13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 7,097 holding rows worth $734,404,707,000.
- Accession
- 0001567619-20-019384
- Filer
- CIK 70858
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 24,194 entries on the cover page, a total value of $734,404,707,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $734,404,707,000 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 |
|---|---|---|---|---|---|---|
| MICROVISION INC DEL | 594960304 | COM NEW | 26,125 | $51,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 11,662 | $51,000 | thousands by filing date | |
| STATE STREET SPDR RUSSELL YIELD F | 78468R770 | ETF | 834 | $51,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 3,108 | $51,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 27,225 | $51,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 37,000 | $51,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 56,712 | $51,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 16,057 | $51,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 9,526 | $51,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 2,500 | $51,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 22,301 | $51,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 50,000 | $51,000 | thousands by filing date | principal |
| FREEDOM HOLDING CORP | 356390104 | COM | 2,093 | $50,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 9,004 | $50,000 | thousands by filing date | |
| FRANKLIN FTSE SOUTH KOREA ETF | 35473P710 | ETF | 2,181 | $50,000 | thousands by filing date | |
| ITEOS THERAPEUTICS INC | 46565G104 | COM | 2,026 | $50,000 | thousands by filing date | |
| ORGENESIS INC | 68619K204 | COM | 9,923 | $50,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 40,000 | $50,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 4,400 | $50,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 2,093 | $50,000 | thousands by filing date | |
| ISHARES TR | 46435U176 | IBONDS 22 TRM HG | 2,101 | $50,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 200 | $49,000 | thousands by filing date | call |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 1,885 | $49,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 7,339 | $49,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 580 | $49,000 | thousands by filing date | |
| BIGLARI HLDGS INC | 08986R408 | CMN | 101 | $49,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 4,290 | $49,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 5,199 | $49,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 27,027 | $49,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 1,996 | $48,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 2,356 | $48,000 | thousands by filing date | |
| NEVRO CORP | 64157FAC7 | NOTE 2.750% 4/0 | 31,000 | $48,000 | thousands by filing date | principal |
| ON DECK CAP INC | 682163100 | COM | 30,077 | $48,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 2,914 | $47,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 18,065 | $47,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R829 | S NETWRK E-COM | 1,758 | $47,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 168,142 | $47,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 8,618 | $47,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 3,567 | $47,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 7,464 | $47,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 1,400 | $46,000 | thousands by filing date | put |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 11,612 | $46,000 | thousands by filing date | |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 17,127 | $46,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G106 | COM | 5,999 | $46,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 1,564 | $45,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 7,000 | $45,000 | thousands by filing date | call |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 3,245 | $45,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 7,494 | $45,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 11,807 | $45,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 9,952 | $45,000 | thousands by filing date | |
| ISHARES TR | 46429B200 | CHINA SM-CAP ETF | 1,045 | $45,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 3,666 | $45,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 8,415 | $45,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 56,136 | $45,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,550 | $45,000 | thousands by filing date | |
| FORMA THERAPEUTICS HLDGS INC | 34633R104 | SHS | 903 | $45,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 588 | $45,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 23,562 | $44,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 4,065 | $44,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 4,492 | $44,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 5,257 | $44,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 13,896 | $44,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 61,000 | $44,000 | thousands by filing date | principal |
| AXCELLA HEALTH INC | 05454B105 | COM | 9,499 | $44,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 7,156 | $44,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 5,812 | $43,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 5,007 | $43,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,822 | $43,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 3,160 | $43,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 4,193 | $43,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 3,620 | $43,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,373 | $43,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 1,670 | $43,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 2,333 | $43,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 184,454 | $43,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 44,000 | $43,000 | thousands by filing date | principal |
| CLOROX CO DEL | 189054109 | COM | 200 | $42,000 | thousands by filing date | put |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 1,223 | $42,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N568 | USAA MSCI USA SM | 871 | $42,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 3,920 | $42,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 988 | $42,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 3,406 | $42,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 6,285 | $42,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 5,080 | $42,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 13,819 | $42,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,097 | $42,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 674 | $41,000 | thousands by filing date | |
| ORIC PHARMACEUTICALS INC | 68622P109 | COM | 1,651 | $41,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 6,378 | $41,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 3,612 | $41,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,143 | $41,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 9,625 | $41,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 2,618 | $40,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 3,254 | $40,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 8,239 | $40,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 76,269 | $40,000 | thousands by filing date | |
| NETSTREIT CORP | 64119V303 | COM | 2,153 | $39,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 29,192 | $39,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,837 | $39,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 8,001 | $39,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 8,528 | $39,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 12,843 | $39,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 9,472 | $39,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 3,370 | $39,000 | thousands by filing date | |
| DPW HLDGS INC COM | 26140E600 | Stock | 19,494 | $39,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 200 | $38,000 | thousands by filing date | call |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 978 | $38,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 32,385 | $38,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 10,569 | $38,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 32,160 | $38,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 19,350 | $38,000 | thousands by filing date | principal |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 5,481 | $38,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 3,343 | $37,000 | thousands by filing date | |
| RIVERNORTH MANAGED DUR MUN I | 76882H105 | COM | 2,200 | $37,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 4,325 | $37,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 3,612 | $37,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 1,872 | $37,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 3,941 | $37,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 1,016 | $37,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 3,550 | $37,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,730 | $37,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 14,662 | $37,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J216 | COM | 1,379 | $37,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 7,276 | $36,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 3,852 | $36,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 1,757 | $36,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 3,352 | $36,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 4,319 | $36,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,033 | $36,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 7,685 | $36,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,882 | $36,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 7,729 | $36,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 3,233 | $36,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 16,710 | $36,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 16,704 | $36,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 33,000 | $36,000 | thousands by filing date | principal |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 13,272 | $36,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 8,219 | $36,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 200 | $35,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 2,800 | $35,000 | thousands by filing date | call |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 1,796 | $35,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 854 | $35,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 9,795 | $35,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 115 | $35,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 1,781 | $35,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 7,495 | $35,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,678 | $35,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 6,379 | $35,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 5,107 | $35,000 | thousands by filing date | |
| ISHARES TR | 46435G508 | MSCI INTL SZE FT | 1,359 | $35,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 100 | $34,000 | thousands by filing date | put |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 2,416 | $34,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R502 | COM NEW | 3,646 | $34,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 1,786 | $34,000 | thousands by filing date | |
| ELECTRO-SENSORS INC | 285233102 | COM | 9,859 | $34,000 | thousands by filing date | |
| SWK HLDGS CORP | 78501P203 | COM NEW | 2,455 | $34,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 13,134 | $34,000 | thousands by filing date | |
| FAUQUIER BANKSHARES INC VA | 312059108 | COM | 2,261 | $34,000 | thousands by filing date | |
| SPDR INDEX SHS FDS EUR STOXX SMCP | 78463X392 | CEF | 567 | $34,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W458 | DAI SEM BUL ETF | 130 | $33,000 | thousands by filing date | |
| BIOHAVEN PHARMACEUTICAL HOLDIN | G11196105 | COM | 500 | $33,000 | thousands by filing date | call |
| HARROW INC | 415858109 | COM | 5,852 | $33,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 3,732 | $33,000 | thousands by filing date | |
| IF BANCORP INC | 44951J105 | COM | 2,151 | $33,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 2,426 | $33,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 40,577 | $33,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 599 | $33,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 76,728 | $32,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,686 | $32,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 3,170 | $32,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 664 | $32,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 20,789 | $32,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 2,730 | $32,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N105 | COM | 32,988 | $32,000 | thousands by filing date | |
| FLEX LNG LTD | G35947202 | SHS | 5,462 | $31,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 2,472 | $31,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 2,979 | $31,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,661 | $31,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 5,917 | $31,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 400 | $31,000 | thousands by filing date | |
| MOOG INC | 615394301 | CL B | 475 | $31,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 6,948 | $31,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 2,000 | $31,000 | thousands by filing date | call |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 3,000 | $31,000 | thousands by filing date | principal |
| FARMER BROS CO | 307675108 | COM | 6,870 | $31,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 10,000 | $31,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 14,736 | $31,000 | thousands by filing date | |
| JAMF HLDG CORP COM | 47074L105 | Stock | 786 | $30,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 14,296 | $30,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 1,778 | $30,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 1,193 | $30,000 | thousands by filing date | |
| ABRDN GLOBAL INFRA INCOME FU | 00326W106 | COM SHS BEN INT | 1,700 | $30,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 1,085 | $30,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,020 | $30,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 7,870 | $30,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 5,214 | $30,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 32,000 | $30,000 | thousands by filing date | principal |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 3,000 | $29,000 | thousands by filing date | put |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 3,667 | $29,000 | thousands by filing date | |
| RAND CAP CORP COM NEW | 752185207 | CEF | 2,580 | $29,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 1,436 | $29,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 10,290 | $29,000 | thousands by filing date | |
| DARIOHEALTH CORP | 23725P209 | COM | 1,709 | $29,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 1,828 | $29,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 1,591 | $29,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 1,150 | $29,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P751 | FTSE ITALY ETF | 1,388 | $29,000 | thousands by filing date | |
| INMUNE BIO INC | 45782T105 | COM | 2,700 | $28,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 2,340 | $28,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 30,000 | $28,000 | thousands by filing date | principal |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 2,714 | $28,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 28,000 | $27,000 | thousands by filing date | call |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 10,164 | $27,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 900 | $27,000 | thousands by filing date | call |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 1,162 | $27,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 39,492 | $27,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 318 | $27,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 1,077 | $27,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 3,354 | $27,000 | thousands by filing date | |
| ALLOVIR INC | 019818103 | COM | 999 | $27,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 17,005 | $27,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 4,133 | $27,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06741JS59 | MTNF 5/2 | 27,000 | $27,000 | thousands by filing date | principal |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 2,065 | $26,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 19,677 | $26,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,217 | $26,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 4,183 | $26,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 2,147 | $26,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 28,696 | $26,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 1,267 | $26,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,400 | $26,000 | thousands by filing date | |
| Pershing Square T 25 WTS Warrants Exp 07/24/25 | 71531R117 | WT | 3,568 | $26,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 2,063 | $25,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 4,923 | $25,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 4,100 | $25,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 1,975 | $25,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 5,000 | $25,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 10,022 | $25,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L647 | DEV MRK EX LOW | 1,012 | $25,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 25,649 | $25,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 4,218 | $24,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 1,972 | $24,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 4,398 | $24,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,506 | $24,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 1,237 | $24,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,987 | $24,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 2,000 | $24,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 6,836 | $24,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 6,839 | $24,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 25,000 | $24,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 5,862 | $24,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,021 | $24,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 25,000 | $24,000 | thousands by filing date | principal |
| BERKELEY LTS INC | 084310101 | COM | 301 | $23,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 578 | $23,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223305 | CL B | 725 | $23,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 1,359 | $23,000 | thousands by filing date | |
| REPLIGEN CORP | 759916AB5 | BOND | 16,000 | $23,000 | thousands by filing date | principal |
| EVELO BIOSCIENCES INC | 299734103 | COM | 4,308 | $23,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 15,000 | $23,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,555 | $23,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 2,113 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 400 | $22,000 | thousands by filing date | put |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 1,647 | $22,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 8,162 | $22,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 2,843 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 1,319 | $22,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 12,759 | $22,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,612 | $21,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 5,046 | $21,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 981 | $21,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 17,490 | $21,000 | thousands by filing date | |
| VISTRA CORP | 92840M128 | COM | 36,746 | $21,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 13,902 | $21,000 | thousands by filing date | |
| Sequential Brands Group Inc(NV) | 81734P206 | CS | 4,551 | $21,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 543 | $21,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 2,159 | $20,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 7,984 | $20,000 | thousands by filing date | |
| VALUE LINE INC | 920437100 | COMMON STOCK | 810 | $20,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 2,342 | $20,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 7,526 | $20,000 | thousands by filing date | |
| CAPITAL BANCORP INC MD | 139737100 | COMMON STOCK | 2,169 | $20,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 630 | $20,000 | thousands by filing date | |
| PROSHARES TR | 74347B565 | CMN | 282 | $20,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 2,313 | $20,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 18,482 | $20,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 5,667 | $20,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 6,200 | $20,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 2,699 | $20,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 6,311 | $20,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 776 | $20,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 300 | $19,000 | thousands by filing date | put |
| CLEARPOINT NEURO INC | 18507C103 | COM | 3,471 | $19,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 17,454 | $19,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 1,512 | $19,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 1,369 | $19,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 1,629 | $19,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 13,769 | $19,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 900 | $19,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 2,400 | $19,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 4,850 | $19,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 4,000 | $19,000 | thousands by filing date | principal |
| EXICURE INC | 30205M101 | COM | 10,758 | $19,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 6,082 | $19,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 1,726 | $19,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 5,297 | $19,000 | thousands by filing date | |
| AMERICAN PULP EXCHANGE INC | 03755m300 | COM | 3,106 | $19,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $18,000 | thousands by filing date | |
| LOOP INDS INC | 543518104 | COM | 1,300 | $18,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,873 | $18,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,168 | $18,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 8,245 | $18,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 1,898 | $18,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 2,756 | $18,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 1,538 | $18,000 | thousands by filing date | |
| BOGOTA FINL CORP | 097235105 | COM | 2,347 | $18,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,895 | $18,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 10,590 | $18,000 | thousands by filing date | |
| Axonics | 88875G101 | COM | 5,550 | $18,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 621 | $18,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 3,117 | $18,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 1,580 | $18,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 2,920 | $17,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,200 | $17,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,623 | $17,000 | thousands by filing date | |
| ONITY GROUP INC | 675746606 | COMMON STOCK | 785 | $17,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 3,347 | $17,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 2,830 | $17,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 1,240 | $17,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 8,677 | $17,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 18,000 | $17,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 14,000 | $17,000 | thousands by filing date | principal |
| HC2 HLDGS INC | 404139107 | COM | 7,154 | $17,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORD ADS NEW | 16965P202 | ADR | 818 | $16,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 738 | $16,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,450 | $16,000 | thousands by filing date | |
| ALPINE INCOME PROPERTY TRUST | 02083X103 | REIT | 1,009 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G300 | S&P SMLCAP QTY | 629 | $16,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,484 | $16,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 2,892 | $16,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 607 | $16,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 290 | $16,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 303 | $16,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 10,922 | $16,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 12,242 | $16,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 12,174 | $15,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 718 | $15,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 1,000 | $15,000 | thousands by filing date | call |
| CUSHING NEXTGEN INFRASTRUCTURE | 231647207 | COM | 550 | $15,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 2,338 | $15,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 2,982 | $15,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 100,408 | $15,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 11,999 | $15,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 7,101 | $15,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 15,000 | $15,000 | thousands by filing date | principal |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 6,000 | $15,000 | thousands by filing date | principal |
| CARDINAL HEALTH INC | 14149Y108 | COM | 300 | $14,000 | thousands by filing date | call |
| PLIANT THERAPEUTICS INC | 729139105 | COM | 623 | $14,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 5,575 | $14,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 3,919 | $14,000 | thousands by filing date | |
| BANK7 CORP | 06652N107 | COMMON STOCK | 1,540 | $14,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 4,824 | $14,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 1,039 | $14,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 638 | $14,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 875 | $14,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 90,716 | $14,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 5,281 | $14,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 1,500 | $14,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $14,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 5,842 | $14,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 5,245 | $14,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 8,367 | $14,000 | thousands by filing date | |
| LIMESTONE BANCORP INC | 53262L105 | COM | 1,367 | $14,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 5,301 | $14,000 | thousands by filing date | |
| INTERCORP FINL SVCS INC | P5626F128 | SHS | 550 | $13,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 5,250 | $13,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 1,502 | $13,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 4,915 | $13,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 9,981 | $13,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 1,071 | $13,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 570 | $13,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 3,414 | $13,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 4,055 | $13,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 4,965 | $13,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 10,238 | $13,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,181 | $13,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 1,568 | $13,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 3,183 | $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 MNG CORP | 731916409 | COM | 3,439 | $13,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,404 | $13,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E547 | DAILY MSCI EMERG | 725 | $13,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 14,000 | $13,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 400 | $13,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 5,735 | $13,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 6,000 | $13,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 5,999 | $13,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 2,100 | $13,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 5,328 | $13,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 8,000 | $13,000 | thousands by filing date | principal |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 2,699 | $13,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 1,382 | $12,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 3,779 | $12,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 1,003 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 918 | $12,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 320 | $12,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 934 | $12,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 12,964 | $12,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 5,173 | $12,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 286 | $12,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 3,818 | $12,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 140 | $12,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,922 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 500 | $12,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 6,019 | $12,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 310 | $12,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 28,390 | $12,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 487 | $12,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 3,084 | $12,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,048 | $12,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 6,000 | $12,000 | thousands by filing date | principal |
| RESONANT INC | 76118L102 | COM | 4,842 | $12,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 279 | $12,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 311 | $12,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 1,956 | $12,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 100 | $11,000 | thousands by filing date | put |
| PMV PHARMACEUTICALS INC | 69353Y103 | COM | 300 | $11,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 806 | $11,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,064 | $11,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 5,272 | $11,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 5,709 | $11,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 3,993 | $11,000 | thousands by filing date | |
| PROSHARES TR | 74347G309 | ULTRAPRO DOW 30 | 600 | $11,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 4,000 | $11,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 4,978 | $11,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 4,428 | $11,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 4,177 | $11,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 2,012 | $11,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 4,000 | $11,000 | thousands by filing date | principal |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 1,173 | $11,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 100 | $10,000 | thousands by filing date | put |
| SUMMIT THERAPEUTICS INC | 86627T108 | COM | 3,000 | $10,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 2,226 | $10,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 416 | $10,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,193 | $10,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,648 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 444 | $10,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 350 | $10,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $10,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 10,822 | $10,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,516 | $10,000 | thousands by filing date | |
| KENSINGTON CAP ACQUISITION C | 490073103 | COM CL A | 590 | $10,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 3,000 | $10,000 | thousands by filing date | principal |
| EXCELLON RES INC F | 30069C801 | FOREIGN CANADIAN | 3,279 | $10,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 4,371 | $10,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 7,054 | $10,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,000 | $10,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 10,007 | $10,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 6,183 | $10,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 4,550 | $10,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W408 | COM NEW | 1,836 | $10,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 6,024 | $10,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 2,956 | $10,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 6,000 | $10,000 | thousands by filing date | principal |
| MONGODB INC | 60937PAB2 | NOTE | 3,000 | $10,000 | thousands by filing date | principal |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 3,430 | $10,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 3,001 | $9,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 300 | $9,000 | thousands by filing date | call |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 300 | $9,000 | thousands by filing date | put |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,172 | $9,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 6,231 | $9,000 | thousands by filing date | |
| VASTA PLATFORM LTD CL A | G9440A109 | Stock | 579 | $9,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,354 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 210 | $9,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 4,011 | $9,000 | thousands by filing date | |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,200 | $9,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 695 | $9,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 98,972 | $9,000 | thousands by filing date | principal |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 3,797 | $9,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 313 | $9,000 | thousands by filing date | |
| AMESITE INC | 031094105 | COM | 2,000 | $9,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 500 | $9,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 2,100 | $9,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 7,390 | $9,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,000 | $9,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 397 | $9,000 | thousands by filing date | |
| SOCIAL CAP HDOSPHIA HLDG CO | G8250T109 | SHS CL A | 500 | $9,000 | thousands by filing date | |
| THERMOGENESIS HLDGS INC | 88362L100 | COM | 3,196 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 200 | $9,000 | thousands by filing date | |
| CONTURA ENERGY INC | 21241B100 | COM | 1,267 | $9,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 1,793 | $9,000 | thousands by filing date | |
| FIVE9 INC | 338307AB7 | NOTE 0.125% 5/0 | 3,000 | $9,000 | thousands by filing date | principal |
| COUNTY BANCORP INC | 221907108 | COM | 505 | $9,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 2,150 | $9,000 | thousands by filing date | |
| BCTG ACQUISITION CORP | 05492W103 | COM | 832 | $9,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 200 | $8,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 8,206 | $8,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 500 | $8,000 | thousands by filing date | put |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 145 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-019384 | this filing | 2020-11-13 | acceptance time not in the bulk data set |