13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 7,231 holding rows worth $697,724,888,000.
- Accession
- 0001567619-20-003877
- Filer
- CIK 70858
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 24,173 entries on the cover page, a total value of $697,724,888,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $697,724,888,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerBOFA SECURITIES, INC.028-19575
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
- included managerBanc of America Strategic Ventures, Inc.
- included managerBofA Securities Europe SA
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 |
|---|---|---|---|---|---|---|
| THE BANK OF PRINCETON | 064520109 | COMMON | 3,135 | $99,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 18,141 | $99,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 46,037 | $99,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 3,918 | $99,000 | thousands by filing date | |
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 3,400 | $98,000 | thousands by filing date | put |
| METROCITY BANKSHARES INC | 59165J105 | COMMON STOCK | 5,583 | $98,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 3,840 | $98,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 7,852 | $98,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 1,980 | $98,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 22,991 | $98,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 6,467 | $98,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 1,846 | $97,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 23,782 | $97,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 12,583 | $97,000 | thousands by filing date | |
| AGF INVTS TR | 00110G887 | AGFIQ HEDGED DIV | 3,980 | $97,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 22,719 | $96,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 4,906 | $96,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 7,124 | $96,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 36,557 | $96,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 4,490 | $94,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 6,453 | $94,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 5,507 | $94,000 | thousands by filing date | |
| DBX ETF TR | 233051259 | XTRACKERS HIGH | 1,925 | $94,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 3,425 | $94,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 7,014 | $94,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 5,425 | $93,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78470E205 | ST STR MSCI EMRG | 1,411 | $93,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 40,751 | $93,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K315 | BRZ BL 3X SH NEW | 2,400 | $93,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 6,452 | $92,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 12,771 | $92,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 300 | $91,000 | thousands by filing date | put |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,708 | $91,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 9,776 | $91,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 3,047 | $91,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 3,128 | $91,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 1,775 | $91,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 2,908 | $91,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 5,113 | $90,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W302 | LEADERS ETF | 2,289 | $90,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 11,050 | $89,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 8,856 | $89,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 4,675 | $88,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 10,000 | $88,000 | thousands by filing date | call |
| SPDR INDEX SHS FDS | 78470E106 | ST STR MSCI EAFE | 1,207 | $87,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 7,173 | $87,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 2,265 | $87,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 3,552 | $87,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 15,311 | $87,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 17,258 | $86,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 5,005 | $86,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D203 | BULLISH FD | 3,318 | $86,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 9,923 | $86,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 4,242 | $86,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 4,708 | $86,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 12,289 | $86,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 2,177 | $86,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 3,344 | $85,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A602 | VIDENT US BOND | 1,684 | $85,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G409 | S&P SMLCP UTIL | 1,623 | $85,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 10,129 | $85,000 | thousands by filing date | |
| STEEL PARTNERS HLDGS L P | 85814R107 | LTD PRTRSHIP U | 7,000 | $85,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 4,001 | $84,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 2,600 | $84,000 | thousands by filing date | put |
| KRAFT HEINZ CO COM | 500754106 | Stock | 2,600 | $84,000 | thousands by filing date | call |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 10,315 | $84,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 21,050 | $84,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 17,178 | $84,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 6,563 | $84,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 5,443 | $84,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 8,100 | $84,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 1,332 | $83,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 952 | $83,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 9,829 | $83,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 14,080 | $83,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 60,000 | $83,000 | thousands by filing date | principal |
| SHARPSPRING INC | 820054104 | COM | 7,161 | $83,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H403 | OIL FD | 7,645 | $82,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 11,391 | $82,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 7,013 | $82,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 953 | $82,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 9,320 | $82,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 39,000 | $82,000 | thousands by filing date | principal |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 5,497 | $82,000 | thousands by filing date | |
| SAPIENS INTL CORP N V SHS | G7T16G103 | Stock | 3,550 | $81,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 30,658 | $81,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 2,670 | $81,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 3,377 | $81,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 6,558 | $80,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 1,903 | $80,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 3,009 | $80,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 14,537 | $80,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 36,846 | $80,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 2,400 | $80,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 4,931 | $80,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 25,766 | $79,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 5,490 | $78,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 9,715 | $78,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 4,360 | $78,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 65,026 | $78,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 18,309 | $78,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 4,488 | $77,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 16,674 | $77,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 4,026 | $77,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 8,172 | $77,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 15,474 | $77,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 5,248 | $77,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 3,529 | $77,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 5,214 | $77,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 3,971 | $76,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 6,073 | $76,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 71,850 | $76,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 9,502 | $76,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 400 | $75,000 | thousands by filing date | put |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 9,609 | $75,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 8,061 | $75,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,350 | $75,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 4,345 | $75,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 75,000 | $75,000 | thousands by filing date | principal |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 7,649 | $75,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 48,850 | $74,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 17,607 | $74,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 15,074 | $74,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 941 | $74,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 100,000 | $73,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,801 | $73,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 17,868 | $72,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 18,057 | $72,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 17,731 | $72,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 16,045 | $72,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 1,200 | $71,000 | thousands by filing date | call |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 3,267 | $71,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 14,808 | $71,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 4,050 | $71,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E602 | CHINA REALESTE | 2,609 | $71,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 4,252 | $70,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 12,013 | $70,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 5,250 | $70,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 4,073 | $70,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 3,576 | $70,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 22,253 | $70,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 1,345 | $70,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 21,833 | $70,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 2,594 | $70,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 6,459 | $69,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 2,518 | $69,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 18,658 | $69,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 831 | $69,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 9,487 | $68,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 4,576 | $68,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,691 | $68,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 6,937 | $68,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 4,103 | $68,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 2,900 | $68,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 6,306 | $68,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 7,733 | $68,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 104,688 | $68,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 93,795 | $68,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 12,989 | $68,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 3,216 | $68,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 9,161 | $67,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 800 | $67,000 | thousands by filing date | put |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 4,001 | $67,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 1,851 | $67,000 | thousands by filing date | |
| FORMULA SYSTEMS 1985 LTD | 346414105 | SPONSORED ADS | 1,005 | $67,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 6,729 | $67,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 5,997 | $67,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B511 | IQ LEADERS GTA | 2,622 | $67,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 4,467 | $66,000 | thousands by filing date | |
| PROSHARES TR II | 74347W882 | ULTRASHRT EURO | 2,465 | $66,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 27,921 | $66,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 4,704 | $65,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 2,746 | $65,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 3,983 | $65,000 | thousands by filing date | |
| WISDOMTREE TR DYNAMIC US EQT | 97717X297 | CEF | 3,202 | $65,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 29,837 | $64,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 1,658 | $64,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 1,132 | $64,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 20,652 | $64,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 4,111 | $64,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 5,066 | $63,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 900 | $63,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 20,863 | $63,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 2,850 | $63,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 5,175 | $63,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 1,325 | $62,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 1,000 | $62,000 | thousands by filing date | put |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 2,208 | $62,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 77,336 | $62,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 2,669 | $61,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 539 | $61,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 5,397 | $61,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 2,289 | $61,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 5,166 | $61,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 3,197 | $60,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 1,032 | $60,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 3,899 | $60,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 4,078 | $60,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 23,130 | $60,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 30,121 | $60,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 3,000 | $60,000 | thousands by filing date | call |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 1,735 | $60,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 3,227 | $60,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 176,028 | $60,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 5,006 | $59,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,971 | $59,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 1,500 | $59,000 | thousands by filing date | put |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 4,178 | $59,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 1,700 | $59,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 59,000 | $59,000 | thousands by filing date | principal |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 700 | $58,000 | thousands by filing date | call |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 4,670 | $58,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 4,234 | $58,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 1,855 | $58,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 13,325 | $58,000 | thousands by filing date | |
| ISHARES TR | 464288471 | EPRA/NAR DEV EUR | 1,405 | $58,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 2,190 | $58,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 6,337 | $58,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 800 | $57,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 1,097 | $57,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 5,223 | $57,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 2,661 | $57,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 22,835 | $57,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 2,101 | $57,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 17,700 | $57,000 | thousands by filing date | |
| PACER FDS TR | 69374H832 | MILTRY TIMS ETF | 1,773 | $57,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,942 | $56,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 2,155 | $56,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 695 | $56,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 6,002 | $56,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 1,846 | $56,000 | thousands by filing date | |
| Vanguard U.S. Momentum Factor ETF | 921935508 | SHS | 635 | $55,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 14,185 | $55,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 2,159 | $55,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,000 | $55,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 27,202 | $55,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 18,209 | $54,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 6,060 | $54,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,381 | $53,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 3,933 | $53,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 107,695 | $53,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 1,840 | $53,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 7,391 | $52,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,748 | $52,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 5,252 | $52,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 992 | $52,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 10,000 | $52,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 3,619 | $52,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,276 | $52,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,626 | $52,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 53,000 | $52,000 | thousands by filing date | principal |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 7,317 | $52,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 48,000 | $52,000 | thousands by filing date | principal |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 19,371 | $51,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 3,671 | $51,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 27,225 | $51,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 16,565 | $51,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G839 | EMERGING MKT | 1,983 | $51,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 2,295 | $51,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 1,639 | $50,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,600 | $50,000 | thousands by filing date | call |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 9,145 | $50,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 4,598 | $50,000 | thousands by filing date | |
| RAND CAP CORP | 752185108 | COM | 18,525 | $50,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 2,875 | $50,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 1,104 | $50,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 37,661 | $49,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 6,234 | $49,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 9,154 | $49,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 16,996 | $49,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 12,052 | $48,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 19,537 | $48,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 5,364 | $48,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G748 | RUSL 1000 QTLY | 1,502 | $48,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 2,891 | $47,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 25,000 | $47,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,621 | $47,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 2,660 | $46,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 537 | $46,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 20,000 | $46,000 | thousands by filing date | put |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 300 | $45,000 | thousands by filing date | call |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 2,848 | $45,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 833 | $45,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 5,821 | $45,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 8,395 | $45,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 4,466 | $45,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,000 | $45,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 24,471 | $45,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,113 | $45,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Municipal Bond ETF | 46435U325 | ETF | 1,697 | $44,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 1,707 | $44,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 1,712 | $44,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 1,527 | $44,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 1,644 | $44,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 900 | $43,000 | thousands by filing date | call |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 8,000 | $43,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 26,000 | $43,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 287,099 | $43,000 | thousands by filing date | principal |
| LRAD CORP | 50213V109 | COM | 13,000 | $43,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 29,673 | $43,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 4,336 | $43,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,850 | $42,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 19,321 | $42,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $42,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,085 | $42,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,717 | $42,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 6,212 | $42,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 522 | $42,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 1,000 | $41,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 1,298 | $41,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,259 | $41,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 1,348 | $41,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 1,447 | $41,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,039 | $40,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y699 | MSCI SUPDIV EA | 2,480 | $40,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 2,845 | $40,000 | thousands by filing date | |
| SPDR DOW JONES INDUSTRIAL AVRG ETF | 46435G870 | COM | 1,301 | $40,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 10,015 | $40,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 33,996 | $40,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 20,660 | $40,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,475 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 3,252 | $39,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 1,450 | $39,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 1,886 | $39,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 574 | $39,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 2,739 | $39,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 9,493 | $39,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 13,587 | $39,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 13,533 | $39,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 1,494 | $38,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 2,636 | $38,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 3,941 | $38,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 1,954 | $38,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 2,593 | $38,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 16,227 | $38,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 8,356 | $38,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,000 | $38,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 14,705 | $38,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 36,611 | $38,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 1,925 | $38,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 39,864 | $37,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 1,320 | $37,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 2,496 | $37,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,519 | $37,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 3,828 | $37,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 5,677 | $37,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 5,878 | $37,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 4,228 | $37,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 200 | $36,000 | thousands by filing date | put |
| PERRIGO CO PLC SHS | G97822103 | Stock | 700 | $36,000 | thousands by filing date | put |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 2,426 | $36,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,436 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 1,650 | $36,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 1,715 | $36,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 17,000 | $36,000 | thousands by filing date | principal |
| APTINYX INC | 03836N103 | COM | 10,524 | $36,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,285 | $36,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 18,000 | $35,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 8,109 | $35,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 3,032 | $35,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 4,413 | $35,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 900 | $35,000 | thousands by filing date | call |
| BOXLIGHT CORP | 103197109 | COM CL A | 31,438 | $35,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 2,618 | $34,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 1,000 | $34,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,114 | $34,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,370 | $34,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 3,164 | $34,000 | thousands by filing date | |
| PROSHARES TR | 74347R313 | PSHS ULSHT 7-10Y | 1,800 | $34,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 701 | $34,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 2,766 | $34,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 32,000 | $34,000 | thousands by filing date | principal |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 15,813 | $34,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 6,261 | $34,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 12,583 | $34,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 2,757 | $34,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 28,837 | $34,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 4,802 | $33,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 19,403 | $33,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 7,324 | $33,000 | thousands by filing date | |
| RIVERNORTH CAP AND INCM FD I | 76882B108 | COM | 1,807 | $33,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 7,578 | $33,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 750 | $33,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 20,077 | $33,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 9,612 | $33,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 18,582 | $33,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 9,417 | $33,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 12,011 | $33,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 7,311 | $33,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 1,087 | $33,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 9,425 | $32,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 471 | $32,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 3,113 | $32,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 95,151 | $32,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 1,280 | $32,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 5,922 | $32,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 4,201 | $32,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 1,849 | $31,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 577 | $31,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 3,474 | $31,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 681 | $31,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 21,634 | $31,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 14,956 | $31,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 1,193 | $31,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 9,652 | $31,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 24,937 | $31,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 4,466 | $31,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 30,131 | $31,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 31,000 | $31,000 | thousands by filing date | principal |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 1,629 | $31,000 | thousands by filing date | |
| PACER FDS TR | 69374H782 | BNCHMRK RS ETF | 1,120 | $31,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 84,883 | $30,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 8,229 | $30,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 7,500 | $30,000 | thousands by filing date | call |
| EVELO BIOSCIENCES INC | 299734103 | COM | 7,422 | $30,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 9,553 | $30,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 30,000 | $30,000 | thousands by filing date | principal |
| GWG HLDGS INC | 36192A109 | COM | 3,007 | $30,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 3,000 | $29,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 770 | $29,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 5,303 | $29,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 778 | $29,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 60,000 | $29,000 | thousands by filing date | principal |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,601 | $29,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 1,000 | $28,000 | thousands by filing date | call |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1,243 | $28,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 400 | $28,000 | thousands by filing date | put |
| VOLITIONRX LTD | 928661107 | COM | 6,004 | $28,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 4,728 | $28,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 1,946 | $28,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,000 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,141 | $28,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 2,174 | $28,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 412 | $27,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 200 | $27,000 | thousands by filing date | call |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 9,742 | $27,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 24,242 | $27,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 15,930 | $27,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,071 | $26,000 | thousands by filing date | |
| MOTLEY FOOL SMALL-CAP GROWTH ETF | 74933W874 | ETF | 1,000 | $26,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 115,181 | $26,000 | thousands by filing date | principal |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 8,550 | $26,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L204 | UNIT 99/99/9999 | 2,500 | $26,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 27,000 | $26,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 9,127 | $25,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 2,304 | $25,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 6,470 | $25,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,936 | $25,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 1,857 | $25,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 1,670 | $25,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 28,320 | $25,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 1,020 | $25,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 3,459 | $25,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 775 | $25,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 5,114 | $24,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $24,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,000 | $24,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 35,000 | $24,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78468R697 | SP KENSHO INFRA | 729 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R795 | NASDAQ TRANSN | 979 | $24,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 1,061 | $24,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 21,561 | $24,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 19,353 | $24,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 10,014 | $24,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 100 | $23,000 | thousands by filing date | put |
| ETF SER SOLUTIONS | 26922A222 | APTUS COLLRD INV | 900 | $23,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 4,190 | $23,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 866 | $23,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 5,046 | $23,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 25,470 | $23,000 | thousands by filing date | |
| EAGLE POINT INCOME COMPANY I | 269817102 | COM | 1,250 | $23,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,226 | $23,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 935 | $23,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 26,509 | $23,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 10,389 | $23,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 90,893 | $23,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 847 | $23,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 1,365 | $23,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 995 | $22,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 1,000 | $22,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 2,019 | $22,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 2,660 | $22,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 1,500 | $22,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,814 | $22,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 5,841 | $22,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 2,972 | $22,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 3,110 | $22,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 2,394 | $22,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 934 | $22,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 22,000 | $22,000 | thousands by filing date | principal |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 989 | $21,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,557 | $21,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 26,926 | $21,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 8,200 | $21,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 6,102 | $21,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 8,415 | $21,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 2,417 | $21,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 11,724 | $21,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-003877 | this filing | 2020-02-14 | acceptance time not in the bulk data set |