13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-15, with 6,857 holding rows worth $207,858,040,000.
- Accession
- 0001567619-20-010411
- Filer
- CIK 1000275
- 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, 25,059 entries on the cover page, a total value of $207,858,040,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $207,858,040,000 with VALUE read as thousands by filing date, 13F file number 028-11396. A later restatement replaced it, so the quarter does not use it. 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 managerAMG Funds LLC028-11395
- 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
- included managerAlaska Permanent Fund Corp028-20231
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 |
|---|---|---|---|---|---|---|
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $6,000 | thousands by filing date | principal |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,946 | $6,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,839 | $6,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 7,000 | $6,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $6,000 | thousands by filing date | principal |
| INTEVAC INC | 461148108 | COM | 1,500 | $6,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 321 | $6,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 1,582 | $6,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 114 | $6,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 3,065 | $6,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y405 | 20YR TRES BEAR | 427 | $6,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 630 | $6,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 1,661 | $6,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 5,603 | $6,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 817 | $6,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 15,101 | $6,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,620 | $6,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 6,003 | $6,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 97 | $6,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 7,482 | $6,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 3,000 | $6,000 | thousands by filing date | principal |
| WANDA SPORTS GROUP CO LTD | 93368R101 | SPONSORED ADS | 2,500 | $6,000 | thousands by filing date | |
| iShares U.S. Infrastructure ETF | 46435U713 | SHS | 225 | $5,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 2,454 | $5,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 611 | $5,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 529 | $5,000 | thousands by filing date | |
| SPDR SER TR | 78468R754 | RUSSELL LOW VOL | 75 | $5,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS LP | 63900P608 | COM UNIT LTD PAR | 410 | $5,000 | thousands by filing date | |
| TWIST BIOSCIENCE CORP | 90184D100 | COM | 171 | $5,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 6,000 | $5,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 648 | $5,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 325 | $5,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 7,776 | $5,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 600 | $5,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,717 | $5,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,120 | $5,000 | thousands by filing date | |
| INTERNATIONAL MONEY EXPRESS | 46005L101 | COM | 532 | $5,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 851 | $5,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 1,509 | $5,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,625 | $5,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 578 | $5,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 589 | $5,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 445 | $5,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 311 | $5,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 318 | $5,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 213 | $5,000 | thousands by filing date | principal |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 485 | $5,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 344 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 125 | $5,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 316 | $5,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 2,869 | $5,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 28,350 | $5,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 312 | $5,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 699 | $5,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 966 | $5,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 500 | $5,000 | thousands by filing date | |
| PROSHARES TR | 74347B284 | SHT MSCI NEW | 100 | $5,000 | thousands by filing date | |
| FOUR SEASONS ED CAYMAN INC SPON ADS | 35101A101 | ADR | 4,000 | $5,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 3,000 | $5,000 | thousands by filing date | principal |
| QIWI PLC | 74735M108 | SPON ADR REP B | 498 | $5,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 4,000 | $5,000 | thousands by filing date | principal |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 1,000 | $5,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 2,791 | $5,000 | thousands by filing date | |
| GRITSTONE BIO INC | 39868T105 | COM | 900 | $5,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 22,504 | $5,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 1,566 | $5,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 671 | $5,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 8,712 | $5,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,650 | $5,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 2,805 | $5,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 1,423 | $5,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 1,020 | $5,000 | thousands by filing date | |
| ELMIRA SVGS BK ELMIRA N Y | 289660102 | COM | 415 | $5,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,600 | $5,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 2,220 | $5,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 2,000 | $5,000 | thousands by filing date | |
| SVMK INC | 78489X103 | COM | 385 | $5,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 21,090 | $5,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 2,000 | $5,000 | thousands by filing date | principal |
| SHARPSPRING INC | 820054104 | COM | 775 | $5,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 2,308 | $5,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 5,000 | $5,000 | thousands by filing date | principal |
| SHIFTPIXY INC | 82452L203 | COM NEW | 1,000 | $5,000 | thousands by filing date | |
| LIQUID MEDIA GROUP LTD NEW | 53634Q204 | COM NEW | 1,776 | $5,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 8,357 | $5,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 3,364 | $5,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 24,006 | $5,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 4,550 | $5,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 451 | $4,000 | thousands by filing date | |
| XP INC CL A | G98239109 | Stock | 200 | $4,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 14 | $4,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 276 | $4,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 257 | $4,000 | thousands by filing date | |
| ARVINAS INC | 04335A105 | COM | 103 | $4,000 | thousands by filing date | |
| CLARIVATE PLC | G21810109 | ORD SHS | 230 | $4,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 2,190 | $4,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 851 | $4,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 200 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 44 | $4,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 7,962 | $4,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 84 | $4,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 267 | $4,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 429 | $4,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 200 | $4,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 518 | $4,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 437 | $4,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 568 | $4,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 134 | $4,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 84 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460E307 | AUSPCE CMD STG | 197 | $4,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 2,380 | $4,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 3,000 | $4,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 300 | $4,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 4,424 | $4,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 437 | $4,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,300 | $4,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 6,187 | $4,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 1,263 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,000 | $4,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 200 | $4,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 200 | $4,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 507 | $4,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 250 | $4,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y545 | VICE E T F | 200 | $4,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 1,327 | $4,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 1,329 | $4,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 157 | $4,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 456 | $4,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 3,050 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 108 | $4,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 416 | $4,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061821 | CANNABIS ETF | 340 | $4,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 4,000 | $4,000 | thousands by filing date | principal |
| AMYRIS INC | 03236M200 | COM NEW | 1,650 | $4,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 4,000 | $4,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 4,000 | $4,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 5,000 | $4,000 | thousands by filing date | principal |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 389 | $4,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 549 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 6,000 | $4,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 4,460 | $4,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,250 | $4,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 13,862 | $4,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 299 | $4,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 821 | $4,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 4,405 | $4,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 763 | $4,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 4,000 | $4,000 | thousands by filing date | principal |
| PFENEX INC | 717071104 | COM | 437 | $4,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 6,222 | $4,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y798 | HEALTH WELLNESS | 269 | $4,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 1,000 | $4,000 | thousands by filing date | principal |
| HULL TACTICAL US ETF | 301505806 | ETF | 200 | $4,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 5,000 | $4,000 | thousands by filing date | principal |
| CREDIT SUISSE AG NASSAU BRH | 22542D290 | VELOCITY SHS ETN | 100 | $4,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 21,597 | $4,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 2,000 | $4,000 | thousands by filing date | principal |
| CENTRIC BRANDS INC | 15644G104 | COM | 3,095 | $4,000 | thousands by filing date | |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 62 | $4,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 1,000 | $4,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 2,607 | $4,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 658 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B537 | HDGD FTSE JAPN | 211 | $4,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502887 | UNIT 05/15/2020 | 51 | $4,000 | thousands by filing date | principal |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 2,413 | $3,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 1,107 | $3,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 499 | $3,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 91 | $3,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 674 | $3,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 841 | $3,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 1,943 | $3,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 100 | $3,000 | thousands by filing date | put |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,120 | $3,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 245 | $3,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 649 | $3,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1,595 | $3,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 307 | $3,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 1,509 | $3,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 4,444 | $3,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 529 | $3,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 727 | $3,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 342 | $3,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 1,296 | $3,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 200 | $3,000 | thousands by filing date | |
| PERMA FIX ENVIRONMENTAL SVCS | 714157203 | COMMON STOCK | 500 | $3,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 999 | $3,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 2,732 | $3,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 132 | $3,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 328 | $3,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 319 | $3,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 3,076 | $3,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 110 | $3,000 | thousands by filing date | |
| ISHARES TR | 46434V779 | MSCI QATAR ETF | 186 | $3,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 127 | $3,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 161 | $3,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 2,447 | $3,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 500 | $3,000 | thousands by filing date | principal |
| NIU TECHNOLOGIES | 65481N100 | CMN | 499 | $3,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 4,023 | $3,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 135 | $3,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 71 | $3,000 | thousands by filing date | principal |
| MICROBOT MED INC | 59503A204 | COM NEW | 690 | $3,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 1,134 | $3,000 | thousands by filing date | |
| Y-mAbs Therapeutics Inc | 984241109 | Common Stock | 116 | $3,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 2,062 | $3,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 162 | $3,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 9,468 | $3,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 1,000 | $3,000 | thousands by filing date | call |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 48 | $3,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 1,315 | $3,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 2,979 | $3,000 | thousands by filing date | |
| ENLIGHTIFY INC COM NEW | 16943W204 | Stock | 1,308 | $3,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 2,377 | $3,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 438 | $3,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 193 | $3,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 189 | $3,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 1,100 | $3,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 3,826 | $3,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 3,000 | $3,000 | thousands by filing date | principal |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 3,000 | $3,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,000 | $3,000 | thousands by filing date | principal |
| INDEPENDENCE CONTRACT DRILLI | 453415606 | COM | 1,491 | $3,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 1,332 | $3,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 800 | $3,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 7,493 | $3,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 5,274 | $3,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 148 | $3,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 1,303 | $3,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 180 | $3,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D829 | INVRS VIX MDTERM | 77 | $3,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 120 | $3,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,327 | $3,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 300 | $3,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 405 | $3,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 1,376 | $3,000 | thousands by filing date | |
| NULL | 032108854 | NULL | 350 | $3,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 1,146 | $3,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 4,085 | $3,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 2,325 | $3,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L207 | COMMON | 839 | $3,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 3,506 | $3,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 6,438 | $3,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 8,348 | $3,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,188 | $3,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 13,990 | $3,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 4,390 | $3,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 2,000 | $3,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 2,000 | $3,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 3,000 | $3,000 | thousands by filing date | principal |
| NEOVASC INC | 64065J304 | COM | 2,003 | $3,000 | thousands by filing date | |
| DBX ETF TR | 233051523 | XTRACK MSCI CHIN | 167 | $3,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 153 | $3,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 2,194 | $3,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 12,858 | $3,000 | thousands by filing date | |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 33 | $3,000 | thousands by filing date | principal |
| POLARITYTE INC | 731094108 | COM | 3,107 | $3,000 | thousands by filing date | |
| PROSHARES ULTRASHORT CONSUMER SERVICES | 74348A236 | ETF | 167 | $3,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 1,612 | $3,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 7,214 | $3,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | 98236JAB4 | NOTE 2.250%11/1 | 2,000 | $3,000 | thousands by filing date | principal |
| SANCHEZ MIDSTEAM PARTNERS LP | 79971C201 | COM UNITS REP B | 5,980 | $3,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 11,858 | $3,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 4,100 | $3,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 4,377 | $3,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 30 | $3,000 | thousands by filing date | principal |
| CANCER GENETICS INC | 13739U203 | COM NEW | 1,130 | $3,000 | thousands by filing date | |
| PERFORMANCE SHIPPING INC | Y67305105 | COM | 5,364 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 140 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347G200 | ULSHRT SEMIC NEW | 250 | $3,000 | thousands by filing date | |
| FSB BANCORP INC | 30289C102 | COM | 200 | $3,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 333 | $2,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 155 | $2,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 65 | $2,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 310 | $2,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 75 | $2,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 54 | $2,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 265 | $2,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 182 | $2,000 | thousands by filing date | |
| PARSONS CORP DEL COM | 70202L102 | Stock | 75 | $2,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 111 | $2,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092527 | SML MID MLTFCT | 100 | $2,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 63 | $2,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 6,261 | $2,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 500 | $2,000 | thousands by filing date | |
| ARCUS BIOSCIENCES INC | 03969F109 | COM | 164 | $2,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 101 | $2,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 150 | $2,000 | thousands by filing date | |
| SI BONE INC | 825704109 | COM | 164 | $2,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 1,427 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A388 | APTUS DEFINED | 62 | $2,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 130 | $2,000 | thousands by filing date | |
| STOKE THERAPEUTICS INC | 86150R107 | COM | 89 | $2,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 232 | $2,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 261 | $2,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 1,000 | $2,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 500 | $2,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 121 | $2,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 146 | $2,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 187 | $2,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 129 | $2,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 340 | $2,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 79 | $2,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 131 | $2,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 1,650 | $2,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 1,280 | $2,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 1,036 | $2,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 150 | $2,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 313 | $2,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 142 | $2,000 | thousands by filing date | |
| TIDAL TR III ETF IMPACT SHARES WOMEN'S EMPOWERMENT | 45259A100 | ETF | 110 | $2,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 2,317 | $2,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 111 | $2,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 75 | $2,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 144 | $2,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACT | 77467X101 | Equity | 361 | $2,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 292 | $2,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 71 | $2,000 | thousands by filing date | |
| HEALTH CATALYST INC | 42225T107 | COM | 90 | $2,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061888 | VALUE MOMENTUM | 104 | $2,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 2,111 | $2,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 275 | $2,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 100 | $2,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 1,036 | $2,000 | thousands by filing date | |
| VIOMI TECHNOLOGY CO LTD | 92762J103 | SPONSORED ADS | 415 | $2,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 650 | $2,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 516 | $2,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 185 | $2,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 1,000 | $2,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 409 | $2,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 200 | $2,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 100 | $2,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 284 | $2,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 110 | $2,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 2,477 | $2,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 1,164 | $2,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 4,995 | $2,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,023 | $2,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 276 | $2,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 51 | $2,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 1,885 | $2,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 1,170 | $2,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 329 | $2,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 1,886 | $2,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 265 | $2,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 295 | $2,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 1,080 | $2,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 10,526 | $2,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 4,416 | $2,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,325 | $2,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 196 | $2,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 200 | $2,000 | thousands by filing date | |
| ARROW INVTS TR | 042765685 | DWA TACT INTL | 100 | $2,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 3,216 | $2,000 | thousands by filing date | |
| LUOKUNG TECHNOLOGY CORP | G56981106 | SHS | 3,458 | $2,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 1,200 | $2,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 1,872 | $2,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 881 | $2,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 223 | $2,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 2,207 | $2,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 295 | $2,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 2,848 | $2,000 | thousands by filing date | |
| EIDOS THERAPEUTICS INC. | 28249H104 | Common Stock | 49 | $2,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 149 | $2,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 4,076 | $2,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 3,455 | $2,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 1,750 | $2,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 5,618 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E166 | DAILY JR GLD MIN | 500 | $2,000 | thousands by filing date | |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 705 | $2,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 6,829 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 100 | $2,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 485 | $2,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 1,045 | $2,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A370 | LONCAR CHINA BIO | 100 | $2,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 3,619 | $2,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y537 | DORSY MICR ETF | 98 | $2,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 3,427 | $2,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 3,000 | $2,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRA | 459506309 | UNIT 09/15/2021 | 55 | $2,000 | thousands by filing date | principal |
| ETF SER SOLUTIONS | 26922A669 | NATIONWIDE RSK | 100 | $2,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 2,000 | $2,000 | thousands by filing date | principal |
| CHINA CUST RELATIONS CNTR IN | G2118P102 | COM | 469 | $2,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W208 | UNIT 06/01/2025 | 180 | $2,000 | thousands by filing date | |
| SPRING BK PHARMACEUTICALS IN | 849431101 | COM | 2,000 | $2,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 770 | $2,000 | thousands by filing date | |
| JP MORGAN EXCHANGE TRADED FD | 46641Q803 | DIVERSIFIED ET | 99 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 100 | $2,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 1,395 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J718 | Cmn | 100 | $2,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 1,003 | $1,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 66 | $1,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 145 | $1,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 145 | $1,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 204 | $1,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 998 | $1,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 242 | $1,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 1,144 | $1,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 496 | $1,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 380 | $1,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 917 | $1,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 185 | $1,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 62 | $1,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 117 | $1,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 213 | $1,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 150 | $1,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 1,272 | $1,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 122 | $1,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 599 | $1,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,261 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 90 | $1,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 78 | $1,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 89 | $1,000 | thousands by filing date | |
| BEAM THERAPEUTICS INC | 07373V105 | COM | 53 | $1,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 568 | $1,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 68 | $1,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 70 | $1,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 130 | $1,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 122 | $1,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 436 | $1,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 1,038 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 661 | $1,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 521 | $1,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 531 | $1,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 1,504 | $1,000 | thousands by filing date | |
| EPSILON ENERGY LTD | 294375209 | COMMON STOCK | 641 | $1,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 53 | $1,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 289 | $1,000 | thousands by filing date | |
| RICHMOND MUTUAL BANCORPORATI | 76525P100 | COMMON STOCK | 69 | $1,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 2,568 | $1,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 60 | $1,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 1,921 | $1,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 108 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435G839 | MSCI EAFE SMCP | 41 | $1,000 | thousands by filing date | |
| AMERICAN CENTURY ETF TR QUALITY DIVERSIFIED INTL | 025072406 | ETF | 44 | $1,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 188 | $1,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N543 | VICTORYSHS EMERG | 33 | $1,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 270 | $1,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 22 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E289 | S&P EMRNG MMTM | 56 | $1,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 350 | $1,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 738 | $1,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 481 | $1,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 104 | $1,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 409 | $1,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 193 | $1,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 100 | $1,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 107 | $1,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 138 | $1,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 295 | $1,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 61 | $1,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 211 | $1,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 94 | $1,000 | thousands by filing date | |
| ISHARES TR | 46435U366 | CMN | 50 | $1,000 | thousands by filing date | |
| STAR EQUITY HOLDINGS INC | 443787205 | COM NEW | 116 | $1,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 102 | $1,000 | thousands by filing date | |
| PATHFINDER BANCORP INC MD | 70319R109 | COM | 100 | $1,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 66 | $1,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 146 | $1,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 102 | $1,000 | thousands by filing date | |
| EDUCATIONAL DEV CORP | 281479105 | COM | 145 | $1,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 570 | $1,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 900 | $1,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 117 | $1,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 66 | $1,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 152 | $1,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 43 | $1,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 26 | $1,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 2,959 | $1,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 2,269 | $1,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 31 | $1,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 2,450 | $1,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 338 | $1,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 302 | $1,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 4,000 | $1,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 444 | $1,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 153 | $1,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 1,223 | $1,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 209 | $1,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 394 | $1,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 48 | $1,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 1,832 | $1,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 960 | $1,000 | thousands by filing date | |
| PROSHARES ULTRASHORT FTSE CHINA 50 | 74347B227 | ETF | 10 | $1,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 125 | $1,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 200 | $1,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 4,000 | $1,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 400 | $1,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 292 | $1,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 297 | $1,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 404 | $1,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 948 | $1,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 628 | $1,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 561 | $1,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 1,200 | $1,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 1,000 | $1,000 | thousands by filing date | principal |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 41 | $1,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 64 | $1,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 139 | $1,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 456 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-010411 | this filing | 2020-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001567619-20-012198 | base | 2020-06-16 | acceptance time not in the bulk data set |