13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 6,844 holding rows worth $252,020,047,000.
- Accession
- 0001567619-20-015317
- Filer
- CIK 1000275
- Filed
- 2020-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 24,698 entries on the cover page, a total value of $252,020,047,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $252,020,047,000 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 |
|---|---|---|---|---|---|---|
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,618 | $25,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 3,485 | $25,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 35,053 | $25,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P107 | mc | 430 | $25,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 933 | $24,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 782 | $24,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,729 | $24,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 2,765 | $24,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 8,978 | $24,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,149 | $24,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,668 | $24,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 338 | $24,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 3,802 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 2,420 | $24,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y806 | ALTERNATIVE INCM | 2,217 | $24,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 4,481 | $24,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $24,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 3,636 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 1,394 | $24,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 12,933 | $24,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 8,140 | $24,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 14,725 | $24,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 997 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 969 | $24,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,332 | $24,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 2,200 | $24,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 8,616 | $24,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 695 | $24,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 600 | $24,000 | thousands by filing date | |
| APEX GLOBAL BRANDS INC | 03755M201 | COM NEW | 21,300 | $24,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 6,000 | $24,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 1,321 | $24,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 412 | $23,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 2,039 | $23,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 2,319 | $23,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 1,542 | $23,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,500 | $23,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 1,040 | $23,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 2,532 | $23,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 450 | $23,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 1,510 | $23,000 | thousands by filing date | |
| MASTECH HLDGS INC | 57633B100 | COM | 890 | $23,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 7,406 | $23,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 8,000 | $23,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,377 | $23,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 25,700 | $23,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 3,000 | $23,000 | thousands by filing date | |
| VIVUS INC | 928551308 | COM NEW | 27,499 | $23,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,147 | $23,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 32,926 | $23,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 15,557 | $23,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 200 | $22,000 | thousands by filing date | call |
| FRANCHISE GROUP INC | 35180X105 | COM | 1,000 | $22,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 400 | $22,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,635 | $22,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,565 | $22,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 94,137 | $22,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 1,125 | $22,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 6,411 | $22,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 468 | $22,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 43,100 | $22,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 2,237 | $22,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 8,620 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,075 | $22,000 | thousands by filing date | |
| YUNHONG INTL | G98882114 | UNIT 99/99/9999 | 2,223 | $22,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 300 | $21,000 | thousands by filing date | put |
| H WORLD GROUP LTD SPONSORED ADS | 44332N106 | ADR | 613 | $21,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 2,060 | $21,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,450 | $21,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 6,158 | $21,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 6,741 | $21,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 1,538 | $21,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 750 | $21,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 304 | $21,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,975 | $21,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 23,000 | $21,000 | thousands by filing date | principal |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 900 | $21,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 8,300 | $21,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 28,524 | $21,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 1,000 | $21,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D124 | UNIT 12/31/2026 | 2,050 | $21,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION C | 34962V205 | UNIT 99/99/9999 | 2,018 | $21,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 1,958 | $20,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 1,279 | $20,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 2,654 | $20,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,820 | $20,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 1,828 | $20,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 4,681 | $20,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 1,345 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR FTSE TAIWAN | 35473P686 | FTSE TAIWAN | 700 | $20,000 | thousands by filing date | |
| THE BALDWIN INSURANCE GRP IN | 05589G102 | COM CL A | 1,139 | $20,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES SWISS | 46138R108 | SWISS FRANC | 204 | $20,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 7,500 | $20,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 707 | $20,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,125 | $20,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 8,427 | $20,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P405 | CMN | 663 | $20,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 900 | $20,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 1,340 | $20,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 661 | $20,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 128,706 | $20,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 31,207 | $20,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,000 | $20,000 | thousands by filing date | |
| CHINA BIOLOGIC PRODS HLDGS I | G21515104 | COM | 200 | $20,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 10,411 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,000 | $20,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G205 | UNIT 10/24/2024 | 1,919 | $20,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 1,757 | $19,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,837 | $19,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 260 | $19,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 1,000 | $19,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,794 | $19,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,750 | $19,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 886 | $19,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,223 | $19,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $19,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 951 | $19,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 3,820 | $19,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 15,329 | $19,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 24,019 | $19,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 5,005 | $19,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 26,118 | $19,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II VCSHS EMRG VOLTY | 92647N857 | CEF | 868 | $19,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,736 | $18,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 2,108 | $18,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 2,529 | $18,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 2,629 | $18,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,801 | $18,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 750 | $18,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 570 | $18,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 407 | $18,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 6,000 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 357 | $18,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 2,153 | $18,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 34,192 | $18,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 1,500 | $18,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 8,130 | $18,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 35,602 | $18,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 3,200 | $18,000 | thousands by filing date | |
| INNOVATOR ETFS TR II | 45783G201 | S&P INVSTMNT GRD | 765 | $18,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 1,574 | $18,000 | thousands by filing date | |
| DELMAR BANCORP | 247035207 | COM NEW | 2,719 | $18,000 | thousands by filing date | |
| ARTARA THERAPEUTICS INC | 04300J107 | COM | 600 | $18,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 6,974 | $17,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 208 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 323 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 795 | $17,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 4,585 | $17,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 1,306 | $17,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 2,376 | $17,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 457 | $17,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 4,222 | $17,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,698 | $17,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y319 | CMN | 850 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B391 | CMN | 578 | $17,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 629 | $17,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 2,302 | $17,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 3,055 | $17,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 1,152 | $17,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L811 | COM | 888 | $17,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 21,827 | $17,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 5,014 | $17,000 | thousands by filing date | |
| PACER FDS TR | 69374H758 | BIOTHREAT STRGY | 678 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,338 | $17,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 420 | $17,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,235 | $17,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 31,738 | $17,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 461 | $16,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 1,097 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 900 | $16,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C300 | US EQT ULTRA BF | 592 | $16,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,415 | $16,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,500 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L207 | CMN | 1,112 | $16,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 1,900 | $16,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 692 | $16,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 6,610 | $16,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 18,507 | $16,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 1,205 | $16,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 1,800 | $16,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 1,500 | $16,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 8,269 | $15,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 310 | $15,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 1,894 | $15,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A607 | SOYBEAN FD | 1,100 | $15,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $15,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 4,039 | $15,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 2,523 | $15,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 784 | $15,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 986 | $15,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 2,256 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,210 | $15,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 811 | $15,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,734 | $15,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 804 | $15,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 1,871 | $15,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 600 | $15,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 2,000 | $15,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 1,174 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 800 | $15,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $15,000 | thousands by filing date | principal |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 4,579 | $15,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 5,400 | $15,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 7,643 | $15,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,500 | $15,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 575 | $15,000 | thousands by filing date | |
| GENETRON HLDGS LTD | 37186H100 | ADS | 1,212 | $15,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W622 | INOVATIV HLTCR | 500 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 564 | $15,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 1,352 | $14,000 | thousands by filing date | |
| TIMOTHY PLAN US LARGE/MID CAP CORE ETF | 887432359 | ETF | 572 | $14,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 1,065 | $14,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 500 | $14,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A446 | OPUS SML CP VL | 634 | $14,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 493 | $14,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 180 | $14,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 1,219 | $14,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 5,230 | $14,000 | thousands by filing date | |
| CAPRICOR THERAPEUTICS INC | 14070B309 | COMMON STOCK | 3,025 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 812 | $14,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 602 | $14,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 402 | $14,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 2,729 | $14,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 960 | $14,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 1,707 | $14,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 2,267 | $14,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 340 | $14,000 | thousands by filing date | |
| QAD INC-B | 74727D207 | Common | 511 | $14,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 1,615 | $14,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 14,954 | $14,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 500 | $14,000 | thousands by filing date | principal |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 921 | $14,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C109 | COM CL A | 1,448 | $14,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 682 | $13,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 4,597 | $13,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 25,459 | $13,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 1,053 | $13,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 5,171 | $13,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 715 | $13,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 440 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 875 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 240 | $13,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A128 | ST STR SP1500VT | 130 | $13,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 3,150 | $13,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 1,208 | $13,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 2,555 | $13,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 607 | $13,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,000 | $13,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 1,100 | $13,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 19,991 | $13,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,050 | $13,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 10,784 | $13,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $13,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 475 | $13,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 764 | $13,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 5,309 | $13,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 5,444 | $13,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 6,003 | $13,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P206 | mc | 263 | $13,000 | thousands by filing date | |
| ISHARES TR | 46435G805 | MSCI MEXICO | 901 | $13,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,616 | $12,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 723 | $12,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 268 | $12,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 1,591 | $12,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 941 | $12,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L607 | MULTI SEC MUNI | 562 | $12,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 310 | $12,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 1,750 | $12,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,545 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X271 | DYNAMIC INTL SML | 447 | $12,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 400 | $12,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 4,196 | $12,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 211 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 548 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E648 | GBL X FTSE ETF | 1,003 | $12,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 598 | $12,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,174 | $12,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 200 | $12,000 | thousands by filing date | principal |
| AVID BIOSERVICES INC | 05368M106 | COM | 1,647 | $12,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 357 | $12,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,104 | $12,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 400 | $12,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 2,500 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 452 | $12,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 301 | $12,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,277 | $12,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 495 | $12,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,951 | $12,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $12,000 | thousands by filing date | principal |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 18,979 | $12,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II | 05600U205 | UNIT 99/99/9999 | 1,000 | $12,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 7,293 | $11,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,183 | $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 | 424 | $11,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 6,524 | $11,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,122 | $11,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 1,000 | $11,000 | thousands by filing date | call |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,000 | $11,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W648 | U.S. TECH INDEPD | 295 | $11,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 425 | $11,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 2,290 | $11,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 9,267 | $11,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 125 | $11,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 397 | $11,000 | thousands by filing date | |
| SEMILEDS CORP | 816645204 | COM NEW | 3,020 | $11,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 20,492 | $11,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,500 | $11,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 1,487 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 556 | $11,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 8,944 | $11,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 1,450 | $11,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 894 | $11,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 385 | $11,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 9,000 | $11,000 | thousands by filing date | principal |
| TRANSAMERICA ETF TR | 89349P305 | mc | 232 | $11,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 4,717 | $11,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 500 | $11,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 390 | $10,000 | thousands by filing date | |
| ZAI LAB LTD ADR | 98887Q104 | ADR | 125 | $10,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 1,397 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 175 | $10,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 250 | $10,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 1,486 | $10,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 1,205 | $10,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,124 | $10,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 408 | $10,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 11,338 | $10,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 1,100 | $10,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 332 | $10,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 2,866 | $10,000 | thousands by filing date | |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 500 | $10,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 2,409 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 363 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 268 | $10,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 12,502 | $10,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $10,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 3,092 | $10,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 1,300 | $10,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,000 | $10,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 2,131 | $10,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 13,549 | $10,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 4,125 | $10,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 5,371 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 460 | $10,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,754 | $10,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 2,616 | $10,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 284 | $10,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 5,460 | $10,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 12,963 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 301 | $10,000 | thousands by filing date | |
| SCVX CORP U | G79448109 | COM | 943 | $10,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 13,157 | $10,000 | thousands by filing date | |
| Avantis International Small Cap Val ETF | 025072802 | SHS | 199 | $9,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 100 | $9,000 | thousands by filing date | put |
| BILL HOLDINGS INC | 090043100 | COM | 100 | $9,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 500 | $9,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 532 | $9,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 840 | $9,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 3,800 | $9,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 100 | $9,000 | thousands by filing date | put |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 81 | $9,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 110 | $9,000 | thousands by filing date | |
| TRANSCONTINENTAL RLTY INVS | 893617209 | COM NEW | 294 | $9,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 700 | $9,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 3,128 | $9,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,739 | $9,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 304 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 300 | $9,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 7,293 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 200 | $9,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,100 | $9,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 3,058 | $9,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 1,550 | $9,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 3,162 | $9,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 32,605 | $9,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 5,000 | $9,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 2,653 | $9,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,094 | $9,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 300 | $9,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 11,954 | $9,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 1,700 | $9,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 927 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E705 | CHINA INDL ETF | 705 | $9,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 2,000 | $9,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 18,377 | $9,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 400 | $9,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $9,000 | thousands by filing date | principal |
| FSD PHARMA INC | 35954B206 | CL B SUB VTG | 2,339 | $9,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 5,772 | $9,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 2,660 | $9,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 400 | $9,000 | thousands by filing date | |
| TRANSAMERICA ETF TR | 89349P404 | mc | 196 | $9,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 11,891 | $9,000 | thousands by filing date | |
| DFP HEALTHCARE ACQUISITNS CO | 23343Q209 | UNIT 03/31/2025 | 882 | $9,000 | thousands by filing date | |
| Amplitude Inc | 03212A204 | Class A Common | 856 | $9,000 | thousands by filing date | |
| SPDR S&P North American Natural Resources ETF | 78463X152 | SHS | 267 | $8,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 100 | $8,000 | thousands by filing date | put |
| SITIME CORP COM | 82982T106 | Stock | 152 | $8,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 1,600 | $8,000 | thousands by filing date | |
| FB FINL CORP | 30257X104 | COM | 321 | $8,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,493 | $8,000 | thousands by filing date | |
| VanEck Vectors Energy Inc | 92189H870 | ENERGY INCOME | 199 | $8,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 7,681 | $8,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 7,656 | $8,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,825 | $8,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 120 | $8,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 564 | $8,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,022 | $8,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 340 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 411 | $8,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,690 | $8,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y327 | GLBX MSCI COLUM | 355 | $8,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,400 | $8,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 290 | $8,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 456 | $8,000 | thousands by filing date | |
| GENERATION BIO CO | 37148K100 | COM | 400 | $8,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 9,000 | $8,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 16,511 | $8,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 2,313 | $8,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 803 | $8,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 966 | $8,000 | thousands by filing date | |
| COLLPLANT BIOTECHNOLOGIES LTD SHS NEW | 19516R107 | Stock | 836 | $8,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 1,022 | $8,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,872 | $8,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 12,742 | $8,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L469 | 2 YR TREAS BULL | 100 | $8,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 2,000 | $8,000 | thousands by filing date | principal |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 300 | $8,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 10,970 | $8,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 17,500 | $8,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 4,000 | $8,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 615 | $8,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M503 | COM NEW | 1,690 | $8,000 | thousands by filing date | |
| ETF SER SOLUTIONS SALT HIG TRUBT | 26922A479 | Stock | 300 | $8,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 808 | $8,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 351 | $7,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 4,409 | $7,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 61 | $7,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 561 | $7,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 840 | $7,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $7,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 2,584 | $7,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 325 | $7,000 | thousands by filing date | |
| ISHARES TR | 46435G219 | INVESTMENT GRADE | 137 | $7,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 484 | $7,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 1,895 | $7,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 525 | $7,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 529 | $7,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 310 | $7,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 125 | $7,000 | thousands by filing date | principal |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 720 | $7,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $7,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 500 | $7,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 4,622 | $7,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 2,143 | $7,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767769 | MSCI EMG EX CH | 315 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X812 | INDXX GLOBAL AGR | 372 | $7,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 2,161 | $7,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 3,505 | $7,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,581 | $7,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 388 | $7,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 1,443 | $7,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 594 | $7,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $7,000 | thousands by filing date | principal |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 459 | $7,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 3,000 | $7,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 4,000 | $7,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 6,000 | $7,000 | thousands by filing date | principal |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 2,000 | $7,000 | thousands by filing date | principal |
| EVANS BANCORP INC | 29911Q208 | COM | 287 | $7,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 2,271 | $7,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 757 | $7,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 772 | $7,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 600 | $7,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 500 | $7,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 5,306 | $7,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 602 | $7,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 324 | $7,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 1,432 | $7,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 2,603 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430271 | MANUFCTING REVL | 115 | $7,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 546 | $6,000 | thousands by filing date | |
| VAXCYTE INC COM | 92243G108 | Stock | 200 | $6,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 500 | $6,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 348 | $6,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 1,036 | $6,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 88 | $6,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,141 | $6,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 909 | $6,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 2,166 | $6,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 232 | $6,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 2,071 | $6,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072505 | DIVERSIFIED MU | 113 | $6,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 5,181 | $6,000 | thousands by filing date | |
| Gaotu Techedu Inc | 36257Y109 | COM | 100 | $6,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 568 | $6,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F379 | CHINA BOND ETF | 259 | $6,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542109 | COMMON STOCK | 320 | $6,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 3,511 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-015317 | this filing | 2020-08-14 | acceptance time not in the bulk data set |