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 |
|---|---|---|---|---|---|---|
| ENERGOUS CORP | 29272C103 | COM | 11,814 | $35,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 9,364 | $35,000 | thousands by filing date | |
| FORTRESS VALUE ACQUISITION C | 34962V106 | COM CL A | 2,579 | $35,000 | thousands by filing date | |
| SEA LTD | 81141RAB6 | CONV BD US | 5,000 | $35,000 | thousands by filing date | principal |
| VERICEL CORP | 92346J108 | COM | 1,836 | $34,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 4,209 | $34,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 3,812 | $34,000 | thousands by filing date | |
| AKERO THERAPEUTICS INC | 00973Y108 | COM | 1,091 | $34,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 833 | $34,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 3,623 | $34,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 2,421 | $34,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 718 | $34,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 13,343 | $34,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06746P563 | FUND | 1,000 | $34,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 690 | $34,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 30,700 | $34,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 330 | $33,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 511 | $33,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 3,126 | $33,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C391 | US EQTY BUFR MAR | 1,190 | $33,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 5,000 | $33,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 3,850 | $33,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 40,000 | $33,000 | thousands by filing date | principal |
| SP Funds Dow Jones Global Sukuk ETF | 886364702 | SHS | 1,566 | $32,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 1,282 | $32,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 1,094 | $32,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 5,143 | $32,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R700 | WBI BBR YLD 3000 | 1,394 | $32,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 4,000 | $32,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 1,380 | $32,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 26,641 | $32,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 3,227 | $32,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 765 | $31,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 826 | $31,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,700 | $31,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P306 | US CORE DIV TILT | 1,101 | $31,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 245 | $31,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 38,123 | $31,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 31,522 | $31,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 6,200 | $31,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 5,915 | $31,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 21,303 | $31,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 1,709 | $31,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q613 | US AGGREGATE | 1,110 | $31,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 639 | $31,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 11,000 | $31,000 | thousands by filing date | principal |
| SP Funds S&P 500 Sharia Industry Exclusions ETF | 886364801 | COM | 1,300 | $30,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C508 | US EQTY PWR BUF | 997 | $30,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 9,412 | $30,000 | thousands by filing date | |
| NULL | 68620A203 | NULL | 3,828 | $30,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 4,542 | $30,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H706 | UNCVTL OIL GAS | 535 | $30,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 200 | $29,000 | thousands by filing date | put |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 1,273 | $29,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 1,171 | $29,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 3,803 | $29,000 | thousands by filing date | |
| PROSHARES TR | 74347B540 | MSCI EUR DIV | 665 | $29,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 2,500 | $29,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 13,805 | $29,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 5,924 | $28,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 647 | $28,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 836 | $28,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 4,900 | $28,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 1,882 | $28,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 1,026 | $28,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 2,000 | $28,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 2,625 | $28,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 1,550 | $28,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 6,860 | $28,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 1,800 | $28,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y558 | MSCI CHINA CON | 966 | $28,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 600 | $28,000 | thousands by filing date | |
| H WORLD GROUP LTD SPONSORED ADS | 44332N106 | ADR | 613 | $27,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C870 | US EQT PWR BUF | 1,000 | $27,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C813 | US EQTY PWR BUF | 975 | $27,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 1,279 | $27,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 1,700 | $27,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 2,149 | $27,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 3,004 | $27,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 4,286 | $27,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 1,800 | $27,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R809 | WBI BBR QTY 3000 | 1,012 | $27,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 2,327 | $27,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 3,000 | $27,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 1,626 | $27,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 1,108 | $27,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E248 | S&P INTL DEV | 1,182 | $27,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR INDUSTRIALS ETF | 47804J883 | ETF | 695 | $27,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 2,100 | $26,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 1,059 | $26,000 | thousands by filing date | |
| BERKELEY LTS INC | 084310101 | COM | 339 | $26,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 4,000 | $26,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 300 | $26,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C821 | US EQTY ULTRA B | 1,000 | $26,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER JULY | 45782C839 | ETF | 1,000 | $26,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 881 | $26,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 450 | $26,000 | thousands by filing date | |
| BATTALION OIL CORP | 07134L107 | COM | 3,320 | $26,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 1,865 | $26,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 1,060 | $26,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A172 | NATIONWIDE NASDQ | 1,000 | $26,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 2,332 | $26,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 1,312 | $26,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 933 | $25,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 9,072 | $25,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 550 | $25,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 5,156 | $25,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 153,782 | $25,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L654 | US QT LW VLTY | 600 | $25,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 3,159 | $25,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R712 | DORSEY WRIGHT | 1,394 | $25,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 663 | $25,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 9,650 | $25,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,164 | $25,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 969 | $25,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647X806 | VS NASDQ NXT 50 | 965 | $25,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 1,201 | $25,000 | thousands by filing date | |
| BROADSTONE NET LEASE INC | 11135E104 | CL A COM | 1,500 | $25,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 6,022 | $25,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 3,278 | $24,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 2,729 | $24,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 6,755 | $24,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W380 | INTRST RATE HDGE | 521 | $24,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 7,501 | $24,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 1,865 | $24,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 49,300 | $24,000 | thousands by filing date | |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 8,000 | $24,000 | thousands by filing date | |
| EXCELLON RES INC F | 30069C801 | FOREIGN CANADIAN | 8,442 | $24,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 3,800 | $24,000 | thousands by filing date | |
| INSPIRE 500 ETF | 45782C201 | ETF | 1,000 | $24,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L810 | WESTN ASET TTL | 848 | $24,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 16,954 | $24,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 3,000 | $24,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 2,078 | $24,000 | thousands by filing date | |
| XENETIC BIOSCIENCES INC | 984015503 | COM | 26,991 | $24,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 102,451 | $24,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 300 | $23,000 | thousands by filing date | put |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 3,181 | $23,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 1,403 | $23,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 900 | $23,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 3,878 | $23,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 2,500 | $23,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 5,468 | $23,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 22,000 | $23,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 1,736 | $23,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 1,203 | $23,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 1,100 | $23,000 | thousands by filing date | |
| ISHARES TR | 464288265 | MSCI KOKUSAI ETF | 304 | $23,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 61,300 | $23,000 | thousands by filing date | |
| WHITING PETROLEUM CORP | 966387508 | COMMON STOCK | 1,353 | $23,000 | thousands by filing date | put |
| BAUDAX BIO INC | 07160F107 | COM | 8,208 | $23,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U404 | CMN | 2,128 | $23,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,147 | $23,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 5,151 | $23,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 740 | $22,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 2,324 | $22,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 200 | $22,000 | thousands by filing date | call |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 3,365 | $22,000 | thousands by filing date | |
| CARS COM INC | 14575E105 | COM | 2,833 | $22,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 4,597 | $22,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 387 | $22,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 2,000 | $22,000 | thousands by filing date | |
| PIMCO EQUITY SER | 72202L363 | CMN | 750 | $22,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 31,555 | $22,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 225 | $22,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 3,820 | $22,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 1,156 | $22,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 24,900 | $22,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 15,401 | $22,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L201 | SUSTNBLE INTL | 1,000 | $22,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 3,500 | $22,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 40,604 | $22,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F478 | EMERGING MKTS AG | 1,075 | $22,000 | thousands by filing date | |
| KINGSOFT CLOUD HLDGS LTD ADS | 49639K101 | ADR | 706 | $21,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 1,660 | $21,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 1,524 | $21,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,450 | $21,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 2,309 | $21,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 4,696 | $21,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 8,704 | $21,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 2,650 | $21,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 2,525 | $21,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 1,125 | $21,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 820 | $21,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 1,012 | $21,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 1,460 | $21,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 13,152 | $21,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 23,066 | $21,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 5,356 | $21,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 13,385 | $21,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 15,000 | $21,000 | thousands by filing date | principal |
| SITIME CORP COM | 82982T106 | Stock | 230 | $20,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 6,036 | $20,000 | thousands by filing date | |
| ISHARES TR | 46436E726 | IBONDS DEC 2030 | 762 | $20,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 2,039 | $20,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 3,976 | $20,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 11,000 | $20,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 865 | $20,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $20,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 37,299 | $20,000 | thousands by filing date | |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 7,664 | $20,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 301 | $20,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 1,384 | $20,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 4,060 | $20,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 6,237 | $20,000 | thousands by filing date | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 1,574 | $20,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 1,527 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,000 | $20,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,110 | $19,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 7,405 | $19,000 | thousands by filing date | |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 1,759 | $19,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 1,034 | $19,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,630 | $19,000 | thousands by filing date | |
| ESTABLISHMENT LABS HOLDINGS | G31249108 | COMMON STOCK | 1,001 | $19,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 570 | $19,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,540 | $19,000 | thousands by filing date | |
| CAMBRIA EMERGING SHAREHOLDER YIELD ETF | 132061706 | ETF | 677 | $19,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 407 | $19,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 406 | $19,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 1,000 | $19,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 2,713 | $19,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 9,500 | $19,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 3,200 | $19,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 575 | $19,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T400 | CANNABIS ETF | 2,264 | $19,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 8,021 | $19,000 | thousands by filing date | |
| TREMONT MTG TR | 894789106 | COM | 6,367 | $19,000 | thousands by filing date | |
| NCINO INC | 63947U107 | COM | 225 | $18,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 613 | $18,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 7,349 | $18,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 2,074 | $18,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 358 | $18,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,600 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 357 | $18,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 600 | $18,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 6,000 | $18,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 8,186 | $18,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,167 | $18,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 2,782 | $18,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 6,344 | $18,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 2,000 | $18,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 43,182 | $18,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 575 | $18,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108870 | AMPLIFY EMERGING | 440 | $18,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 1,246 | $17,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 4,820 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 323 | $17,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 253 | $17,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 5,384 | $17,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 282 | $17,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 210 | $17,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 2,376 | $17,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 749 | $17,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,500 | $17,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 971 | $17,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,151 | $17,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 1,736 | $17,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 500 | $17,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F585 | OIL REFINERS ETF | 850 | $17,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 507 | $17,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,337 | $17,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 1,092 | $17,000 | thousands by filing date | |
| GAN LTD | G3728V109 | SHS | 1,026 | $17,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 900 | $17,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 8,027 | $17,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 8,300 | $17,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 6,766 | $17,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 10,784 | $17,000 | thousands by filing date | |
| iShares U.S. Small Cap Equity Factor ETF | 46434V290 | SHS | 449 | $16,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 466 | $16,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 6,478 | $16,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,490 | $16,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A420 | DEFIA QUANT ETF | 485 | $16,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $16,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 6,294 | $16,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 2,421 | $16,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 257 | $16,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 3,400 | $16,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 1,646 | $16,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 3,128 | $16,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 17,400 | $16,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 752 | $16,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 1,545 | $16,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 30,000 | $16,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 2,427 | $16,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744104 | SHS | 1,500 | $16,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 310 | $15,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 1,347 | $15,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 126 | $15,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 418 | $15,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 1,266 | $15,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 493 | $15,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 176 | $15,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 472 | $15,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C474 | US SML CP PWR B | 565 | $15,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 784 | $15,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 2,589 | $15,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,789 | $15,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 3,410 | $15,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 4,000 | $15,000 | thousands by filing date | principal |
| PARTNERS BANCORP | 70213Q108 | COM | 2,719 | $15,000 | thousands by filing date | |
| ACUTUS MED INC | 005111109 | COM | 500 | $15,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 294 | $15,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 1,008 | $15,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 3,032 | $15,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 764 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,338 | $15,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G805 | DRONE ECONMY STG | 374 | $15,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 2,057 | $15,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 3,000 | $15,000 | thousands by filing date | principal |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 1,380 | $15,000 | thousands by filing date | |
| DBX ETF TR | 233051663 | XTRACK JAPAN JPX | 523 | $15,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896104 | COM CL A | 1,500 | $15,000 | thousands by filing date | |
| Schwab 5-10 Year Corporate Bond ETF | 808524698 | SHS | 260 | $14,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,000 | $14,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C789 | US EQTY BUFR JUL | 500 | $14,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 506 | $14,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 257 | $14,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 473 | $14,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 5,069 | $14,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 200 | $14,000 | thousands by filing date | |
| AMERICAN CENTY ETF TR | 025072760 | MID CAP GRW IMP | 338 | $14,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 2,555 | $14,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 2,000 | $14,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,962 | $14,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,050 | $14,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 2,130 | $14,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 683 | $14,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $14,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 8,925 | $14,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 1,800 | $14,000 | thousands by filing date | |
| GENETRON HLDGS LTD | 37186H100 | ADS | 1,212 | $14,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 3,150 | $14,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 763 | $14,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 647 | $13,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 5,363 | $13,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 506 | $13,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 4,332 | $13,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 757 | $13,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 875 | $13,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 1,000 | $13,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 581 | $13,000 | thousands by filing date | |
| PRIMEENERGY RESOURCES CORP | 74158E104 | COMMON STOCK | 194 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 1,210 | $13,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 400 | $13,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 629 | $13,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 568 | $13,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 598 | $13,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D374 | ETRA AL ML IN 18 | 1,900 | $13,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 4,309 | $13,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 3,116 | $13,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 605 | $13,000 | thousands by filing date | |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 800 | $13,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 4,800 | $13,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 13,000 | $13,000 | thousands by filing date | principal |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 2,145 | $13,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 20,697 | $13,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 4,000 | $13,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 5,418 | $13,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 3,179 | $13,000 | thousands by filing date | |
| AMERICAN PULP EXCHANGE INC | 03755m300 | COM | 2,130 | $13,000 | thousands by filing date | |
| PGIM ETF TR | 69344A602 | QMA STRGIC VAL | 324 | $13,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 1,456 | $12,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,607 | $12,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 6,087 | $12,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 1,000 | $12,000 | thousands by filing date | |
| BLUE BIRD CORP | 095306106 | COM | 1,020 | $12,000 | thousands by filing date | |
| AVITA THERAPEUTICS, INC. | 05380C102 | COM | 468 | $12,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 900 | $12,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L607 | MULTI SEC MUNI | 562 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 425 | $12,000 | thousands by filing date | |
| GENERATION BIO CO | 37148K100 | COM | 400 | $12,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,171 | $12,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 200 | $12,000 | thousands by filing date | principal |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 20,555 | $12,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,779 | $12,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,041 | $12,000 | thousands by filing date | |
| STONEMOR INC | 86184W106 | COM | 11,954 | $12,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 1,100 | $12,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 12,742 | $12,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 451 | $12,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 8,953 | $12,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 5,055 | $12,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 5,044 | $12,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 450 | $12,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 495 | $12,000 | thousands by filing date | |
| AKUMIN INC | 01021F109 | COM | 3,903 | $12,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U200 | 7% CN SR NT 2023 | 504 | $12,000 | thousands by filing date | principal |
| Abbott Laboratories | 002824100 | COM | 100 | $11,000 | thousands by filing date | put |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 100 | $11,000 | thousands by filing date | put |
| VAXCYTE INC COM | 92243G108 | Stock | 220 | $11,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 266 | $11,000 | thousands by filing date | |
| TENABLE HLDGS INC | 88025T102 | COM | 275 | $11,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 263 | $11,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 1,537 | $11,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 1,205 | $11,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 2,554 | $11,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 2,699 | $11,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,748 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 363 | $11,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 18,218 | $11,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 1,593 | $11,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,274 | $11,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 1,671 | $11,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 889 | $11,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 4,500 | $11,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 2,800 | $11,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 2,749 | $11,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODS INC | 019222207 | COM | 2,000 | $11,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 800 | $11,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 460 | $11,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 853 | $11,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 9,000 | $11,000 | thousands by filing date | principal |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 29,434 | $11,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 420 | $11,000 | thousands by filing date | |
| B RILEY PRIN MERGER CORP II | 05600U205 | UNIT 99/99/9999 | 1,000 | $11,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 390 | $10,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 500 | $10,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 2,136 | $10,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 1,030 | $10,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 840 | $10,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 4,414 | $10,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 700 | $10,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 4,501 | $10,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 3,892 | $10,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 70,468 | $10,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 261 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25490K596 | DAIL HO SUPP ETF | 195 | $10,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 886 | $10,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $10,000 | thousands by filing date | principal |
| BEST INC | 08653C106 | SPONSORED ADS | 3,341 | $10,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 11,000 | $10,000 | thousands by filing date | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 9,000 | $10,000 | thousands by filing date | principal |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 1,000 | $10,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 6,133 | $10,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,280 | $10,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 5,224 | $10,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 14,326 | $10,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 1,981 | $10,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 8,196 | $10,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 11,000 | $10,000 | thousands by filing date | principal |
| IBIO INC | 451033203 | COM NEW | 4,953 | $10,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 100 | $9,000 | thousands by filing date | put |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 1,845 | $9,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 1,425 | $9,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 852 | $9,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 689 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 17,477 | $9,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 6,901 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 395 | $9,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 924 | $9,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 1,475 | $9,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 1,000 | $9,000 | thousands by filing date | call |
| ABRDN GLOBAL INFRA INCOME FU | 00326W106 | COM SHS BEN INT | 500 | $9,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 829 | $9,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 403 | $9,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 3,500 | $9,000 | thousands by filing date | |
| AMERICAN CENTURY ETF TR QUALITY DIVERSIFIED INTL | 025072406 | ETF | 222 | $9,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 1,335 | $9,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 500 | $9,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 662 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 300 | $9,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 268 | $9,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,000 | $9,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 5,371 | $9,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 2,244 | $9,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 4,300 | $9,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 1,271 | $9,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 1,000 | $9,000 | thousands by filing date | |
| GENFIT S A | 372279109 | ADS | 1,700 | $9,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,881 | $9,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 9,000 | $9,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 6,000 | $9,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740P650 | TRES 5YR BULL | 100 | $9,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 214 | $9,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 2,000 | $9,000 | thousands by filing date | principal |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 1,567 | $9,000 | thousands by filing date | |
| OSI ETF TR | 67110P506 | OSHARES FTSE EUR | 400 | $9,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 900 | $9,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 27,500 | $9,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 9,000 | $9,000 | thousands by filing date | principal |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 400 | $9,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 668 | $9,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 500 | $9,000 | thousands by filing date | |
| ETF SER SOLUTIONS SALT HIG TRUBT | 26922A479 | Stock | 300 | $9,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 800 | $9,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 822 | $8,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 2,304 | $8,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 200 | $8,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 1,036 | $8,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 318 | $8,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 3,256 | $8,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 6,326 | $8,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 2,000 | $8,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 3,080 | $8,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,209 | $8,000 | thousands by filing date | |
| ALECTOR INC | 014442107 | COMMON STOCK | 750 | $8,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 8,037 | $8,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 404 | $8,000 | thousands by filing date | |
| ISHARES TR | 46429B499 | MSCI NORWAY ETF | 411 | $8,000 | 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 |