13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 6,974 holding rows worth $277,340,957,000.
- Accession
- 0001567619-20-003889
- Filer
- CIK 1000275
- 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, 26,743 entries on the cover page, a total value of $277,340,957,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $277,340,957,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC CMA LLC028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAston Asset Management, LLC028-12347
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| INSPIRE 500 ETF | 45782C201 | ETF | 650 | $15,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 2,021 | $15,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 10,000 | $15,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 5,776 | $15,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 540 | $14,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 910 | $14,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 1,925 | $14,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,723 | $14,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 4,445 | $14,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 1,843 | $14,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 231 | $14,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 472 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,042 | $14,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 1,142 | $14,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 2,000 | $14,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 830 | $14,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 1,220 | $14,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 1,322 | $14,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 150 | $14,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 921 | $14,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 22,262 | $14,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,500 | $14,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 1,896 | $14,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 7,207 | $14,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 950 | $14,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 1,068 | $14,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 3,566 | $14,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 16,060 | $14,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 1,246 | $14,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 1,613 | $14,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 860 | $14,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 2,145 | $14,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 819 | $14,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 3,000 | $14,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $14,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22539T183 | VLCTYSHS 3X S&P | 187 | $14,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 15,000 | $14,000 | thousands by filing date | principal |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 877 | $14,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 1,607 | $14,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 8,506 | $14,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 485 | $14,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 1,789 | $14,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 382 | $13,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 907 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 79 | $13,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $13,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,750 | $13,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 695 | $13,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 1,253 | $13,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 1,351 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 462 | $13,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,196 | $13,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,800 | $13,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 1,394 | $13,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,489 | $13,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 410 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 371 | $13,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 10,784 | $13,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 6,803 | $13,000 | thousands by filing date | |
| THERATECHNOLOGIES INC | 88338HAA8 | NOTE 5.750% 6/3 | 16,000 | $13,000 | thousands by filing date | principal |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 714 | $13,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 1,859 | $13,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 2,518 | $13,000 | thousands by filing date | |
| CSOP ETF TR | 12649L105 | FTSE CHINA A50 | 764 | $13,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 482 | $12,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 308 | $12,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 5,686 | $12,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 834 | $12,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 503 | $12,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 1,695 | $12,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 735 | $12,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,196 | $12,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $12,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 578 | $12,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 321 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 190 | $12,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 1,847 | $12,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 1,344 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74348A376 | SHRT SMALLCAP60 | 400 | $12,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 716 | $12,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 9,100 | $12,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 1,242 | $12,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 2,433 | $12,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 170 | $12,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 1,061 | $12,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 555 | $12,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 7,900 | $12,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 5,223 | $12,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 5,339 | $12,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 4,000 | $12,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,123 | $12,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $12,000 | thousands by filing date | principal |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 728 | $12,000 | thousands by filing date | |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 2,482 | $12,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 8,100 | $12,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 18,866 | $12,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 832 | $11,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 3,000 | $11,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,945 | $11,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 12,218 | $11,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,894 | $11,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 490 | $11,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,347 | $11,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 4,022 | $11,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 290 | $11,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 2,638 | $11,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,028 | $11,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 695 | $11,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 399 | $11,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 4,170 | $11,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 790 | $11,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 989 | $11,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 590 | $11,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 2,795 | $11,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 3,634 | $11,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 3,192 | $11,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 636 | $11,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 200 | $11,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,500 | $11,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,820 | $11,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 1,344 | $11,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 2,000 | $11,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $11,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 403 | $11,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 2,068 | $11,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,521 | $11,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 725 | $11,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 4,060 | $11,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G813 | GLOBAL ESG ETF | 346 | $11,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 278 | $10,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,053 | $10,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 575 | $10,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,985 | $10,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 633 | $10,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 700 | $10,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 595 | $10,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 110 | $10,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 1,280 | $10,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 108 | $10,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 3,604 | $10,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 514 | $10,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 362 | $10,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,254 | $10,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 941 | $10,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 335 | $10,000 | thousands by filing date | |
| FIRST TRUST ALTERNATIVE ABSOLUTE RETURN STRATEGYETF | 33740Y101 | UIT EXCHANGE TRADED | 400 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 556 | $10,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,328 | $10,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 930 | $10,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 2,704 | $10,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 2,882 | $10,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 10,000 | $10,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| RTI BIOLOGICS INC | 74975N105 | COM | 3,704 | $10,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 4,887 | $10,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 5,658 | $10,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 35,056 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 11,000 | $10,000 | thousands by filing date | principal |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 378 | $10,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 2,000 | $10,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 400 | $10,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 1,583 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J602 | mc | 185 | $10,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C404 | EUROPE 100 ADR | 475 | $10,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 478 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 166 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 224 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 3,857 | $9,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 171 | $9,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 481 | $9,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 345 | $9,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 693 | $9,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 468 | $9,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 2,344 | $9,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 165 | $9,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 274 | $9,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 1,258 | $9,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 912 | $9,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 9,743 | $9,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,635 | $9,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,702 | $9,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 685 | $9,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 400 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R837 | CMN | 400 | $9,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 249 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 400 | $9,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 2,500 | $9,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $9,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 319 | $9,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,207 | $9,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 685 | $9,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 642 | $9,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 870 | $9,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 1,120 | $9,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 200 | $9,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 3,248 | $9,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $9,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 300 | $9,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 773 | $9,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,487 | $9,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 5,891 | $9,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 1,714 | $9,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,000 | $9,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 10,000 | $9,000 | thousands by filing date | principal |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 4,210 | $9,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 155 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A529 | NYSE PICKENS | 400 | $9,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 300 | $8,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 1,102 | $8,000 | thousands by filing date | |
| PARSONS CORP DEL COM | 70202L102 | Stock | 205 | $8,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 2,768 | $8,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 3,317 | $8,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 313 | $8,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,289 | $8,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 224 | $8,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 414 | $8,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 500 | $8,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 930 | $8,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 680 | $8,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 1,567 | $8,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 942 | $8,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 95 | $8,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 213 | $8,000 | thousands by filing date | |
| VANECK INDONESIA INDEX ETF | 92189F833 | ETF | 355 | $8,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $8,000 | thousands by filing date | principal |
| PROSHARES TR | 74347B250 | PSHS SH MDCAP400 | 200 | $8,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,100 | $8,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 1,710 | $8,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 8,000 | $8,000 | thousands by filing date | principal |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 1,000 | $8,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 538 | $8,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 7,287 | $8,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 555 | $8,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 7,000 | $8,000 | thousands by filing date | principal |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 470 | $8,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 250 | $8,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q105 | SPOND ADS | 900 | $8,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 7,981 | $8,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 212 | $7,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 188 | $7,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 100 | $7,000 | thousands by filing date | put |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 3,998 | $7,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,010 | $7,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 879 | $7,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 160 | $7,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 192 | $7,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 3,500 | $7,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 640 | $7,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 448 | $7,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 465 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R750 | ULTRA CONS DISCR | 56 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $7,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E131 | S&P SMLCAP HIG | 271 | $7,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 1,319 | $7,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 412 | $7,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,315 | $7,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 3,198 | $7,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 7,000 | $7,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 6,000 | $7,000 | thousands by filing date | principal |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 3,000 | $7,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 3,790 | $7,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 4,000 | $7,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,098 | $7,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 21,226 | $7,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $7,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 300 | $7,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 149 | $7,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 274 | $7,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 2,880 | $7,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 1,706 | $7,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 136 | $7,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 11,296 | $7,000 | thousands by filing date | |
| MEDICINES CO | 584688AG0 | NOTE 2.750% 7/1 | 4,000 | $7,000 | thousands by filing date | principal |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 416 | $7,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 1,520 | $7,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 1,635 | $7,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 665 | $7,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 10,709 | $7,000 | thousands by filing date | |
| CANCER GENETICS INC | 13739U203 | COM NEW | 1,130 | $7,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 428 | $7,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 225 | $6,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,256 | $6,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 200 | $6,000 | thousands by filing date | call |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 590 | $6,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 445 | $6,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 2,048 | $6,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 514 | $6,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 1,488 | $6,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 200 | $6,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 503 | $6,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 500 | $6,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 92 | $6,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 720 | $6,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 469 | $6,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 370 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 1,000 | $6,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 403 | $6,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 531 | $6,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 238 | $6,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 320 | $6,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A204 | COM NEW | 600 | $6,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 507 | $6,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 344 | $6,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $6,000 | thousands by filing date | principal |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 4,000 | $6,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 4,000 | $6,000 | thousands by filing date | principal |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 3,000 | $6,000 | thousands by filing date | principal |
| SIERRA METALS INC | 82639W106 | COM | 3,494 | $6,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 4,000 | $6,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 4,000 | $6,000 | thousands by filing date | principal |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 412 | $6,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 301 | $6,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 9,561 | $6,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 850 | $6,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 4,236 | $6,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,650 | $6,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,413 | $6,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 2,263 | $6,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,700 | $6,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 416 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459W417 | RETAIL BULL 3X | 200 | $6,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 1,582 | $6,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 235 | $6,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 5,000 | $6,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 150 | $6,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,229 | $6,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 846 | $6,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 1,322 | $6,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 3,000 | $6,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 3,000 | $6,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 5,000 | $6,000 | thousands by filing date | principal |
| LINE CORP | 53567X101 | SPONSORED ADR | 131 | $6,000 | thousands by filing date | |
| MOTUS GI HLDGS INC | 62014P108 | COM | 2,219 | $6,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 6,000 | $6,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 5,000 | $6,000 | thousands by filing date | principal |
| RESTORBIO INC | 76133L103 | COM | 4,429 | $6,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 6,000 | $6,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 51 | $6,000 | thousands by filing date | principal |
| DOW HLDGS INC COM | 260557103 | Stock | 100 | $5,000 | thousands by filing date | call |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 165 | $5,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 200 | $5,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 500 | $5,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 205 | $5,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 310 | $5,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 201 | $5,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 1,008 | $5,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 200 | $5,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,643 | $5,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 591 | $5,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 500 | $5,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 2,222 | $5,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 197 | $5,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 756 | $5,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 603 | $5,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 175 | $5,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,448 | $5,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 330 | $5,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 458 | $5,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 594 | $5,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 385 | $5,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 760 | $5,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 200 | $5,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 200 | $5,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $5,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 202 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 28,350 | $5,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,213 | $5,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,177 | $5,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 680 | $5,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 3,802 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 266 | $5,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 644 | $5,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,343 | $5,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AC4 | BOND | 5,000 | $5,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 8,000 | $5,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $5,000 | thousands by filing date | principal |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 5,000 | $5,000 | thousands by filing date | principal |
| NEWLINK GENETICS CORP | 651511107 | COM | 1,777 | $5,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 2,874 | $5,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 127 | $5,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 1,000 | $5,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 192 | $5,000 | thousands by filing date | |
| NII HLDGS INC COM PAR $0.001 | 62913F508 | CS | 2,100 | $5,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 350 | $5,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 762 | $5,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 1,530 | $5,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 1,191 | $5,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 2,000 | $5,000 | thousands by filing date | principal |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 3,216 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,755 | $5,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 9,421 | $5,000 | thousands by filing date | |
| HULL TACTICAL US ETF | 301505806 | ETF | 200 | $5,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 2,214 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 154 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J875 | MLTFCTR CONSMR | 163 | $5,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 134 | $5,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 3,000 | $5,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 33 | $5,000 | thousands by filing date | principal |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 190 | $5,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 40 | $5,000 | thousands by filing date | principal |
| MAJESCO | 56068V102 | COM | 622 | $5,000 | thousands by filing date | |
| UROVANT SCIENCES | G9381B108 | COMMON STOCK | 305 | $5,000 | thousands by filing date | |
| ARROW INVTS TR DOGS OF THE | 042765693 | CEF | 105 | $5,000 | thousands by filing date | |
| iShares MSCI Australia | 46435G607 | MSCI AUSTRALIA | 172 | $5,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 896 | $4,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J802 | INDIA NFTY50 EQW | 109 | $4,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 889 | $4,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 100 | $4,000 | thousands by filing date | put |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,595 | $4,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 105 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 135 | $4,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,098 | $4,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 500 | $4,000 | thousands by filing date | |
| SSGA ACTIVE TR | 78470P408 | STATE STREET US | 117 | $4,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 395 | $4,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 622 | $4,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 127 | $4,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 1,850 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,000 | $4,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 71 | $4,000 | thousands by filing date | principal |
| VOC ENERGY TR | 91829B103 | TR UNIT | 900 | $4,000 | thousands by filing date | |
| VIRTUS ETF TR II | 92790A207 | VIRTUS NEWFLEET | 187 | $4,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 795 | $4,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 1,125 | $4,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 4,089 | $4,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,000 | $4,000 | thousands by filing date | call |
| SPIRIT AIRLS INC | 848577102 | COM | 100 | $4,000 | thousands by filing date | call |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 1,308 | $4,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,023 | $4,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 2,850 | $4,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 1,075 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 100 | $4,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 4,800 | $4,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $4,000 | thousands by filing date | principal |
| CBDMD INC | 12482W101 | COM | 2,030 | $4,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 350 | $4,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 1,000 | $4,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 468 | $4,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 459 | $4,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 1,720 | $4,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 520 | $4,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 416 | $4,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 5,000 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 5,618 | $4,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 4,000 | $4,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $4,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 2,000 | $4,000 | thousands by filing date | principal |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 3,320 | $4,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 558 | $4,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 167 | $4,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 153 | $4,000 | thousands by filing date | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 2,263 | $4,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 5,000 | $4,000 | thousands by filing date | principal |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 6,000 | $4,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 2,500 | $4,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 2,369 | $4,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 2,000 | $4,000 | thousands by filing date | principal |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 2,000 | $4,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 30 | $4,000 | thousands by filing date | principal |
| PROSHARES TR | 74347G200 | ULSHRT SEMIC NEW | 250 | $4,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 1,283 | $3,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 154 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 499 | $3,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 80 | $3,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 100 | $3,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 97 | $3,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092527 | SML MID MLTFCT | 100 | $3,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 6,000 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 101 | $3,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 543 | $3,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 114 | $3,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P830 | SHRT DUR MNG MUN | 150 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 194 | $3,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 500 | $3,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 176 | $3,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 595 | $3,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 661 | $3,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 1,244 | $3,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 132 | $3,000 | thousands by filing date | |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 110 | $3,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 334 | $3,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 300 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 128 | $3,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 1,316 | $3,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 2,234 | $3,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,020 | $3,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 282 | $3,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 598 | $3,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 2,555 | $3,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 1,850 | $3,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 200 | $3,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 1,505 | $3,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 717 | $3,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 101 | $3,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 354 | $3,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 888 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-003889 | this filing | 2020-02-14 | acceptance time not in the bulk data set |