13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-15, with 6,999 holding rows worth $555,261,739,000.
- Accession
- 0001567619-20-010358
- Filer
- CIK 70858
- Filed
- 2020-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 23,541 entries on the cover page, a total value of $555,261,739,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $555,261,739,000 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.028-20096
- included managerBofA Securities Europe SA028-20099
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 |
|---|---|---|---|---|---|---|
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 9,163 | $35,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 16,131 | $35,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 700 | $34,000 | thousands by filing date | put |
| KALEYRA INC | 483379103 | COMMON EQUITY | 4,593 | $34,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 17,955 | $34,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 147,305 | $34,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 2,227 | $34,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 8,799 | $34,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 40,000 | $34,000 | thousands by filing date | principal |
| NANTHEALTH INC | 630104107 | CMN | 21,635 | $34,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,610 | $33,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 2,473 | $33,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 436 | $33,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 4,983 | $33,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 124,130 | $33,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 10,816 | $33,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 5,903 | $33,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 1,209 | $33,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 17,000 | $33,000 | thousands by filing date | principal |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 1,500 | $33,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP III | 31811A119 | *W EXP 12/01/202 | 55,078 | $33,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 1,718 | $32,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 1,781 | $32,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,257 | $32,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,000 | $32,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 1,814 | $32,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 10,100 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X305 | MID EAST DIVD | 2,085 | $32,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 10,929 | $32,000 | thousands by filing date | |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 26,000 | $32,000 | thousands by filing date | principal |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 1,000 | $31,000 | thousands by filing date | put |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 2,003 | $31,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 2,635 | $31,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 3,703 | $31,000 | thousands by filing date | |
| HARTE HANKS INC | 416196202 | COM | 20,049 | $31,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 3,182 | $31,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,426 | $31,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 12,157 | $31,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 14,360 | $30,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 8,382 | $30,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 18,620 | $30,000 | thousands by filing date | |
| Wellesley Bancorp. | 949485106 | COM | 1,079 | $30,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 25,151 | $30,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 13,895 | $29,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 3,661 | $29,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 1,416 | $29,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 2,254 | $29,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 7,691 | $29,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 2,000 | $29,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 5,033 | $29,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 1,822 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74348A145 | PET CARE ETF | 750 | $29,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 9,156 | $29,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 5,000 | $29,000 | thousands by filing date | principal |
| VISTRA CORP | 92840M128 | COM | 36,746 | $29,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 2,300 | $29,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 4,849 | $29,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 59,432 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 310 | $28,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 6,347 | $28,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 7,000 | $28,000 | thousands by filing date | call |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 838 | $28,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 2,318 | $28,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,168 | $28,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 3,412 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G169 | RUSSELL 1000 US | 1,213 | $28,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 7,103 | $28,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 18,697 | $28,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,475 | $28,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H567 | FRMLAFLIO SMRT | 1,311 | $28,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 10,645 | $28,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 9,448 | $27,000 | thousands by filing date | |
| DBX ETF TR | 233051150 | XTRACKERS MSCI | 1,138 | $27,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 29,378 | $27,000 | thousands by filing date | |
| ISHARES TR ETF GENOMICS IMMUNOLOGY & HEALTHCARE | 46435U192 | ETF | 1,000 | $27,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 92 | $27,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 537 | $27,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,425 | $27,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 3,480 | $27,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 8,604 | $27,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,156 | $27,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 3,868 | $27,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 77,336 | $27,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 1,108 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 27,000 | $27,000 | thousands by filing date | principal |
| NEXTDECADE CORP | 65342K105 | COM | 14,009 | $26,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 10,589 | $26,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 2,206 | $26,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 1,380 | $26,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 3,736 | $26,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 700 | $26,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 2,153 | $26,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,974 | $26,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,000 | $26,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 62,859 | $26,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 1,637 | $25,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 2,980 | $25,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 2,477 | $25,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 3,342 | $25,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,648 | $25,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 13,835 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,558 | $25,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 863 | $25,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 7,517 | $25,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 2,437 | $25,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 17,600 | $25,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P777 | FTSE HONG KONG | 1,219 | $25,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 41,223 | $25,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 32,000 | $25,000 | thousands by filing date | principal |
| GWG HLDGS INC | 36192A109 | COM | 2,473 | $25,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 2,543 | $24,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 5,038 | $24,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 5,681 | $24,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 1,069 | $24,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,316 | $24,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 900 | $24,000 | thousands by filing date | call |
| VMWARE, INC. | 928563402 | CL A COM | 200 | $24,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 2,466 | $24,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 3,068 | $24,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 2,272 | $24,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,302 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347X849 | INDX FD | 1,557 | $24,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 5,665 | $24,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 2,545 | $24,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 3,000 | $24,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 2,439 | $24,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 14,557 | $24,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 14,812 | $24,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,597 | $24,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 1,608 | $24,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 4,373 | $23,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 6,425 | $23,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,243 | $23,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,854 | $23,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 6,348 | $23,000 | thousands by filing date | |
| PACER FDS TR | 69374H402 | CMN | 1,083 | $23,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 20,522 | $23,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 25,218 | $23,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 132,605 | $23,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 9,479 | $23,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,000 | $23,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,048 | $23,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 22,676 | $23,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 11,083 | $23,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 200 | $22,000 | thousands by filing date | put |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 1,300 | $22,000 | thousands by filing date | put |
| DENISON MINES CORP | 248356107 | COM | 88,799 | $22,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 963 | $22,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 3,156 | $22,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,411 | $22,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P862 | CMN | 913 | $22,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 1,000 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 994 | $22,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 1,515 | $22,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 32,160 | $22,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 3,561 | $22,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 988 | $21,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 7,913 | $21,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 2,210 | $21,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 5,613 | $21,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 1,670 | $21,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,455 | $21,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,177 | $21,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 3,393 | $21,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 7,500 | $21,000 | thousands by filing date | call |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 8,055 | $21,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 10,975 | $21,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 20,000 | $21,000 | thousands by filing date | |
| SPDR SER TR | 78468R127 | S&P INTERNET ETF | 333 | $21,000 | thousands by filing date | |
| BLACKROCK ETF TRUST | 09290C103 | ISHARES US EQUIT | 918 | $20,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,440 | $20,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 1,253 | $20,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,800 | $20,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,067 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 1,393 | $20,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 52,914 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R697 | SP KENSHO INFRA | 884 | $20,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,327 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L647 | DEV MRK EX LOW | 929 | $20,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 2,729 | $20,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 9,003 | $20,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 31,000 | $20,000 | thousands by filing date | principal |
| SUPERIOR INDS INTL INC | 868168105 | COM | 16,524 | $20,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 7,662 | $20,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,618 | $20,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 13,961 | $20,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 4,589 | $20,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 37,000 | $20,000 | thousands by filing date | principal |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 9,444 | $19,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 1,074 | $19,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,622 | $19,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 4,107 | $19,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 28,898 | $19,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,582 | $19,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 3,039 | $19,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 8,528 | $19,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 1,786 | $19,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC | 28414H202 | CONV | 450 | $19,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 38,130 | $19,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 10,943 | $19,000 | thousands by filing date | |
| SOUTHWEST GA FINL CORP | 84502A104 | COM | 1,020 | $19,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 8,168 | $19,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 9,075 | $19,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 775 | $19,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 4,804 | $19,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 4,470 | $18,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 19,712 | $18,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 11,926 | $18,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,626 | $18,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 1,122 | $18,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 7,444 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $18,000 | thousands by filing date | principal |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,646 | $18,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,820 | $18,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 8,000 | $18,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052W104 | COM | 9,689 | $18,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 12,452 | $18,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 1,764 | $18,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,601 | $18,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 31,438 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E880 | DORSEY WRIGHT PE | 700 | $18,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 700 | $17,000 | thousands by filing date | put |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,200 | $17,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 866 | $17,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188101 | CORP BOND ETF | 338 | $17,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 570 | $17,000 | thousands by filing date | |
| ARIDIS PHARMACEUTICALS INC | 040334104 | COMMON STOCK | 3,006 | $17,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 1,740 | $17,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 2,703 | $17,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 11,805 | $17,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 506 | $17,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $17,000 | thousands by filing date | |
| OPGEN INC | 68373L307 | COM | 6,628 | $17,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 24,000 | $17,000 | thousands by filing date | principal |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 15,839 | $17,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 200 | $16,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,000 | $16,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 3,550 | $16,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 5,538 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 707 | $16,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,000 | $16,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 9,327 | $16,000 | thousands by filing date | |
| PLAYA HOTELS & RESORTS NV | N70544106 | SHS | 8,960 | $16,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 2,571 | $16,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 450,205 | $16,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 16,000 | $16,000 | thousands by filing date | principal |
| IMARA INC | 45249V107 | COM | 1,009 | $16,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 463 | $16,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H575 | FRMLAFLIO TACT | 717 | $16,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 3,644 | $16,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 3,142 | $15,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 22,700 | $15,000 | thousands by filing date | put |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,694 | $15,000 | thousands by filing date | |
| MERIDIAN CORP | 58958P104 | COMMON STOCK | 1,100 | $15,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 2,011 | $15,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 3,820 | $15,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 3,740 | $15,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,396 | $15,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 18,000 | $15,000 | thousands by filing date | principal |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 5,000 | $15,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 35,174 | $15,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 2,178 | $15,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 6,847 | $15,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 300 | $14,000 | thousands by filing date | call |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 500 | $14,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 446 | $14,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2026 MUNICIPAL BOND ETF | 46138J510 | UIE | 550 | $14,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 69,505 | $14,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 1,090 | $14,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 1,000 | $14,000 | thousands by filing date | put |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 14,000 | $14,000 | thousands by filing date | principal |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 4,133 | $14,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,074 | $14,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 14,132 | $14,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 15,548 | $14,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 3,419 | $14,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 2,789 | $14,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 7,268 | $14,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 9,131 | $14,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 15,000 | $14,000 | thousands by filing date | principal |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 10,951 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 310 | $14,000 | thousands by filing date | |
| PACER FDS TR | 69374H782 | BNCHMRK RS ETF | 1,002 | $14,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 1,424 | $13,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 3,096 | $13,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 4,947 | $13,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $13,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 3,915 | $13,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 2,082 | $13,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 3,825 | $13,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 16,039 | $13,000 | thousands by filing date | |
| INVESCO BULLETSHARES (R)2027 MUNICIPAL BOND ETF | 46138J494 | UIE | 550 | $13,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767835 | MSCI ALL CHINA | 538 | $13,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 875 | $13,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,047 | $13,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 1,352 | $13,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 4,985 | $13,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 3,383 | $13,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 13,782 | $13,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 60,500 | $13,000 | thousands by filing date | |
| CINCINNATI BANCORP INC | 17187C102 | COM | 1,604 | $13,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 3,000 | $13,000 | thousands by filing date | principal |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 6,895 | $13,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 5,904 | $13,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 78,394 | $13,000 | thousands by filing date | |
| MODERNA INC | 60770K107 | COM | 400 | $12,000 | thousands by filing date | call |
| CLEARPOINT NEURO INC | 18507C103 | COM | 3,270 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 918 | $12,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 2,053 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,400 | $12,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P785 | FTSE GERMANY | 696 | $12,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,576 | $12,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 576 | $12,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 12,444 | $12,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 16,000 | $12,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 8,399 | $12,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 22,598 | $12,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 2,806 | $12,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $12,000 | thousands by filing date | principal |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 6,097 | $12,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 3,000 | $12,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 12,000 | $12,000 | thousands by filing date | principal |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 20,302 | $12,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F129 | 6% PFD CNV SR A | 3,196 | $12,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 2,632 | $12,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 322 | $12,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 4,000 | $12,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 19,715 | $11,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 2,125 | $11,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 7,076 | $11,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 4,286 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 400 | $11,000 | thousands by filing date | put |
| NEURONETICS INC | 64131A105 | COM | 5,676 | $11,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 1,123 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 450 | $11,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 840 | $11,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 3,595 | $11,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 4,274 | $11,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 10,846 | $11,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 8,952 | $11,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 337 | $11,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 10,476 | $11,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 34,000 | $11,000 | thousands by filing date | principal |
| SYNLOGIC INC | 87166L100 | COM | 6,061 | $11,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 581 | $11,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 16,024 | $11,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $11,000 | thousands by filing date | principal |
| BAUDAX BIO INC | 07160F107 | COM | 4,495 | $11,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 3,000 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 279 | $11,000 | thousands by filing date | |
| ECOFIN DIGITAL PAYMENTS INFRASTRUCTURE FUND | 56167N548 | ETF | 439 | $11,000 | thousands by filing date | |
| QUINTANA ENERGY SVCS INC | 74875T103 | COM | 12,673 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E463 | FTSE INTL OVER | 284 | $11,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 200 | $10,000 | thousands by filing date | put |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 100 | $10,000 | thousands by filing date | put |
| NUVEEN MUNICIPAL CREDIT OPP FU | 670663103 | COM | 800 | $10,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 320 | $10,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 5,046 | $10,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,927 | $10,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 3,065 | $10,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 10,045 | $10,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 1,057 | $10,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 350 | $10,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 1,141 | $10,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 2,630 | $10,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 1,538 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 764 | $10,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 8,573 | $10,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 40,893 | $10,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 402 | $10,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 7,050 | $10,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 13,000 | $10,000 | thousands by filing date | principal |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 8,000 | $10,000 | thousands by filing date | principal |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 462 | $10,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 3,990 | $10,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 4,305 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 11,000 | $10,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| MAJESCO | 56068V102 | COM | 1,764 | $10,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 1,300 | $9,000 | thousands by filing date | call |
| CELCUITY INC | 15102K100 | COM | 1,477 | $9,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,053 | $9,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 4,674 | $9,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 4,433 | $9,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 26,230 | $9,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P854 | ESG HI TLD CRP | 386 | $9,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 567 | $9,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 484 | $9,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $9,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,319 | $9,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 8,450 | $9,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 5,325 | $9,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 435 | $9,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 2,988 | $9,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,000 | $9,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 621 | $9,000 | thousands by filing date | |
| CONTINENTAL MATLS CORP | 211615307 | COM | 1,000 | $9,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 951 | $9,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 2,671 | $9,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 1,523 | $9,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 2,357 | $9,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 11,530 | $9,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 5,233 | $9,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 7,607 | $9,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 27,558 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 9,000 | $9,000 | thousands by filing date | principal |
| ARROW INVTS TR | 042765784 | QVM EQT FACTOR | 500 | $9,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 2,429 | $8,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 200 | $8,000 | thousands by filing date | put |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 3,619 | $8,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $8,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 398 | $8,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 446 | $8,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 293 | $8,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,512 | $8,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 421 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,557 | $8,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 5,187 | $8,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 370 | $8,000 | thousands by filing date | |
| SILVERGATE CAP CORP CLASS A | 82837P408 | CL A | 788 | $8,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 91,474 | $8,000 | thousands by filing date | principal |
| ORCHID IS CAP INC | 68571X103 | COM | 2,748 | $8,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 4,238 | $8,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 3,749 | $8,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 4,012 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 255 | $8,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,038 | $8,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 3,965 | $8,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 397 | $8,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 3,700 | $8,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 8,000 | $8,000 | thousands by filing date | principal |
| ZAFGEN INC | 98885E103 | COM | 10,996 | $8,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 2,324 | $8,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 10,000 | $8,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 4,000 | $8,000 | thousands by filing date | principal |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 20,058 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 407 | $8,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,400 | $7,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 4,612 | $7,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 500 | $7,000 | thousands by filing date | call |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,400 | $7,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 3,346 | $7,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 152 | $7,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 870 | $7,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 2,006 | $7,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 210 | $7,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 600 | $7,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,805 | $7,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,000 | $7,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 10,046 | $7,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 2,247 | $7,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 4,900 | $7,000 | thousands by filing date | put |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 4,350 | $7,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 827 | $7,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 843 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 200 | $7,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 3,421 | $7,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 7,533 | $7,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,137 | $6,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 182 | $6,000 | thousands by filing date | |
| FLEX LNG LTD | G35947202 | SHS | 1,224 | $6,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 14,523 | $6,000 | thousands by filing date | |
| DUOS TECHNOLOGIES GROUP INC | 266042407 | COMMON STOCK | 1,215 | $6,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,700 | $6,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 2,195 | $6,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 703 | $6,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $6,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072208 | CMN | 192 | $6,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 2,455 | $6,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 520 | $6,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,202 | $6,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,618 | $6,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 1,500 | $6,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 5,056 | $6,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,305 | $6,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 31,224 | $6,000 | thousands by filing date | |
| GLEN BURNIE BANCORP | 377407101 | COM | 724 | $6,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 6,000 | $6,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 5,775 | $6,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 800 | $6,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,647 | $6,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 290 | $6,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 3,000 | $6,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 6,000 | $6,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 1,263 | $6,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 1,380 | $6,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 3,158 | $6,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 266 | $6,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 5,970 | $6,000 | thousands by filing date | |
| AC IMMUNE SA | H00263105 | SHS | 750 | $5,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 250 | $5,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 100 | $5,000 | thousands by filing date | put |
| V F CORP COM | 918204108 | Stock | 100 | $5,000 | thousands by filing date | call |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 100 | $5,000 | thousands by filing date | put |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $5,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,193 | $5,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 1,086 | $5,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 135 | $5,000 | thousands by filing date | |
| UNITED BANCORP INC OHIO | 909911109 | COM | 468 | $5,000 | thousands by filing date | |
| NORTECH SYS INC | 656553104 | COM | 1,400 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-010358 | this filing | 2020-05-15 | acceptance time not in the bulk data set |