13F-HR/A filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR/A for the quarter ended 2020-03-31, filed 2020-06-16, with 6,857 holding rows worth $207,851,832,000.
- Accession
- 0001567619-20-012198
- Filer
- CIK 1000275
- Filed
- 2020-06-16
- 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, amendment of type restatement, 25,058 entries on the cover page, a total value of $207,851,832,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $207,851,832,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC CMA LLC028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included 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 |
|---|---|---|---|---|---|---|
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 426 | $22,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,237 | $22,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 7,385 | $22,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 16,963 | $22,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 9,931 | $22,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 7,524 | $22,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 13,557 | $22,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 955 | $22,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 3,000 | $22,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 5,000 | $22,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 11,000 | $22,000 | thousands by filing date | principal |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 5,358 | $22,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 904 | $21,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 1,828 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y459 | RUSSELL 2000 | 1,200 | $21,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 702 | $21,000 | thousands by filing date | |
| OPTIMIZERX CORP | 68401U204 | COM NEW | 2,375 | $21,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 1,726 | $21,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 1,021 | $21,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 7,124 | $21,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 642 | $21,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,532 | $21,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 690 | $21,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 7,564 | $21,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 899 | $21,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 6,411 | $21,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 1,753 | $21,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,355 | $21,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,332 | $21,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 7,709 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 600 | $21,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 1,366 | $21,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 95,565 | $21,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,075 | $21,000 | thousands by filing date | |
| LISTED FD TR EVENTSHS US LEGI | 53656F102 | CEF | 1,100 | $21,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,438 | $20,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 2,958 | $20,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 767 | $20,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 640 | $20,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 883 | $20,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 1,641 | $20,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 3,184 | $20,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 4,343 | $20,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,450 | $20,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,149 | $20,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 833 | $20,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,733 | $20,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 2,040 | $20,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 51,972 | $20,000 | thousands by filing date | |
| SUMMIT ST BK SANTA ROSA CALI | 866264203 | COM | 2,500 | $20,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 746 | $20,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 15,070 | $20,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 2,100 | $20,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 13,972 | $20,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 3,253 | $20,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 15,000 | $20,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 1,027 | $20,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 26,276 | $20,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 619 | $20,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 11,896 | $20,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 26,991 | $20,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 695 | $20,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 3,190 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,000 | $20,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 6,000 | $20,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 1,186 | $19,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 1,082 | $19,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,331 | $19,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 204 | $19,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 252 | $19,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 1,400 | $19,000 | thousands by filing date | |
| STATE STREET SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF | 78468R549 | ETF | 867 | $19,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 2,506 | $19,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 2,760 | $19,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 8,140 | $19,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 4,198 | $19,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 1,944 | $19,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 3,543 | $19,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,000 | $19,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 5,000 | $19,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 1,000 | $19,000 | thousands by filing date | |
| ENVISION SOLAR INTL INC | 29413Q201 | COM | 2,500 | $19,000 | thousands by filing date | |
| SP Funds S&P 500 Sharia Industry Exclusions ETF | 886364801 | COM | 1,050 | $18,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 8,567 | $18,000 | thousands by filing date | |
| High Yield ETF | 30151E814 | HIGH YIELD ETF | 712 | $18,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,611 | $18,000 | thousands by filing date | |
| MANHATTAN BRDG CAP INC | 562803106 | COM | 4,620 | $18,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 750 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 663 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 357 | $18,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,475 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 1,125 | $18,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 562 | $18,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 19,445 | $18,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 6,352 | $18,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 20,700 | $18,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 5,014 | $18,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 7,414 | $18,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 10,819 | $18,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 51,467 | $18,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 11,690 | $18,000 | thousands by filing date | |
| PROGYNY INC COM | 74340E103 | Stock | 778 | $17,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 2,153 | $17,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 3,260 | $17,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 491 | $17,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,080 | $17,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 634 | $17,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 1,630 | $17,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 510 | $17,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 2,532 | $17,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 500 | $17,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 900 | $17,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,152 | $17,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 296 | $17,000 | thousands by filing date | |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 5,074 | $17,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 7,133 | $17,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 15,000 | $17,000 | thousands by filing date | principal |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 46,801 | $17,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,152 | $17,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 32,000 | $17,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 15,004 | $17,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 4,750 | $17,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 13,011 | $16,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 2,149 | $16,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 3,704 | $16,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 898 | $16,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 323 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR FTSE TAIWAN | 35473P686 | FTSE TAIWAN | 700 | $16,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 1,361 | $16,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 389 | $16,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $16,000 | thousands by filing date | |
| ARCUTIS BIOTHERAPEUTICS INC | 03969K108 | COM | 557 | $16,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 5,341 | $16,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 2,236 | $16,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 1,218 | $16,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 784 | $16,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,202 | $16,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,771 | $16,000 | thousands by filing date | |
| US VEGAN CLIMATE ETF | 26922A297 | ETF | 725 | $16,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 92,319 | $16,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 1,161 | $16,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 83,216 | $16,000 | thousands by filing date | |
| ISHARES TR | 46434V514 | MSCI CHINA A | 600 | $16,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 3,887 | $16,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G798 | VIRTUS PVT CR | 1,104 | $16,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 13,645 | $16,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,000 | $16,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,469 | $16,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 3,238 | $16,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 1,020 | $16,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 3,200 | $16,000 | thousands by filing date | |
| ISHARES TR | 46432FAZ0 | IBONDS MAR23 ETF | 613 | $16,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 8,258 | $16,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 4,816 | $16,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 5,949 | $16,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 426 | $15,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 21,960 | $15,000 | thousands by filing date | |
| BIONTECH SE SPONSORED ADS | 09075V102 | ADR | 261 | $15,000 | thousands by filing date | |
| REVOLUTION MEDICINES INC COM | 76155X100 | Stock | 708 | $15,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,743 | $15,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 298 | $15,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 560 | $15,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 48,141 | $15,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 7,063 | $15,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 2,014 | $15,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 6,727 | $15,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 3,484 | $15,000 | thousands by filing date | |
| ORIGIN BANCORP INC | 68621T102 | COMMON STOCK | 751 | $15,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 632 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 1,369 | $15,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,698 | $15,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,077 | $15,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,888 | $15,000 | thousands by filing date | |
| BATTALION OIL CORP | 07134L107 | COM | 3,320 | $15,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 4,607 | $15,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 775 | $15,000 | thousands by filing date | |
| ALPINE IMMUNE SCIENCES INC | 02083G100 | COM | 5,351 | $15,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 4,469 | $15,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,986 | $15,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 3,831 | $15,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 632 | $15,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 575 | $15,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 2,413 | $15,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 816 | $15,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 310 | $14,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 2,591 | $14,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 5,220 | $14,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 407 | $14,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 1,000 | $14,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 255 | $14,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 233 | $14,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 352 | $14,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,814 | $14,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 1,000 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 570 | $14,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,838 | $14,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 12,493 | $14,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416508 | HARTFORD MLT SML | 704 | $14,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 8,000 | $14,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 3,443 | $14,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 782 | $14,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q200 | COM | 1,128 | $14,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,400 | $14,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 7,988 | $14,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,112 | $14,000 | thousands by filing date | |
| ITERUM THERAPEUTICS PLC SHS NEW | G6333L101 | Stock | 5,050 | $14,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 35,870 | $14,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 3,084 | $14,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,925 | $14,000 | thousands by filing date | |
| ARTARA THERAPEUTICS INC | 04300J107 | COM | 600 | $14,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 32,540 | $14,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 564 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGETRADED F DIV RTN EU ETF | 46641Q605 | Stock | 300 | $14,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAC5 | NOTE 4.750% 3/2 | 15,000 | $14,000 | thousands by filing date | principal |
| IVLU | 46435G409 | COM | 750 | $13,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 51,032 | $13,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 501 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 500 | $13,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 4,795 | $13,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 1,065 | $13,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 800 | $13,000 | thousands by filing date | put |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 5,111 | $13,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 6,184 | $13,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 1,727 | $13,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 1,036 | $13,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 2,067 | $13,000 | thousands by filing date | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 514 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 547 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 563 | $13,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 9,531 | $13,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 602 | $13,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 1,112 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J406 | EX US SML CP | 497 | $13,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 945 | $13,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 13,740 | $13,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 2,061 | $13,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,197 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B367 | DECLINE RETAIL | 259 | $13,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 20,000 | $13,000 | thousands by filing date | principal |
| QAD INC-A | 74727D306 | CL A | 338 | $13,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,313 | $13,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $13,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 15,000 | $13,000 | thousands by filing date | principal |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 535 | $13,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 1,125 | $13,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 11,172 | $13,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 566 | $12,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 790 | $12,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 362 | $12,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 2,258 | $12,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 1,118 | $12,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 4,553 | $12,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 1,668 | $12,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 2,109 | $12,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 1,738 | $12,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 1,000 | $12,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 4,429 | $12,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,477 | $12,000 | thousands by filing date | |
| DBX ETF TR | 233051515 | XTRACKERS FTSE | 560 | $12,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 811 | $12,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 487 | $12,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 600 | $12,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,391 | $12,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 22,261 | $12,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 1,159 | $12,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 12,793 | $12,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,406 | $12,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 11,109 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 400 | $12,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 24,322 | $12,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 1,600 | $12,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 9,254 | $12,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 247 | $12,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $12,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,259 | $12,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 10,000 | $12,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,080 | $12,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 12,852 | $12,000 | thousands by filing date | |
| HUDSON LTD | G46408103 | COM CL A | 2,377 | $12,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 10,427 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E125 | DAILY SM CP BEAR | 200 | $12,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 974 | $12,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,166 | $12,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 6,102 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 322 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 266 | $11,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 400 | $11,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 4,035 | $11,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 1,225 | $11,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 2,649 | $11,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,750 | $11,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 1,226 | $11,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 2,191 | $11,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 2,514 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 130 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,003 | $11,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 2,460 | $11,000 | thousands by filing date | |
| BELLRING BRANDS INC | 079823100 | COMMON STOCK | 620 | $11,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 357 | $11,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 510 | $11,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 2,122 | $11,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,050 | $11,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 10,784 | $11,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 495 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 764 | $11,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 5,376 | $11,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 9,390 | $11,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 6,804 | $11,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 420 | $11,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 16,712 | $11,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 1,064 | $11,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 17,500 | $11,000 | thousands by filing date | |
| GLOBAL X FOUNDER-RUN COMPANIES ETF | 37954Y681 | ETF | 647 | $11,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 4,141 | $11,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 1,070 | $11,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 5,059 | $10,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 351 | $10,000 | thousands by filing date | |
| SPROUT SOCIAL INC COM CL A | 85209W109 | Stock | 586 | $10,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 24,505 | $10,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 631 | $10,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 5,535 | $10,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,589 | $10,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 1,039 | $10,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 425 | $10,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 2,170 | $10,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 1,100 | $10,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 270 | $10,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 2,088 | $10,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2,000 | $10,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,934 | $10,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 827 | $10,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $10,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,500 | $10,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 1,809 | $10,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 3,939 | $10,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 4,391 | $10,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 2,149 | $10,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 266 | $10,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 2,500 | $10,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 13,449 | $10,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 2,428 | $10,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 6,040 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 11,000 | $10,000 | thousands by filing date | principal |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 1,000 | $10,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 2,551 | $10,000 | thousands by filing date | |
| GEOPARK LTD USD SHS | G38327105 | Stock | 1,349 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 23,641 | $9,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 24,847 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 469 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 175 | $9,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 339 | $9,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 1,094 | $9,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 6,294 | $9,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 25,650 | $9,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 1,205 | $9,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 500 | $9,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 295 | $9,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 140 | $9,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,453 | $9,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 664 | $9,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 4,434 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 462 | $9,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 17,500 | $9,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 1,636 | $9,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 2,555 | $9,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 3,422 | $9,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 607 | $9,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,349 | $9,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 49,463 | $9,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 34,422 | $9,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 460 | $9,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 35,053 | $9,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 6,274 | $9,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 1,583 | $9,000 | thousands by filing date | |
| APEX GLOBAL BRANDS INC | 03755M201 | COM NEW | 21,300 | $9,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 1,690 | $9,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 13,081 | $9,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 100 | $8,000 | thousands by filing date | put |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 382 | $8,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 100 | $8,000 | thousands by filing date | put |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 739 | $8,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 7,964 | $8,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 954 | $8,000 | thousands by filing date | |
| UNITED STS COMMODITY INDEX F | 911718104 | CM REP COPP FD | 575 | $8,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 550 | $8,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 100 | $8,000 | thousands by filing date | put |
| FB FINL CORP | 30257X104 | COM | 416 | $8,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 173 | $8,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 81 | $8,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 573 | $8,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 907 | $8,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 400 | $8,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 918 | $8,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 2,290 | $8,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,095 | $8,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 451 | $8,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 1,082 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 637 | $8,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,214 | $8,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 3,311 | $8,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 70,379 | $8,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P876 | US SML CP MLTFCT | 397 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,600 | $8,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 9,000 | $8,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 836 | $8,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 6,843 | $8,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 166 | $8,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 10,329 | $8,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 10,109 | $8,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 100 | $8,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 1,580 | $8,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 1,467 | $8,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $8,000 | thousands by filing date | principal |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 893 | $8,000 | thousands by filing date | |
| KRANESHARES TR | 500767702 | BLOOMBERG CHIINA | 250 | $8,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 400 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347B417 | K1 FRE CRD OIL | 1,100 | $8,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 7,910 | $8,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 1,610 | $8,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 7,386 | $8,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 6,835 | $8,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 500 | $8,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L206 | SPONSRED ADS NEW | 408 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 16,457 | $7,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 2,466 | $7,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 332 | $7,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 216 | $7,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 88 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 110 | $7,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,077 | $7,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 1,545 | $7,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 3,593 | $7,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,799 | $7,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 155 | $7,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 1,165 | $7,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 3,720 | $7,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 38,347 | $7,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 3,706 | $7,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 456 | $7,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 249 | $7,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 300 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 420 | $7,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $7,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 3,137 | $7,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,550 | $7,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 2,276 | $7,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 698 | $7,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 9,078 | $7,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 440 | $7,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 6,724 | $7,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 516 | $7,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 407 | $7,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,000 | $7,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 8,911 | $7,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 300 | $7,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 180 | $7,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 12,171 | $7,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E192 | GBL X MSCI PT ET | 878 | $7,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 551 | $7,000 | thousands by filing date | |
| PROSIGHT GLOBAL INC | 74349J103 | COM | 700 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 155 | $7,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 321 | $6,000 | thousands by filing date | |
| AMERICANRLTYINVSINC | 029174109 | STOK | 687 | $6,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 100 | $6,000 | thousands by filing date | put |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 598 | $6,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 106 | $6,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 90 | $6,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 1,107 | $6,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 280 | $6,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 811 | $6,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 281 | $6,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 901 | $6,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 918 | $6,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 2,895 | $6,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 279 | $6,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 5,695 | $6,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 1,000 | $6,000 | thousands by filing date | call |
| GNC HLDGS INC | 36191G107 | COM CL A | 13,963 | $6,000 | thousands by filing date | |
| ZYNEX INC | 98986M103 | COM | 570 | $6,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 8,172 | $6,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 3,285 | $6,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 193 | $6,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,648 | $6,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072505 | DIVERSIFIED MU | 113 | $6,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 99 | $6,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $6,000 | thousands by filing date | principal |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 411 | $6,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 69 | $6,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $6,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 290 | $6,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 1,404 | $6,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767769 | MSCI EMG EX CH | 315 | $6,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 31,196 | $6,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,522 | $6,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 594 | $6,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 582 | $6,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 748 | $6,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $6,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-010411 | superseded | 2020-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001567619-20-012198 | this filing | 2020-06-16 | acceptance time not in the bulk data set |