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 |
|---|---|---|---|---|---|---|
| MAJESCO | 56068V102 | COM | 2,611 | $21,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 5,800 | $20,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 185 | $20,000 | thousands by filing date | |
| INTERGROUP CORP | 458685104 | COM | 515 | $20,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,816 | $20,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 20,000 | $20,000 | thousands by filing date | principal |
| GREENLANE HLDGS INC | 395330103 | CL A | 6,341 | $20,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 9,131 | $20,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 7,099 | $20,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 4,603 | $19,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 4,146 | $19,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 5,040 | $19,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 5,639 | $19,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 3,715 | $19,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 3,704 | $19,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 1,173 | $19,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 2,450 | $19,000 | thousands by filing date | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 25,000 | $19,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 60,500 | $19,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 555 | $19,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 7,050 | $19,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 16,813 | $19,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 9,375 | $19,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 310 | $19,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 851 | $18,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 893 | $18,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 11,171 | $18,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,000 | $18,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 19,748 | $18,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 21,620 | $18,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 2,001 | $18,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 2,000 | $17,000 | thousands by filing date | call |
| LOOP INDS INC | 543518104 | COM | 1,666 | $17,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,696 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 349 | $17,000 | thousands by filing date | |
| 89BIO INC | 282559103 | COM | 627 | $17,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 12,359 | $17,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E844 | DLY GOLD INDX 3X | 500 | $17,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 517 | $17,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 6,638 | $17,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 270 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 322 | $17,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $16,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 100 | $16,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 3,000 | $16,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 1,135 | $16,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 3,012 | $16,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 21,785 | $16,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 774 | $16,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 988 | $16,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,000 | $16,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 185 | $16,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 1,209 | $16,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 500 | $16,000 | thousands by filing date | call |
| WVS FINL CORP | 929358109 | COM | 1,009 | $16,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 9,538 | $16,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 15,961 | $16,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 8,903 | $16,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 13,361 | $16,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 5,915 | $15,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,140 | $15,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 2,003 | $15,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 1,740 | $15,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,500 | $15,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 6,982 | $15,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 875 | $15,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 1,000 | $15,000 | thousands by filing date | call |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 2,835 | $15,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 269 | $15,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $15,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 9,241 | $15,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 10,215 | $15,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 10,307 | $15,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 10,000 | $15,000 | thousands by filing date | |
| INVESCO EXCHNG TRAD SLF INDE | 46139W304 | CORRT INM DEFS | 575 | $15,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 800 | $14,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 100 | $14,000 | thousands by filing date | put |
| DIANA SHIPPING INC | Y2066G104 | COM | 4,400 | $14,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 15,000 | $14,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 1,116 | $14,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 1,136 | $14,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,736 | $14,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 189 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 535 | $14,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 7,600 | $14,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 598 | $14,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 14,000 | $14,000 | thousands by filing date | principal |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 701 | $14,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 6,005 | $14,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 3,921 | $14,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 4,144 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E804 | NASDQ CHINA TECH | 549 | $14,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 15,000 | $14,000 | thousands by filing date | principal |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 7,635 | $14,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 32,076 | $14,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 17,449 | $14,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 3,420 | $14,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 4,008 | $13,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 513 | $13,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 918 | $13,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 320 | $13,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 711 | $13,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 3,903 | $13,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,000 | $13,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 9,093 | $13,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 4,164 | $13,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,000 | $13,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 3,899 | $13,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 907 | $13,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 581 | $13,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 10,001 | $13,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 8,543 | $13,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 3,150 | $13,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 2,534 | $13,000 | thousands by filing date | |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 11,000 | $13,000 | thousands by filing date | principal |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,800 | $12,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $12,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 3,198 | $12,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 12,000 | $12,000 | thousands by filing date | principal |
| SERVOTRONICS INC | 817732100 | COM | 1,200 | $12,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 1,263 | $12,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 14,000 | $12,000 | thousands by filing date | principal |
| BIOMERICA INC | 09061H307 | COM NEW | 3,832 | $12,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $12,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 11,000 | $12,000 | thousands by filing date | principal |
| AGF INVTS TR | 00110G101 | AGFIQ US MK MNTM | 500 | $12,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 1,133 | $11,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,125 | $11,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 2,247 | $11,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 2,606 | $11,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 268 | $11,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 3,437 | $11,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 1,948 | $11,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 5,325 | $11,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 1,071 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 419 | $11,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 605 | $11,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 2,000 | $11,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 316 | $11,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 1,187 | $10,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 556 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 26,256 | $10,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,703 | $10,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 135 | $10,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,229 | $10,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 337 | $10,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,500 | $10,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 2,431 | $10,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 16,300 | $10,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 10,000 | $10,000 | thousands by filing date | principal |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 887 | $10,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 1,300 | $10,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 2,357 | $10,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 12,500 | $10,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 32,538 | $10,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 6,394 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 449 | $10,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 2,163 | $9,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,200 | $9,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 672 | $9,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,428 | $9,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 125 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,206 | $9,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 749 | $9,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 1,027 | $9,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 6,561 | $9,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 6,560 | $9,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 740 | $9,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 601 | $9,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W789 | DLY DEV MKT BULL | 116 | $9,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 365 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 9,000 | $9,000 | thousands by filing date | principal |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 4,252 | $9,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $9,000 | thousands by filing date | principal |
| SYNTHESIS ENERGY SYS INC | 871628301 | COM | 1,563 | $9,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 735 | $8,000 | thousands by filing date | |
| FIVERR INTL LTD ORD SHS | M4R82T106 | Stock | 323 | $8,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,193 | $8,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 450 | $8,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 192 | $8,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 360 | $8,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 600 | $8,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 4,875 | $8,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,624 | $8,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 8,539 | $8,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 2,778 | $8,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 11,370 | $8,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $8,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 4,382 | $8,000 | thousands by filing date | |
| QUMU CORP | 749063103 | COM | 3,000 | $8,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 2,575 | $8,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 5,922 | $8,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,000 | $8,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 2,129 | $8,000 | thousands by filing date | |
| China Rapid Finance Ltd ADR | 16953Q204 | ADR | 2,145 | $8,000 | thousands by filing date | |
| SECOO HLDG LTD | 81367P101 | ADR | 1,428 | $8,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 15,634 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051150 | XTRACKERS MSCI | 250 | $7,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 316 | $7,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 653 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $7,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $7,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 562 | $7,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,400 | $7,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 10,190 | $7,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 381 | $7,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 439 | $7,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 238 | $7,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 200 | $7,000 | thousands by filing date | call |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,000 | $7,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,769 | $7,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 1,800 | $7,000 | thousands by filing date | call |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 800 | $7,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 4,000 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 569 | $7,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 475 | $7,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 6,004 | $7,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 840 | $7,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 1,454 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y541 | MSCI CHINA HC | 400 | $7,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 3,174 | $7,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 2,021 | $7,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 110 | $7,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 20,058 | $7,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 991 | $7,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,400 | $6,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 667 | $6,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 300 | $6,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 219 | $6,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 1,117 | $6,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 1,991 | $6,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 1,655 | $6,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 1,479 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 200 | $6,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 348 | $6,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 3,807 | $6,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 101,783 | $6,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 1,261 | $6,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 5,222 | $6,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 955 | $6,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 2,995 | $6,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 1,374 | $6,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 3,074 | $6,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 2,542 | $6,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 216 | $6,000 | thousands by filing date | |
| PROSHARES TR | 74347G309 | ULTRAPRO DOW 30 | 166 | $6,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 3,343 | $6,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 1,400 | $6,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 10,151 | $6,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 759 | $6,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 258 | $6,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 207 | $6,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 131 | $5,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 12,595 | $5,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 2,180 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W847 | DAILY SMALL CAP | 74 | $5,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 21,681 | $5,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 1,468 | $5,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 500 | $5,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 144 | $5,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G301 | VIRTUS LIFESC CT | 126 | $5,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,062 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 231 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 2,322 | $5,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 4,315 | $5,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 544 | $5,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 5,702 | $5,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 291 | $5,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 10,166 | $5,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 5,680 | $5,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 800 | $5,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 845 | $5,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J240 | HONG KONG ALPH | 150 | $5,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 8,174 | $5,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 1,375 | $5,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 3,000 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 12,000 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 155 | $5,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 14,366 | $5,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,363 | $5,000 | thousands by filing date | principal |
| HANCOCK JAFFE LABORATORIES I | 41015N106 | COM | 8,694 | $5,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 7,885 | $5,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 1,559 | $5,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 17,797 | $5,000 | thousands by filing date | |
| RUMBLEON INC | 781386206 | COM CL B | 6,250 | $5,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 2,000 | $5,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 8,523 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 90 | $4,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 1,000 | $4,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 219 | $4,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 100 | $4,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 72 | $4,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,500 | $4,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P862 | CMN | 122 | $4,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 1,002 | $4,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 85 | $4,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 400 | $4,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 685 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 4,301 | $4,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 9,122 | $4,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 2,285 | $4,000 | thousands by filing date | |
| CHICKEN SOUP FOR THE SOUL EN | 16842Q100 | COM | 475 | $4,000 | thousands by filing date | |
| ASTA FUNDING INC | 046220109 | COM | 386 | $4,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W771 | CHINA BULL 3X | 199 | $4,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 14,916 | $4,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 330 | $4,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCE INC | 004468203 | COM NEW | 6,742 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 5,052 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430347 | MOTIF DATA DRIVN | 63 | $4,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 1,909 | $4,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 26,739 | $4,000 | thousands by filing date | |
| STANDARD DIVERSIFIED INC | 85336L109 | COM CL A | 275 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430255 | NEW AGE CONSU | 62 | $4,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 1,250 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 64 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430297 | HUMAN EVOLUTION | 64 | $4,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430321 | FINANCE REIMAGI | 61 | $4,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 200 | $3,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 75 | $3,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 4,500 | $3,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 1,000 | $3,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 341 | $3,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 136 | $3,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 86 | $3,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,260 | $3,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 700 | $3,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 483 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,560 | $3,000 | thousands by filing date | principal |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 39 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 184 | $3,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,000 | $3,000 | thousands by filing date | principal |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 12,506 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 19,500 | $3,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 1,469 | $3,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 1,181 | $3,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 9,183 | $3,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| SUNWORKS INC | 86803X204 | COMMON STOCK | 2,379 | $3,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 3,644 | $3,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 286 | $3,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 2,597 | $3,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 532 | $3,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,370 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| GULF RESOURCES INC | 40251W309 | COM | 5,000 | $3,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 537 | $3,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 583 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J166 | CMN | 150 | $3,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 6,417 | $3,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 2,347 | $3,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 760 | $3,000 | thousands by filing date | principal |
| NUCANA PLC | 67022C106 | ADR | 485 | $3,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 1,128 | $3,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $3,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 10,426 | $3,000 | thousands by filing date | |
| MARATHON PATENT GROUP INC | 56585W401 | COM | 3,649 | $3,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 640 | $3,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 2,215 | $3,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 11,083 | $3,000 | thousands by filing date | |
| NOVAN INC | 66988N106 | COM | 971 | $3,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 349 | $3,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 666 | $3,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P800 | COM | 5,283 | $3,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| U S ENERGY CORP WYO | 911805208 | COM NEW | 9,985 | $3,000 | thousands by filing date | |
| ABRDN ETFS | 003261104 | BBRG ALL COMD K1 | 106 | $2,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 380 | $2,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 193 | $2,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 692 | $2,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 110 | $2,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 1,000 | $2,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 300 | $2,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 200 | $2,000 | thousands by filing date | call |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 294 | $2,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 232 | $2,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 50 | $2,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 4,645 | $2,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 225 | $2,000 | thousands by filing date | |
| GOOD TIMES RESTAURANTS INC | 382140879 | COM NEW | 965 | $2,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 901 | $2,000 | thousands by filing date | |
| KENTUCKY FIRST FED BANCORP | 491292108 | COM | 313 | $2,000 | thousands by filing date | |
| HOME FED BANCORP INC LA NEW | 43708L108 | COM | 48 | $2,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 108 | $2,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572108 | CL B | 5 | $2,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 215 | $2,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 375 | $2,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 1,400 | $2,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 548 | $2,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 2,000 | $2,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 241 | $2,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 625 | $2,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 2,000 | $2,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 2,000 | $2,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 1,631 | $2,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 3,538 | $2,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 2,104 | $2,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,658 | $2,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 1,489 | $2,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 350 | $2,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 200 | $2,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 1,000 | $2,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 425 | $2,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 100 | $2,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,117 | $2,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 754 | $2,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 2,100 | $2,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 5,969 | $2,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 250 | $2,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 4,675 | $2,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 28 | $2,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 669 | $2,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 3,239 | $2,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 4,779 | $2,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 796 | $2,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 3,007 | $2,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 1,706 | $2,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 1,000 | $2,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 778 | $2,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 1,760 | $2,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 930 | $2,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 4,999 | $2,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 1,000 | $2,000 | thousands by filing date | principal |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,168 | $2,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 786 | $2,000 | thousands by filing date | principal |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 5,416 | $2,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 2,344 | $2,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 5,100 | $2,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 1,000 | $2,000 | thousands by filing date | principal |
| LEGG MASON ETF INVT TR | 52468L703 | GLOBAL INFSTRU | 58 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 75 | $2,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 63 | $2,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 223 | $2,000 | thousands by filing date | |
| IFRESH INC | 449538107 | COM | 5,379 | $2,000 | thousands by filing date | |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $2,000 | thousands by filing date | |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 5,000 | $2,000 | thousands by filing date | principal |
| SENESTECH INC | 81720R109 | COM | 3,100 | $2,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 520 | $1,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 167 | $1,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 499 | $1,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,003 | $1,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 100 | $1,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 475 | $1,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 327 | $1,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 150 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 170 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 152 | $1,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 120 | $1,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 100 | $1,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 300 | $1,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 31 | $1,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 158 | $1,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 569 | $1,000 | thousands by filing date | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 265 | $1,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 297 | $1,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 38 | $1,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 65 | $1,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 100 | $1,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 500 | $1,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 601 | $1,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 154 | $1,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 170 | $1,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 400 | $1,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122140 | RIGHT 12/30/2030 | 1,544 | $1,000 | thousands by filing date | |
| Bancorp 34 Inc | 05970V106 | Com | 89 | $1,000 | thousands by filing date | |
| KALEYRA INC | 483379103 | COMMON EQUITY | 100 | $1,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 669 | $1,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 470 | $1,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 559 | $1,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 3,324 | $1,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 50 | $1,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 1,301 | $1,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 450 | $1,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 66 | $1,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 104 | $1,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 1,000 | $1,000 | thousands by filing date | principal |
| CEMEX SAB DE CV | 151290BT9 | NOTE 3.720% 3/1 | 1,000 | $1,000 | thousands by filing date | principal |
| TIDEWATER INC NEW | 88642R117 | WARR | 483 | $1,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 200 | $1,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 388 | $1,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 150 | $1,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 2,000 | $1,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 662 | $1,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 200 | $1,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 844 | $1,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 161 | $1,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 759 | $1,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 395 | $1,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 350 | $1,000 | thousands by filing date | |
| BROADVISION INC | 111412706 | COM | 342 | $1,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 7,243 | $1,000 | thousands by filing date | principal |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 1,397 | $1,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 564 | $1,000 | thousands by filing date | |
| Taronis Technologies Inc Com New | 876214206 | Equity | 1,183 | $1,000 | 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 |