13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 6,897 holding rows worth $280,381,917,000.
- Accession
- 0001567619-20-019770
- Filer
- CIK 1000275
- Filed
- 2020-11-16
- 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, 24,451 entries on the cover page, a total value of $280,381,917,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $280,381,917,000 with VALUE read as thousands by filing date, 13F file number 028-11396. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerRBC Global Asset Management Inc.028-14116
- included managerRBC CMA LLC028-11273
- included managerRBC Capital Markets, LLC028-04069
- included managerRBC Global Asset Management (U.S.)028-10228
- included managerRBC Dominion Securities Inc.028-11322
- included managerBlueBay Asset Management LLP028-12524
- included managerRBC Phillips, Hager & North Investment Counsel Inc.028-11271
- included managerRBC Private Counsel (USA) Inc.028-11454
- included managerROYAL TRUST CORP OF CANADA/028-11393
- included managerRBC TRUSTEES (Jersey) LTD028-13008
- included managerRBC cees Trustee LTD028-11601
- included managerRBC Trust Co (International) Ltd028-13471
- included managerRBC Trust Co (Delaware) Ltd028-13779
- included managerRBC GLOBAL ASSET MANAGEMENT (UK) Ltd028-16409
- included managerRBC Investment Solutions (CI) LTD028-12564
- included managerCITY NATIONAL BANK028-04805
- included managerCITY NATIONAL ROCHDALE, LLC028-05392
- included managerLMCG INVESTMENTS, LLC028-13608
- included managerMID CONTINENT CAPITAL LLC/IL028-05684
- included managerSymphonic Financial Advisors LLC028-12672
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
- included managerAMG Funds LLC028-11395
- included managerUBS ASSET MANAGEMENT AMERICAS INC028-02682
- included managerRBC Dominion Securities Global Ltd028-17163
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerENVESTNET ASSET MANAGEMENT INC028-13411
- included managerAlaska Permanent Fund Corp028-20231
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 9,623 | $96,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P498 | ETN LKD 48 | 2,800 | $96,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 1,290 | $95,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 9,915 | $95,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 400 | $95,000 | thousands by filing date | call |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 5,000 | $95,000 | thousands by filing date | put |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 5,000 | $95,000 | thousands by filing date | call |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 2,268 | $95,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F866 | AFRICA INDEX ETF | 5,438 | $95,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 8,695 | $95,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N106 | STRATIFD LRG CAP | 1,957 | $95,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 33 | $94,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 11,276 | $94,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 1,957 | $94,000 | thousands by filing date | |
| GRANITESHARES ETF TR | 38747R603 | CMN | 2,913 | $94,000 | thousands by filing date | |
| DBX ETF TR | 233051218 | XTRACKERS MSCI | 3,667 | $94,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 18,632 | $93,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 22,160 | $92,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 1,152 | $92,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 11,875 | $92,000 | thousands by filing date | |
| ACCOLADE INC | 00437E102 | COM | 2,362 | $92,000 | thousands by filing date | |
| JFROG LTD ORD SHS | M6191J100 | Stock | 1,077 | $91,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 7,942 | $91,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,460 | $91,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 16,613 | $91,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 6,506 | $91,000 | thousands by filing date | |
| ZOVIO INC | 98979V102 | COMMON STOCK | 22,737 | $91,000 | thousands by filing date | |
| COUPA SOFTWARE INC | 22266LAC0 | NOTE 0.125% 6/1 | 50,000 | $91,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06746P589 | FUND | 2,105 | $91,000 | thousands by filing date | |
| BBX CAP CORP NEW | 05491N302 | CL A | 6,820 | $91,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q544 | RIVERFRONT UNC | 3,618 | $91,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 7,900 | $91,000 | thousands by filing date | |
| CLEANSPARK INC | 18452B209 | COM NEW | 7,215 | $90,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 2,340 | $90,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 3,600 | $90,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 33,600 | $90,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 4,855 | $90,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 3,107 | $90,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 19,872 | $89,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 11,615 | $89,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 7,223 | $89,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 19,768 | $88,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 16,500 | $88,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 8,536 | $88,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 9,320 | $88,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 9,326 | $88,000 | thousands by filing date | |
| NULL | 301505749 | NULL | 3,007 | $88,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 7,762 | $87,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 2,282 | $87,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,780 | $87,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 1,242 | $87,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 3,294 | $86,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 2,310 | $86,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 2,300 | $86,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 6,500 | $86,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 9,400 | $86,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 16,737 | $86,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR | 427825500 | PR SHS BEN INT | 15,479 | $86,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 3,398 | $86,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 1,729 | $86,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 12,433 | $85,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 4,221 | $85,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 2,515 | $85,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 7,132 | $85,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 41,870 | $85,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A628 | POINT BRIDGE AMR | 3,348 | $85,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 19,707 | $85,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 6,903 | $85,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 11,675 | $85,000 | thousands by filing date | |
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 1,300 | $85,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 6,500 | $85,000 | thousands by filing date | |
| DIREXION ZACKS MLP HIGH INCOME | 25460g799 | INDX FD | 1,681 | $85,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 3,558 | $84,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 4,996 | $84,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 7,700 | $84,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y772 | AGING POPUL ETF | 3,257 | $84,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 4,002 | $84,000 | thousands by filing date | |
| LISTED FD TR | 53656F607 | COM | 2,750 | $83,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 5,785 | $83,000 | thousands by filing date | |
| GOHEALTH INC | 38046W105 | COM CL A | 6,376 | $83,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 3,005 | $82,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 2,000 | $82,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 6,040 | $82,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 13,372 | $82,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L389 | RAFI DYN EMERG | 3,647 | $82,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 11,779 | $82,000 | thousands by filing date | |
| PARSONS CORP DEL COM | 70202L102 | Stock | 2,403 | $81,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 1,054 | $81,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 5,500 | $81,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 5,000 | $81,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 4,240 | $81,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A511 | CMN | 3,100 | $81,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 5,600 | $81,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 3,424 | $81,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 6,700 | $81,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851505 | PFD | 828 | $81,000 | thousands by filing date | principal |
| POWELL INDS INC | 739128106 | COM | 3,335 | $80,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 333 | $80,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 4,380 | $80,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 11,930 | $80,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189H888 | COAL ETF | 1,024 | $80,000 | thousands by filing date | |
| NUVEEN ESG MID-CAP VALUE ETF | 67092P508 | ETF | 3,084 | $79,000 | thousands by filing date | |
| MAGNITE INC COM | 55955D100 | Stock | 11,498 | $79,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 13,535 | $79,000 | thousands by filing date | |
| JPMORGAN BETABUILD INTERL EQY ETF | 46641Q373 | COM | 1,629 | $79,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 10,774 | $79,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 3,266 | $79,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 6,614 | $79,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 4,350 | $79,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 16,455 | $79,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 39,182 | $79,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 7,900 | $79,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 1,921 | $78,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 7,100 | $78,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 5,400 | $78,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 14,503 | $78,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 22,647 | $78,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 6,200 | $77,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 7,507 | $77,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 3,020 | $77,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 1,501 | $77,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C797 | US EQTY PWR BUF | 2,912 | $77,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 4,223 | $77,000 | thousands by filing date | |
| Afya Ltd-Class A | G01125106 | COM | 2,819 | $77,000 | thousands by filing date | |
| NOVABRIDGE BIOSCIENCES | 44975P103 | CMN | 1,630 | $77,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 8,632 | $77,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 3,800 | $77,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 7,237 | $77,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 3,813 | $77,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 2,392 | $76,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 4,723 | $76,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 30,606 | $76,000 | thousands by filing date | |
| PAMT CORP | 693149106 | COMMON STOCK | 2,038 | $76,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 25,888 | $76,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 13,296 | $75,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 9,490 | $75,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 3,100 | $75,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 3,200 | $75,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 4,000 | $75,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 5,319 | $75,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 8,167 | $75,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 2,185 | $75,000 | thousands by filing date | |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 4,068 | $74,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 56,708 | $74,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 35,000 | $74,000 | thousands by filing date | principal |
| MAVERIX METALS INC | 57776F405 | COMMON STOCK-FO | 14,399 | $74,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 461,396 | $74,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439110 | W EXP 08/04/202 | 50,000 | $74,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 300 | $73,000 | thousands by filing date | put |
| AXOGEN INC | 05463X106 | COM | 6,306 | $73,000 | thousands by filing date | |
| AGNT INC | 30212W100 | COM | 1,809 | $73,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 6,822 | $73,000 | thousands by filing date | |
| ETFMG Sit Ultra Short ETF | 26924G789 | Exchange Traded Fund | 1,470 | $73,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 6,292 | $72,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 4,800 | $72,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 10,464 | $72,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 756 | $72,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 11,000 | $72,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 309,061 | $72,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 6,039 | $72,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 3,047 | $72,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G822 | VIRTUS INFRCAP | 3,693 | $71,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,485 | $71,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 1,157 | $71,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 5,700 | $71,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 4,309 | $71,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 5,200 | $71,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 9,564 | $71,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 20,959 | $71,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 15,825 | $71,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 10,955 | $71,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 6,693 | $71,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 12,101 | $71,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 7,483 | $71,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 4,785 | $71,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 18,468 | $71,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 19,898 | $70,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X172 | US HGH YLD CORP | 1,393 | $70,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 6,043 | $70,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 31,975 | $70,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 6,200 | $70,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 6,500 | $70,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 7,972 | $69,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,174 | $69,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 22,635 | $69,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A705 | S&P500 DOWNSID | 2,100 | $69,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 6,120 | $69,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 6,206 | $69,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 4,800 | $69,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 6,900 | $69,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 10,391 | $69,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 35,114 | $69,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 6,085 | $68,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 5,100 | $68,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 2,899 | $68,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 20,110 | $68,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 3,191 | $68,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 4,220 | $68,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 5,400 | $68,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 2,550 | $68,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 8,146 | $68,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 3,125 | $68,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 10,265 | $68,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 45,000 | $68,000 | thousands by filing date | principal |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 6,702 | $68,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 6,900 | $68,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H207 | COM | 5,667 | $68,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W203 | COM | 14,732 | $68,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 5,100 | $68,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 1,499 | $67,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 627 | $67,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 13,610 | $66,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 7,998 | $66,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 17,120 | $66,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 4,625 | $66,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 9,489 | $65,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 6,925 | $65,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 4,100 | $65,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 771 | $65,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 62,488 | $65,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 3,100 | $65,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 7,500 | $65,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 4,511 | $65,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 21,910 | $64,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 16,119 | $64,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 23,330 | $64,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 2,384 | $64,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 5,375 | $64,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 4,991 | $64,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 4,100 | $64,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P553 | US CORE BOND ETF | 2,424 | $64,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 21,752 | $64,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 17,376 | $64,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 7,736 | $63,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 8,739 | $63,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 16,000 | $63,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 7,990 | $63,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 52,429 | $63,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y418 | DORSEY WRIGHT | 1,861 | $63,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 4,600 | $63,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 29,276 | $63,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 261,600 | $63,000 | thousands by filing date | |
| Avantis US Small Cap Value ETF | 025072877 | SHS | 1,455 | $62,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q670 | CORE PLUS BD ETF | 1,104 | $62,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 5,043 | $62,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 5,484 | $62,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 7,228 | $62,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L505 | FRANKLIN INTL LW | 2,800 | $62,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 45,040 | $62,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 4,750 | $62,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 468 | $61,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 4,336 | $61,000 | thousands by filing date | |
| GROUPON INC | 399473206 | COM NEW | 3,017 | $61,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 891 | $61,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 23,177 | $61,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 3,800 | $61,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 500 | $61,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 5,359 | $61,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 55,000 | $61,000 | thousands by filing date | put |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 6,558 | $61,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 5,700 | $61,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 5,000 | $61,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 5,210 | $61,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 11,876 | $61,000 | thousands by filing date | |
| LEMONADEINC | 52567D107 | STOK | 1,218 | $60,000 | thousands by filing date | |
| IMMUNOVANT INC | 45258J102 | COM | 1,691 | $60,000 | thousands by filing date | |
| KFORCE INC COM | 493732101 | Stock | 1,886 | $60,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 1,657 | $60,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 6,425 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733A201 | DOW 30 EQL WGT | 2,440 | $60,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 6,560 | $60,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 17,150 | $60,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 90,700 | $60,000 | thousands by filing date | put |
| LIMINAL BIOSCIENCES INC | 53272L103 | COM | 5,395 | $60,000 | thousands by filing date | |
| BURGUNDY TECHNOLOGY ACQU COR | G1702T132 | UNIT 08/26/2025 | 6,000 | $60,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 11,675 | $59,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 3,822 | $59,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 66,001 | $59,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 792 | $58,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 3,030 | $58,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 2,240 | $58,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 1,900 | $57,000 | thousands by filing date | put |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 1,600 | $57,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 3,373 | $57,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 14,626 | $57,000 | thousands by filing date | |
| HAMILTON LANE INC | 407497106 | CL A | 871 | $57,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 8,799 | $57,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 5,524 | $57,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 13,458 | $57,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 9,581 | $57,000 | thousands by filing date | |
| HESS MIDSTREAM LP | 428103105 | CL A SHS | 3,699 | $56,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 10,000 | $56,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 2,448 | $56,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 4,896 | $56,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 2,524 | $55,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 2,205 | $55,000 | thousands by filing date | |
| CIMPRESS PLC | G2143T103 | SHS EURO | 727 | $55,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 32,526 | $55,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R779 | EMERGING MKTS | 1,347 | $55,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E131 | S&P SMLCAP HIG | 3,498 | $55,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 4,659 | $55,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 3,355 | $55,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 14,487 | $54,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 2,275 | $54,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 18,802 | $54,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 15,343 | $54,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 3,500 | $54,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 17,615 | $54,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 11,350 | $54,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 6,635 | $54,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 3,527 | $54,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 11,500 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 3,759 | $53,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 2,700 | $53,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 3,511 | $53,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q449 | BETA US GRAD ETF | 934 | $53,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 1,272 | $53,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 16,713 | $53,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 1,763 | $52,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 6,741 | $52,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 8,502 | $52,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 23,000 | $52,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 5,000 | $52,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 49,357 | $52,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 2,400 | $52,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 30,619 | $52,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 2,590 | $52,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 4,004 | $52,000 | thousands by filing date | |
| WBI BULLBEAR GLOBAL INCOME ETF | 00400R874 | ETF | 2,181 | $52,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 968 | $51,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 4,602 | $51,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 6,164 | $51,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 6,017 | $51,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 4,916 | $51,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 3,280 | $51,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C698 | US EQUT BUFR AUG | 1,808 | $50,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 4,667 | $50,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 8,700 | $50,000 | thousands by filing date | |
| DBX ETF TR | 233051267 | XTRACKERS LOW | 1,000 | $50,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 25,145 | $50,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 3,200 | $50,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC | 28414H202 | CONV | 1,135 | $50,000 | thousands by filing date | principal |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 5,688 | $50,000 | thousands by filing date | |
| ENERGIZER HLDGS INC NEW | 29272W208 | 7.5 MCNV PFD A | 599 | $50,000 | thousands by filing date | principal |
| SOFTWARE ACQUISITN GRUP INC | 83407F200 | UNIT 99/99/9999 | 5,000 | $50,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J842 | MULTIFACTR SML | 2,018 | $49,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 589 | $49,000 | thousands by filing date | |
| PROSHARES TR | 74347R669 | PSHS ULT SEMICDT | 638 | $49,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 8,477 | $49,000 | thousands by filing date | |
| FLEXSHARES DURATION MBS | 33939l779 | INDX FD | 2,028 | $49,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 2,332 | $49,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W408 | COM NEW | 9,411 | $49,000 | thousands by filing date | |
| DBX ETF TR | 233051101 | XTRACK MSCI EMRG | 1,970 | $48,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 2,300 | $48,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 862 | $48,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 4,700 | $48,000 | thousands by filing date | |
| Hartford Schroders Tax-Aware Bond ETF | 41653L404 | ETF | 2,204 | $48,000 | thousands by filing date | |
| DONEGAL GROUP INC | 257701300 | CL B | 3,946 | $48,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 7,725 | $48,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 4,013 | $48,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 16,201 | $48,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 3,925 | $47,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 894 | $47,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 4,410 | $47,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 7,804 | $47,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 1,489 | $47,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 5,301 | $47,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 48,148 | $47,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 3,000 | $47,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 6,200 | $47,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 40,000 | $47,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 870 | $46,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 2,845 | $46,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108805 | AMPLIFY LITHIUM | 4,475 | $46,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 2,925 | $46,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 1,826 | $46,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R858 | WBI PWR FACTOR | 2,509 | $46,000 | thousands by filing date | |
| INARI MED INC | 45332Y109 | COM | 665 | $46,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 1,200 | $45,000 | thousands by filing date | call |
| ALEXANDERS INC COM | 014752109 | REIT | 183 | $45,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 1,987 | $45,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 3,103 | $45,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 5,224 | $45,000 | thousands by filing date | |
| ISHARES TR | 46435U861 | CORE DIVID ETF | 1,562 | $45,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 4,152 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R753 | SMID CAP STR ETF | 2,296 | $45,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 311 | $45,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 8,140 | $45,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 1,183 | $45,000 | thousands by filing date | |
| LISTED FDS TR | 53656F789 | ROUN SPOR BE ETF | 2,110 | $45,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 1,154 | $45,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 31,147 | $45,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N300 | CL A | 4,152 | $45,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 3,559 | $45,000 | thousands by filing date | |
| ACE Convergence Acquisition Corp | G0083D120 | COM | 4,600 | $45,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 18,500 | $45,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 16,500 | $44,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 1,225 | $44,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 1,761 | $44,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 158,985 | $44,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 6,057 | $44,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 34,286 | $44,000 | thousands by filing date | |
| THERATECHNOLOGIES INC COM | 88338H100 | COM | 20,228 | $44,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 13,879 | $43,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 1,500 | $43,000 | thousands by filing date | put |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 2,500 | $43,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 323 | $43,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 16,000 | $43,000 | thousands by filing date | |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 1,872 | $43,000 | thousands by filing date | principal |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 3,170 | $43,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,166 | $43,000 | thousands by filing date | |
| CORVUS GOLD INC | 221013105 | COM | 14,290 | $43,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 4,134 | $43,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 4,085 | $43,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 3,509 | $43,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 2,900 | $42,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 2,586 | $42,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 1,250 | $42,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 1,136 | $42,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 3,889 | $42,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 1,519 | $42,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 2,803 | $42,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 4,000 | $42,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y533 | MSCI CHINA IT | 1,550 | $42,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 101,570 | $41,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 2,812 | $41,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F763 | FT VEST US EQT | 1,323 | $41,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 1,357 | $41,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 3,213 | $41,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 3,800 | $41,000 | thousands by filing date | |
| Reality Shares Nasdaq NexGen Economy ETF | 75605A702 | COM | 1,185 | $41,000 | thousands by filing date | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 814 | $40,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 6,761 | $40,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 3,223 | $40,000 | thousands by filing date | |
| NEW YORK LIFE INVTS ACTIVE E | 45409F827 | NYLI MACKAY MUN | 1,500 | $40,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 6,100 | $40,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 9,676 | $40,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 2,127 | $40,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 3,128 | $40,000 | thousands by filing date | |
| LISTED FDS TR | 53656F706 | ROUNDHILL VIDEO | 1,603 | $40,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 3,009 | $40,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 7,230 | $40,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 4,339 | $40,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 11,018 | $40,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 2,171 | $40,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 15,735 | $40,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863124 | CMN | 6,839 | $40,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 40,000 | $40,000 | thousands by filing date | principal |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 1,522 | $39,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 11,463 | $39,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 4,400 | $39,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 2,157 | $39,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 2,104 | $39,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 25,875 | $39,000 | thousands by filing date | |
| PACER FDS TR | 69374H659 | CASH COWS ETF | 1,650 | $39,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 878 | $39,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 7,200 | $39,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 4,182 | $39,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 6,639 | $39,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 6,000 | $39,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P509 | RIVRFRNT DY ASIA | 777 | $39,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 267 | $38,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 1,220 | $38,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 1,525 | $38,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 2,000 | $38,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 51,389 | $38,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 63,641 | $38,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 300 | $37,000 | thousands by filing date | call |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 4,399 | $37,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 37,804 | $37,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 2,079 | $37,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,464 | $37,000 | thousands by filing date | |
| MANITOWOC CO INC | 563571405 | COM NEW | 4,425 | $37,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 6,533 | $37,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 7,024 | $37,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,359 | $37,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 752 | $37,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 37,000 | $37,000 | thousands by filing date | principal |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 7,804 | $36,000 | thousands by filing date | |
| TIMOTHY PLAN US LARGE/MID CAP CORE ETF | 887432359 | ETF | 1,333 | $36,000 | thousands by filing date | |
| INSPIRE CORPORATE BOND ETF | 66538H633 | ETF | 1,396 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 640 | $36,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 425 | $36,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 900 | $36,000 | thousands by filing date | call |
| Gulfport Energy | 402635304 | COM | 67,342 | $36,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 11,900 | $36,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 39,151 | $36,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 1,220 | $36,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 1,266 | $36,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 510 | $36,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 1,328 | $35,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q753 | US VALUE FACTR | 1,379 | $35,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F722 | FT VEST US EQT | 1,086 | $35,000 | thousands by filing date | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 1,000 | $35,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 877 | $35,000 | thousands by filing date | |
| RCM TECHNOLOGIES INC | 749360400 | COMMON STOCK | 25,001 | $35,000 | thousands by filing date | |
| CUSHMAN WAKEFIELD PLC | G2717B108 | SHS | 3,332 | $35,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 2,638 | $35,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 35,000 | $35,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906501 | COM | 7,530 | $35,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-20-019770 | this filing | 2020-11-16 | acceptance time not in the bulk data set |