $14,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 626 | $14,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 1,209 | $14,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,361 | $14,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 4,065 | $14,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 3,301 | $14,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 1,000 | $14,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 2,021 | $14,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 9,259 | $14,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,000 | $14,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 380 | $14,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,086 | $14,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 269 | $14,000 | thousands by filing date | principal |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 110 | $14,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489303 | CL A NEW | 5,000 | $14,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 363 | $13,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 300 | $13,000 | thousands by filing date | put |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 300 | $13,000 | thousands by filing date | put |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 400 | $13,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 200 | $13,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 889 | $13,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 766 | $13,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 5,050 | $13,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,750 | $13,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 2,075 | $13,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 7,916 | $13,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,250 | $13,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 565 | $13,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,952 | $13,000 | thousands by filing date | |
| DBX ETF TR | 233051226 | CMN | 539 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B391 | CMN | 339 | $13,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 764 | $13,000 | thousands by filing date | |
| STABILIS SOLUTIONS INC | 85236P101 | COM | 2,075 | $13,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,500 | $13,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 11,309 | $13,000 | thousands by filing date | |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 810 | $13,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 8,155 | $13,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 3,750 | $13,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 278 | $13,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 675 | $13,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 2,560 | $13,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 14,000 | $13,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 160 | $13,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 764 | $13,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 200 | $12,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 200 | $12,000 | thousands by filing date | call |
| CYTOKINETICS INC | 23282W605 | COM NEW | 1,050 | $12,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 200 | $12,000 | thousands by filing date | put |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 500 | $12,000 | thousands by filing date | put |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 200 | $12,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 14,525 | $12,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 1,133 | $12,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 199 | $12,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 4,017 | $12,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 400 | $12,000 | thousands by filing date | put |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,011 | $12,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 1,682 | $12,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 1,526 | $12,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 174 | $12,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,000 | $12,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 3,117 | $12,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 550 | $12,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 1,026 | $12,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 450 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 150 | $12,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 5,907 | $12,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,276 | $12,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 607 | $12,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,425 | $12,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 13,000 | $12,000 | thousands by filing date | principal |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 2,408 | $12,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 376 | $12,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 4,215 | $12,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 540 | $12,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 898 | $12,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 780 | $12,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 5,489 | $12,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 2,000 | $12,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 851 | $12,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 6,861 | $12,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAC4 | NOTE 1.625%11/0 | 12,000 | $12,000 | thousands by filing date | principal |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 8,100 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A438 | DEFIANCE FUTUR | 535 | $12,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 7,252 | $11,000 | thousands by filing date | |
| ACADIAN ASSET MANAGEMENT INC COM | 10948W103 | Stock | 1,044 | $11,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 400 | $11,000 | thousands by filing date | call |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 308 | $11,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 3,852 | $11,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 790 | $11,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 491 | $11,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 280 | $11,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 4,831 | $11,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 1,205 | $11,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 1,243 | $11,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 3,356 | $11,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 525 | $11,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 468 | $11,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 101 | $11,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 1,700 | $11,000 | thousands by filing date | put |
| CHICOS FAS INC | 168615102 | COM | 2,650 | $11,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 2,246 | $11,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 1,088 | $11,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,043 | $11,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 1,649 | $11,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 9,100 | $11,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,120 | $11,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 411 | $11,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 1,500 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 170 | $11,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $11,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 500 | $11,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $11,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $11,000 | thousands by filing date | principal |
| FGL HLDGS | G3402M102 | ORD SHS | 1,365 | $11,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 563 | $11,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 8,761 | $11,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 88 | $11,000 | thousands by filing date | principal |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 190 | $10,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 400 | $10,000 | thousands by filing date | call |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,696 | $10,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 500 | $10,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 865 | $10,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 4,748 | $10,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 800 | $10,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717Y790 | US EFFIC CORE FD | 348 | $10,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 1,015 | $10,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 700 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 79 | $10,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,094 | $10,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,864 | $10,000 | thousands by filing date | |
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 523 | $10,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 2,205 | $10,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 661 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 100 | $10,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 4,317 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 551 | $10,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,096 | $10,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 2,500 | $10,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $10,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 8,450 | $10,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 500 | $10,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 1,567 | $10,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 3,496 | $10,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,862 | $10,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 5,336 | $10,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| VAPOTHERM INC | 922107107 | COM | 1,111 | $10,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 14,140 | $10,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 346 | $10,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 500 | $9,000 | thousands by filing date | call |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 200 | $9,000 | thousands by filing date | call |
| ISHARES TR | 46435G268 | RUSEL 2500 ETF | 200 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 166 | $9,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 891 | $9,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 700 | $9,000 | thousands by filing date | put |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 1,124 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 110 | $9,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 557 | $9,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 307 | $9,000 | thousands by filing date | |
| ACME UNITED CORP | 004816104 | COMMON STOCK | 468 | $9,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 450 | $9,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 312 | $9,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 3,305 | $9,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 227 | $9,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 400 | $9,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 701 | $9,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 370 | $9,000 | thousands by filing date | |
| ASSETMARK FINL HLDGS INC | 04546L106 | COM | 351 | $9,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 2,533 | $9,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 570 | $9,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 9,000 | $9,000 | thousands by filing date | principal |
| WISDOMTREE INTERNATIONAL ESG FUND | 97717Y709 | ETF | 389 | $9,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 6,715 | $9,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 7,071 | $9,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 184 | $9,000 | thousands by filing date | principal |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 69 | $9,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279504 | COM NEW | 1,044 | $9,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,000 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 355 | $9,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 300 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS APTUS FORTIFIED | 26922A610 | Stock | 350 | $9,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 157 | $9,000 | thousands by filing date | principal |
| DBX ETF TR XTRACK | 233051812 | MSCI SOUT | 354 | $9,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 100 | $8,000 | thousands by filing date | put |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 500 | $8,000 | thousands by filing date | |
| TAPESTRY INC COM | 876030107 | Stock | 300 | $8,000 | thousands by filing date | put |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 92 | $8,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 176 | $8,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 15,348 | $8,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 85 | $8,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 382 | $8,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 152 | $8,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 925 | $8,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 385 | $8,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 3,403 | $8,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $8,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 615 | $8,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 7,998 | $8,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 357 | $8,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 355 | $8,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 380 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 400 | $8,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,670 | $8,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 1,940 | $8,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 2,215 | $8,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 465 | $8,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 3,862 | $8,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 1,355 | $8,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 631 | $8,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 500 | $8,000 | thousands by filing date | call |
| GREAT PANTHER MINING | 39115V101 | COM | 10,628 | $8,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,500 | $8,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 2,481 | $8,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 773 | $8,000 | thousands by filing date | |
| Cbs Corporation Cl A New | 124857103 | CLA | 178 | $8,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,820 | $8,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 2,078 | $8,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $8,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 2,115 | $8,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 300 | $8,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 3,259 | $8,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,755 | $8,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 250 | $8,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 341 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 400 | $8,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 212 | $7,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 739 | $7,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 594 | $7,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 901 | $7,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,000 | $7,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 631 | $7,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 655 | $7,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 601 | $7,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 131 | $7,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 128 | $7,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 3,175 | $7,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 134 | $7,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,811 | $7,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 1,106 | $7,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 1,812 | $7,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 95 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 250 | $7,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 1,511 | $7,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 915 | $7,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 725 | $7,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 2,047 | $7,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 21,000 | $7,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 10,614 | $7,000 | thousands by filing date | |
| CONTINENTAL BUILDING PRODUCTS | 211171103 | COMMON STOCK | 251 | $7,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 2,054 | $7,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 990 | $7,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 11,555 | $7,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 600 | $7,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 4,000 | $7,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 208 | $7,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 233 | $7,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 799 | $7,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 8,000 | $7,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 4,096 | $7,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,650 | $7,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 2,064 | $7,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 3,439 | $7,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $7,000 | thousands by filing date | |
| MAM SOFTWARE GROUP INC | 55277Q201 | CMN | 622 | $7,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 258 | $7,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 274 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 318 | $7,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,961 | $7,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 2,248 | $7,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 11,880 | $7,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 5,618 | $7,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 3,153 | $7,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 5,777 | $7,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 417 | $7,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 300 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 800 | $7,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 10,101 | $7,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 600 | $7,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 10,729 | $7,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,180 | $7,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 100 | $6,000 | thousands by filing date | call |
| PAN AMERN SILVER CORP | 697900108 | COM | 400 | $6,000 | thousands by filing date | call |
| ALCOA CORP COM | 013872106 | Stock | 300 | $6,000 | thousands by filing date | call |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,504 | $6,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 1,320 | $6,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 100 | $6,000 | thousands by filing date | put |
| MASTEC INC COM | 576323109 | Stock | 100 | $6,000 | thousands by filing date | put |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 207 | $6,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 400 | $6,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 200 | $6,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 200 | $6,000 | thousands by filing date | call |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 200 | $6,000 | thousands by filing date | put |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 415 | $6,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 378 | $6,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,010 | $6,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 647 | $6,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 544 | $6,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 500 | $6,000 | thousands by filing date | put |
| FORRESTER RESH INC | 346563109 | COM | 200 | $6,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 100 | $6,000 | thousands by filing date | call |
| MACROGENICS INC | 556099109 | COM | 508 | $6,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 916 | $6,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 342 | $6,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 302 | $6,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 941 | $6,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,743 | $6,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 2,113 | $6,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 400 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 56 | $6,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 201 | $6,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 409 | $6,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,006 | $6,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 200 | $6,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 760 | $6,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 200 | $6,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 304 | $6,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 507 | $6,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y764 | MILLE CONSU ETF | 237 | $6,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 344 | $6,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 600 | $6,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 3,645 | $6,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 241 | $6,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 175 | $6,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 1,308 | $6,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 571 | $6,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 4,000 | $6,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 7,000 | $6,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 1,650 | $6,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 801 | $6,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 150 | $6,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 1,200 | $6,000 | thousands by filing date | call |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 4,278 | $6,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 400 | $6,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 12,894 | $6,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 400 | $6,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,000 | $6,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 163 | $6,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 119 | $6,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 375 | $6,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 415 | $6,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 939 | $6,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 604 | $6,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,422 | $6,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 600 | $6,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,322 | $6,000 | 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 |