13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 7,032 holding rows worth $657,432,032,000.
- Accession
- 0001567619-20-015379
- Filer
- CIK 70858
- 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, 23,610 entries on the cover page, a total value of $657,432,032,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $657,432,032,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerBOFA SECURITIES, INC.028-19575
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
- included managerBanc of America Strategic Ventures, Inc.028-20096
- included managerBofA Securities Europe SA028-20099
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| REPOSITRAK INC | 700215304 | COMMON STOCK | 11,333 | $48,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 837 | $47,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 2,358 | $47,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 590 | $47,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 3,704 | $47,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 13,618 | $47,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 1,400 | $47,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 4,916 | $47,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 18,227 | $47,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 19,661 | $47,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 333 | $47,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 12,083 | $47,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 3,000 | $46,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 11,165 | $46,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 3,608 | $46,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 12,045 | $46,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 156,464 | $46,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 11,732 | $46,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 13,639 | $46,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 4,482 | $46,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 18,490 | $46,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 300 | $45,000 | thousands by filing date | put |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 5,618 | $45,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 10,360 | $45,000 | thousands by filing date | |
| FIRST EAGLE SENIOR LOAN FUND | 32010E100 | COM NEW | 3,646 | $45,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 5,252 | $45,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 4,170 | $45,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 8,500 | $45,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 2,850 | $45,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,157 | $45,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 3,529 | $45,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 21,518 | $45,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,611 | $45,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157306 | COM NEW | 39,215 | $45,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 3,530 | $44,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 4,209 | $44,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 11,066 | $44,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 6,096 | $44,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 20,191 | $44,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 2,181 | $44,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,741 | $44,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 2,190 | $44,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 2,415 | $44,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 4,165 | $44,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 2,706 | $43,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,591 | $43,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 5,140 | $43,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 588 | $43,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 48,328 | $42,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 11,108 | $42,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 4,679 | $42,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 35,687 | $42,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,435 | $42,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 21,120 | $42,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 5,071 | $42,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 4,054 | $42,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 9,561 | $42,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 119,532 | $42,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 24,208 | $41,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 1,430 | $41,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 19,580 | $41,000 | thousands by filing date | |
| FREEDOM HOLDING CORP | 356390104 | COM | 2,209 | $41,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 1,400 | $41,000 | thousands by filing date | put |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 3,444 | $41,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 4,535 | $41,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 5,090 | $41,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 3,597 | $41,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,257 | $41,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 7,500 | $41,000 | thousands by filing date | call |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 15,499 | $41,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 15,750 | $40,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 3,672 | $40,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 11,568 | $40,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,708 | $40,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 2,868 | $40,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 117,775 | $40,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 41,000 | $40,000 | thousands by filing date | principal |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 71,905 | $40,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 10,202 | $40,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 200 | $39,000 | thousands by filing date | put |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 805 | $39,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 1,046 | $39,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 1,670 | $39,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 1,620 | $39,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 16,050 | $39,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 39,900 | $39,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 57,726 | $39,000 | thousands by filing date | |
| RIVERNORTH MANAGED DUR MUN I | 76882H105 | COM | 2,200 | $38,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 9,015 | $38,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 3,693 | $38,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 8,190 | $38,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 11,214 | $38,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 32,160 | $38,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 7,834 | $38,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 2,846 | $38,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 500 | $37,000 | thousands by filing date | call |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 8,247 | $37,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 4,820 | $37,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 13,050 | $37,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 55,096 | $37,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS I | 88165N204 | COM NEW | 14,730 | $37,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 175,218 | $37,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 4,337 | $36,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 108 | $36,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 10,834 | $36,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,038 | $36,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 16,971 | $36,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 88,000 | $36,000 | thousands by filing date | principal |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,730 | $36,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 1,700 | $36,000 | thousands by filing date | call |
| DENISON MINES CORP | 248356107 | COM | 104,127 | $35,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 4,100 | $35,000 | thousands by filing date | |
| VROOM INC | 92918V109 | COM | 670 | $35,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 11,750 | $35,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 5,155 | $35,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 14,662 | $35,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,379 | $35,000 | thousands by filing date | |
| DOLPHIN ENTMT INC COM NEW | 25686H100 | Stock | 40,485 | $35,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 12,065 | $35,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 20,660 | $35,000 | thousands by filing date | principal |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,442 | $34,000 | thousands by filing date | |
| LARIMAR THERAPEUTICS INC | 517125100 | COM | 2,626 | $34,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 2,401 | $34,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 4,307 | $34,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 3,223 | $34,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 9,816 | $34,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,040 | $34,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 3,689 | $34,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,449 | $34,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 18,437 | $34,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 963 | $34,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 4,707 | $34,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 2,698 | $33,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,895 | $33,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 3,058 | $33,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 7,171 | $33,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 61,753 | $33,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 2,385 | $33,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 29,100 | $32,000 | thousands by filing date | |
| RAND CAP CORP COM NEW | 752185207 | CEF | 2,920 | $32,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 2,013 | $32,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,664 | $32,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 4,865 | $32,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 10,140 | $32,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 100 | $31,000 | thousands by filing date | put |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 3,642 | $31,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 25,000 | $31,000 | thousands by filing date | put |
| PAMT CORP | 693149106 | COMMON STOCK | 1,018 | $31,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 14,604 | $31,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 10,869 | $31,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 10,080 | $31,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 8,335 | $31,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 1,521 | $31,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 9,643 | $31,000 | thousands by filing date | |
| KENON HLDGS LTD SHS | Y46717107 | Stock | 1,541 | $30,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 3,367 | $30,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,244 | $30,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 7,132 | $30,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 19,812 | $30,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,129 | $30,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 3,900 | $30,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 10,112 | $30,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 451 | $30,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 2,200 | $29,000 | thousands by filing date | put |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 2,615 | $29,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 1,078 | $29,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 3,939 | $29,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 10,924 | $29,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 14,379 | $29,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 31,438 | $29,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,694 | $29,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 1,193 | $28,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 3,814 | $28,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 1,440 | $28,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,000 | $28,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 30,000 | $28,000 | thousands by filing date | principal |
| DIREXION DAILY S&P BIOTECH BEAR 3X SHARES | 25460E539 | ETF | 8,116 | $28,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,376 | $28,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 27,000 | $28,000 | thousands by filing date | principal |
| CANADIAN SOLAR INC | 136635109 | COM | 1,390 | $27,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 10,084 | $27,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 115 | $27,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,696 | $27,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 1,140 | $27,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 708 | $27,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 37,721 | $27,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 2,311 | $27,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 13,699 | $27,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 30,000 | $27,000 | thousands by filing date | principal |
| APTINYX INC | 03836N103 | COM | 6,435 | $27,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 4,000 | $27,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,175 | $27,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 59,520 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 27,000 | $27,000 | thousands by filing date | principal |
| KRAFT HEINZ CO COM | 500754106 | Stock | 800 | $26,000 | thousands by filing date | put |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 577 | $26,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 13,494 | $26,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 21,988 | $26,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 7,225 | $26,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 8,068 | $26,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 4,000 | $26,000 | thousands by filing date | principal |
| SUPERIOR INDS INTL INC | 868168105 | COM | 15,207 | $26,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,622 | $26,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 100 | $25,000 | thousands by filing date | put |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 2,220 | $25,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 4,683 | $25,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 475 | $25,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,677 | $25,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 13,068 | $25,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 30,000 | $25,000 | thousands by filing date | principal |
| EVELO BIOSCIENCES INC | 299734103 | COM | 5,171 | $25,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 4,545 | $25,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 16,830 | $25,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 6,321 | $25,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 1,594 | $24,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 780 | $24,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 130 | $24,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 2,612 | $24,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 2,678 | $24,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 1,082 | $24,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,678 | $24,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 321 | $24,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 2,605 | $24,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 7,535 | $24,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 11,567 | $24,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 6,029 | $24,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 8,076 | $24,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 3,700 | $24,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 17,679 | $23,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 5,046 | $23,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 5,515 | $23,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,000 | $23,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 11,950 | $23,000 | thousands by filing date | |
| ISHARES TR | 46435U184 | IBONDS 24 TRM HG | 1,000 | $23,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 16,639 | $23,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 11,781 | $22,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 15,792 | $22,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 1,378 | $22,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 782 | $22,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 613 | $22,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 6,205 | $22,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L647 | DEV MRK EX LOW | 929 | $22,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,190 | $22,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 6,600 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 729 | $22,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 2,686 | $22,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 300 | $21,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189H805 | RARE EAR STR ETF | 618 | $21,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 2,041 | $21,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,600 | $21,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 4,559 | $21,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 8,528 | $21,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,974 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 8,677 | $21,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 3,645 | $21,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 942 | $21,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 9,081 | $21,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 4,993 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 2,216 | $21,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 9,417 | $21,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 3,100 | $21,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 24,000 | $21,000 | thousands by filing date | principal |
| LATTICE STRATEGIES TR | 518416706 | Cmn | 775 | $21,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,125 | $20,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,449 | $20,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,295 | $20,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 9,294 | $20,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 303 | $20,000 | thousands by filing date | |
| DEXCOM INC | 252131AF4 | NOTE 0.750% 5/1 | 5,000 | $20,000 | thousands by filing date | principal |
| VISTRA CORP | 92840M128 | COM | 36,746 | $20,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 10,011 | $20,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 5,065 | $20,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 5,421 | $20,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 2,513 | $20,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 839 | $19,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 28,195 | $19,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 820 | $19,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 738 | $19,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y691 | CMN | 500 | $19,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 905 | $19,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 736 | $19,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 38,407 | $19,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 13,760 | $19,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 16,000 | $19,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 9,864 | $19,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 7,373 | $19,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 5,540 | $19,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 9,009 | $19,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 700 | $18,000 | thousands by filing date | put |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 956 | $18,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 400 | $18,000 | thousands by filing date | put |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,565 | $18,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,647 | $18,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 454 | $18,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 4,324 | $18,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 1,628 | $18,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,032 | $18,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $18,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 776 | $18,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 11,605 | $18,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 4,490 | $18,000 | thousands by filing date | |
| MID CON ENERGY PARTNERS LTD PARTNERSHIP NEW | 59560V208 | UNIT REPSTG LTD | 5,123 | $18,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 412 | $17,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 1,000 | $17,000 | thousands by filing date | call |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $17,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,200 | $17,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 2,248 | $17,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 931 | $17,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 8,850 | $17,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 7,855 | $17,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 5,290 | $17,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 17,000 | $17,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 18,000 | $17,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 19,000 | $17,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 5,628 | $17,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 6,000 | $17,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 7,859 | $17,000 | thousands by filing date | |
| TELIGENT INC NEW COM NEW | 87960W203 | COM | 7,086 | $17,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 300 | $16,000 | thousands by filing date | put |
| CARDINAL HEALTH INC | 14149Y108 | COM | 300 | $16,000 | thousands by filing date | call |
| TORM PLC SHS CL A | G89479102 | Stock | 2,382 | $16,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 7,611 | $16,000 | thousands by filing date | |
| CUSHING NEXTGEN INFRASTRUCTURE | 231647207 | COM | 538 | $16,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 5,055 | $16,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 1,226 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 630 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 410 | $16,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 77,972 | $16,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,300 | $15,000 | thousands by filing date | put |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 718 | $15,000 | thousands by filing date | |
| FLEX LNG LTD | G35947202 | SHS | 3,290 | $15,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,450 | $15,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 100 | $15,000 | thousands by filing date | call |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 200 | $15,000 | thousands by filing date | call |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 2,134 | $15,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 799 | $15,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO | 60871R100 | CL A | 302 | $15,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 2,016 | $15,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 16,000 | $15,000 | thousands by filing date | principal |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 5,000 | $15,000 | thousands by filing date | principal |
| SYNTAX ETF TR | 87166N205 | STRATIFIE MDCP | 586 | $15,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,684 | $15,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 3,000 | $15,000 | thousands by filing date | principal |
| POLARITYTE INC | 731094108 | COM | 12,087 | $15,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 26,360 | $15,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 100 | $14,000 | thousands by filing date | call |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,600 | $14,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 3,563 | $14,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 2,698 | $14,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,000 | $14,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N753 | TORTOISE GLOBAL | 465 | $14,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 16,000 | $14,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 14,000 | $14,000 | thousands by filing date | principal |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 6,226 | $14,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 12,000 | $14,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 3,775 | $14,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 17,169 | $14,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 11,300 | $14,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 5,887 | $14,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 7,114 | $14,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 20,000 | $14,000 | thousands by filing date | principal |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 20,000 | $14,000 | thousands by filing date | principal |
| ENDAVA PLC ADS | 29260V105 | ADR | 260 | $13,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 5,104 | $13,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 500 | $13,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 2,546 | $13,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 10,361 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 570 | $13,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 3,050 | $13,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 875 | $13,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 13,000 | $13,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 32,393 | $13,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 9,183 | $13,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 6,000 | $13,000 | thousands by filing date | principal |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 26,989 | $13,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 6,000 | $13,000 | thousands by filing date | principal |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,793 | $13,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 10,151 | $13,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 70,540 | $13,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 322 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E463 | FTSE INTL OVER | 284 | $13,000 | thousands by filing date | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 3,456 | $12,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 5,408 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 918 | $12,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 4,257 | $12,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 320 | $12,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,400 | $12,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 1,933 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 2,028 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 450 | $12,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 184 | $12,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 3,000 | $12,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 2,166 | $12,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 697 | $12,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 2,672 | $12,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,000 | $12,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 10,000 | $12,000 | thousands by filing date | principal |
| QUMU CORP | 749063103 | COM | 3,366 | $12,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 400 | $12,000 | thousands by filing date | |
| ProShares UltraPro Sht | 74347G408 | ETF | 1,560 | $12,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 5,164 | $12,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 9,875 | $12,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 6,689 | $12,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 5,556 | $12,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 3,583 | $12,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 348 | $12,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 3,019 | $12,000 | thousands by filing date | |
| ISHARES TR | 46435U226 | IBONDS 21 TRM HG | 500 | $12,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 4,000 | $12,000 | thousands by filing date | principal |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 200 | $11,000 | thousands by filing date | put |
| JETBLUE AWYS CORP | 477143101 | COM | 1,000 | $11,000 | thousands by filing date | call |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 1,907 | $11,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 13,901 | $11,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 800 | $11,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,002 | $11,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 1,921 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347B235 | PSHS SHORT DOW30 | 224 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y574 | ADAPTIVE US | 496 | $11,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $11,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 806 | $11,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $11,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K300 | COMMON STOCK | 13,024 | $11,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 10,822 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E521 | FUND | 320 | $11,000 | thousands by filing date | |
| B COMMUNICATIONS LTD | M15629104 | SHS | 5,468 | $11,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 14,000 | $11,000 | thousands by filing date | principal |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 5,511 | $11,000 | thousands by filing date | |
| DELMAR BANCORP | 247035207 | COM NEW | 1,760 | $11,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N106 | STRATIFD LRG CAP | 250 | $11,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 462 | $11,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 2,012 | $11,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 279 | $11,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 5,519 | $11,000 | thousands by filing date | |
| GWG HLDGS INC | 36192A109 | COM | 1,515 | $11,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 3,000 | $11,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 13,068 | $11,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 12,000 | $11,000 | thousands by filing date | principal |
| INDEXIQ ETF TR | 45409B552 | HDGD FTSE EURO | 607 | $11,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 100 | $10,000 | thousands by filing date | call |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,381 | $10,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,276 | $10,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,407 | $10,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 250 | $10,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 632 | $10,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 74,696 | $10,000 | thousands by filing date | principal |
| INNOVATOR ETFS TRUST | 45782C102 | mc | 290 | $10,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 6,000 | $10,000 | thousands by filing date | principal |
| MFA FINL INC | 55272XAA0 | BOND | 11,000 | $10,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 3,595 | $10,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 4,625 | $10,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 802 | $10,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 6,000 | $10,000 | thousands by filing date | principal |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 8,792 | $10,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 3,000 | $10,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E446 | PURBETA US AGG | 357 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| FTS INTERNATIONAL INC | 30283W203 | COM | 1,448 | $10,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189H888 | COAL ETF | 135 | $10,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 100 | $9,000 | thousands by filing date | call |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 100 | $9,000 | thousands by filing date | put |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 185 | $9,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 3,506 | $9,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,399 | $9,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,069 | $9,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 1,713 | $9,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,193 | $9,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R852 | NASDQ FOD BVRG | 446 | $9,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 4,000 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,202 | $9,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 51,200 | $9,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 6,015 | $9,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,688 | $9,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 8,000 | $9,000 | thousands by filing date | principal |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $9,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 3,400 | $9,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,000 | $9,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $9,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 3,000 | $9,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 894 | $9,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 397 | $9,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 8,000 | $9,000 | thousands by filing date | principal |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 5,400 | $9,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 2,854 | $9,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y301 | Cmn | 407 | $9,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 524 | $8,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 100 | $8,000 | thousands by filing date | put |
| GLOBAL X FDS | 37954Y392 | VDEO GAM ESPRT | 360 | $8,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 1,880 | $8,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,430 | $8,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,835 | $8,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 210 | $8,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 2,349 | $8,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 3,315 | $8,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 9,645 | $8,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T206 | COM NEW | 949 | $8,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 3,524 | $8,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 6,959 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 255 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 285 | $8,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 1,027 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-015379 | this filing | 2020-08-14 | acceptance time not in the bulk data set |