13F-HR filed by BANK OF AMERICA CORP /DE/
BANK OF AMERICA CORP /DE/ filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-10, with 7,199 holding rows worth $776,237,853,000.
- Accession
- 0001567619-21-002692
- Filer
- CIK 70858
- Filed
- 2021-02-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 24,720 entries on the cover page, a total value of $776,237,853,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $776,237,853,000 with VALUE read as thousands by filing date, 13F file number 028-00158. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK OF AMERICA NA028-10264
- included managerMERRILL LYNCH, PIERCE, FENNER & SMITH INC.028-00962
- included managerBOFA SECURITIES, INC.028-19575
- included managerMERRILL LYNCH CANADA INC028-14408
- included managerMERRILL LYNCH INTERNATIONAL028-07178
- included managerU.S. TRUST Co OF DELAWARE028-10270
- included managerMANAGED ACCOUNT ADVISORS LLC028-12631
- included managerBanc of America Strategic Ventures, Inc.028-20096
- included managerBofA Securities Europe SA028-20099
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| PARTNERS BANCORP | 70213Q108 | COM | 4,384 | $29,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P777 | FTSE HONG KONG | 1,126 | $29,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 30,000 | $29,000 | thousands by filing date | principal |
| ONCOCYTE CORP | 68235C107 | COM | 12,359 | $29,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 6,000 | $29,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 1,400 | $29,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 10,804 | $29,000 | thousands by filing date | |
| IMMUNOME INC | 45257U108 | COM | 2,952 | $28,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 17,939 | $28,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 11,434 | $28,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 16,911 | $27,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 13,681 | $27,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F664 | FT VEST US EQT | 858 | $27,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 2,541 | $27,000 | thousands by filing date | |
| IBEX LTD | G4690M101 | COMMON STOCK | 1,451 | $27,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F748 | FT VEST US EQT | 775 | $27,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 2,756 | $27,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L647 | DEV MRK EX LOW | 1,012 | $27,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 1,714 | $27,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 5,765 | $27,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 15,001 | $27,000 | thousands by filing date | |
| PATRICK INDS INC | 703343AB9 | DBCV 1.000% 2/0 | 26,000 | $27,000 | thousands by filing date | principal |
| RADA ELECTR INDS LTD | M81863124 | CMN | 2,700 | $27,000 | thousands by filing date | |
| ENLIVEX LTD | M4130Y106 | CMN | 3,123 | $26,000 | thousands by filing date | |
| ISHARES TR | 46429B515 | CMN | 578 | $26,000 | thousands by filing date | |
| GORES HLDGS IV INC | 382865103 | COM CL A | 2,001 | $26,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 3,241 | $26,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 9,649 | $26,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 6,593 | $26,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 500 | $25,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 18,849 | $25,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,960 | $25,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 1,506 | $25,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 3,000 | $25,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F854 | FT VEST U.S. | 767 | $25,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B453 | CANDRIAM INTL EQ | 900 | $25,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 4,717 | $25,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 27,375 | $25,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 2,350 | $25,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 8,677 | $25,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 3,632 | $25,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 25,000 | $25,000 | thousands by filing date | principal |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 13,000 | $25,000 | thousands by filing date | principal |
| NANTHEALTH INC | 630104107 | CMN | 7,686 | $25,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,791 | $24,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 5,610 | $24,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X853 | INTL EQUITY OPP | 355 | $24,000 | thousands by filing date | |
| CONX Corp | 212873111 | Warrant | 15,660 | $24,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 7,060 | $24,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 5,905 | $24,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 10,979 | $24,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U407 | LONG TERM CARE | 811 | $24,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 4,832 | $24,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 12,841 | $24,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X335 | SOLACTIVE UK ETF | 523 | $24,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 1,821 | $23,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 12,964 | $23,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 1,286 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y467 | E COMMERCE ETF | 717 | $23,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 8,305 | $23,000 | thousands by filing date | |
| BIOCARDIA INC | 09060U507 | COM | 6,636 | $23,000 | thousands by filing date | |
| 5 01 ACQUISITION CORP | 33836P105 | CMN | 2,300 | $23,000 | thousands by filing date | |
| 17 ED & TECHNOLOGY GROUP INC | 81807M106 | ADS | 1,800 | $23,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 3,000 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 100 | $22,000 | thousands by filing date | put |
| LIGHTBRIDGE CORP | 53224K302 | COMMON STOCK | 5,046 | $22,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,545 | $22,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 1,958 | $22,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 10,411 | $22,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 2,000 | $22,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y434 | GENOMIC BIOTECH | 901 | $22,000 | thousands by filing date | |
| CENTOGENE N V | N1976T109 | COM | 2,098 | $22,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 7,539 | $22,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 1,790 | $22,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 2,966 | $21,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 5,245 | $21,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 4,959 | $21,000 | thousands by filing date | |
| CHICAGO RIVET & MACH CO | 168088102 | COM | 900 | $21,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 7,312 | $21,000 | thousands by filing date | |
| TINGO GROUP INC | 55328R109 | COM | 10,000 | $21,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E606 | CHINA FINL ETF | 1,409 | $21,000 | thousands by filing date | |
| MONGODB INC | 60937PAB2 | NOTE | 4,000 | $21,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 8,300 | $21,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 15,519 | $21,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884112 | *W EXP 06/20/202 | 5,000 | $21,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 1,512 | $20,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 2,400 | $20,000 | thousands by filing date | |
| KRANESHARES QUADRATIC INTEREST RATE VOLATILITY AND INFLATION HEDGE ETF | 500767736 | ETF | 701 | $20,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 2,851 | $20,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 3,160 | $20,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 8,383 | $20,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 2,921 | $20,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 5,418 | $20,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314606 | COMMON | 6,064 | $20,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 15,736 | $20,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q787 | CMN | 621 | $20,000 | thousands by filing date | |
| TWC TECH HLDGS II CORP | 90117G105 | COM | 1,900 | $20,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 200 | $19,000 | thousands by filing date | put |
| NEXTDECADE CORP | 65342K105 | COM | 9,235 | $19,000 | thousands by filing date | |
| PORCH GROUP INC | 733245104 | COM | 1,350 | $19,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 1,804 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $19,000 | thousands by filing date | principal |
| Gilat Satellite Network | M51474118 | COM | 2,885 | $19,000 | thousands by filing date | |
| PACER FDS TR | 69374H840 | WEALTHSHIELD | 668 | $19,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 791 | $19,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 1,351 | $19,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 8,023 | $19,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 5,034 | $18,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,200 | $18,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 5,575 | $18,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P835 | FTSE BRAZIL | 798 | $18,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 1,468 | $18,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 310 | $18,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 14,483 | $18,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 1,540 | $18,000 | thousands by filing date | |
| SATSUMA PHARMACEUTICALS INC | 80405P107 | COM | 3,992 | $18,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 3,413 | $18,000 | thousands by filing date | |
| MOGO INC | 60800C109 | COM | 4,670 | $18,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 2,987 | $18,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 2,449 | $18,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,450 | $17,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F207 | COM NEW | 3,450 | $17,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W323 | CMN | 600 | $17,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P769 | FRANKLIN INDIA | 655 | $17,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 8,423 | $17,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 4,939 | $17,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 17,290 | $17,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 3,526 | $17,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 1,807 | $16,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 3,068 | $16,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 4,801 | $16,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 437 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P843 | CMN | 570 | $16,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 3,778 | $16,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 5,181 | $16,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 11,657 | $16,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 1,100 | $16,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 9,000 | $16,000 | thousands by filing date | |
| DYNATRONICS CORP | 268157401 | COM NEW | 20,000 | $16,000 | thousands by filing date | |
| Greenpower Motor Co | 39540E302 | COM | 547 | $16,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 8,192 | $16,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 1,406 | $16,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 5,104 | $16,000 | thousands by filing date | |
| NOVUS THERAPEUTICS INC | 67011N204 | COM | 1,020 | $16,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 286 | $15,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 5,136 | $15,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 1,649 | $15,000 | thousands by filing date | |
| PROSHARES TR | 74347G606 | S&P TECH DIVIDEN | 283 | $15,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E259 | GB MSCI AR ETF | 500 | $15,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P303 | SPON ADR B | 1,054 | $15,000 | thousands by filing date | |
| VITRU LTD | G9440D103 | COM | 1,050 | $15,000 | thousands by filing date | |
| CORVUS GOLD INC | 221013105 | COM | 6,448 | $15,000 | thousands by filing date | |
| OCONEE FED FINL CORP | 675607105 | COM | 601 | $15,000 | thousands by filing date | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 2,904 | $15,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 30,000 | $15,000 | thousands by filing date | principal |
| NUCANA PLC | 67022C106 | ADR | 3,530 | $15,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 407 | $15,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 15,000 | $15,000 | thousands by filing date | principal |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 3,274 | $14,000 | thousands by filing date | |
| BRIDGFORD FOODS CORP | 108763103 | COM | 766 | $14,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 469 | $14,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 10,822 | $14,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 11,000 | $14,000 | thousands by filing date | |
| SIERRA METALS INC | 82639W106 | COM | 4,200 | $14,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 86,675 | $14,000 | thousands by filing date | principal |
| VISTRA CORP | 92840M128 | COM | 36,746 | $14,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 14,738 | $14,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 400 | $14,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E455 | CMN | 279 | $14,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W205 | UNIT 99/99/9999 | 1,300 | $14,000 | thousands by filing date | |
| SPDR INDEX SHS FDS SOLACTIVE JAPAN | 78463X368 | CEF | 160 | $14,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 320 | $13,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 2,348 | $13,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 10,000 | $13,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 341 | $13,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 875 | $13,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 3,679 | $13,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 1,031 | $13,000 | thousands by filing date | |
| NEUROBO PHARMACEUTICALS INC | 64132R107 | COM | 2,446 | $13,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 100 | $12,000 | thousands by filing date | put |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 1,583 | $12,000 | thousands by filing date | |
| COMPASS PATHWAYS PLC | 20451W101 | SPONSORED ADS | 250 | $12,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 918 | $12,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 1,636 | $12,000 | thousands by filing date | |
| KINGSTONE COS INC | 496719105 | COMMON STOCK | 1,800 | $12,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 2,032 | $12,000 | thousands by filing date | |
| ISHARES TR | 46436E502 | US TECH BRKTHR | 350 | $12,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 4,193 | $12,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 10,606 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 350 | $12,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 4,000 | $12,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 4,051 | $12,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 6,183 | $12,000 | thousands by filing date | |
| AILERON THERAPEUTICS INC COM NEW | 00887A105 | Stock | 11,824 | $12,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637113 | SHS | 4,969 | $12,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 500 | $11,000 | thousands by filing date | call |
| LOOP INDS INC | 543518104 | COM | 1,300 | $11,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 500 | $11,000 | thousands by filing date | call |
| NUVASIVE INC | 670704105 | COM | 200 | $11,000 | thousands by filing date | put |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 1,199 | $11,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,001 | $11,000 | thousands by filing date | |
| ISHARES TR | 46436E866 | IBONDS 25 TRM TS | 410 | $11,000 | thousands by filing date | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 5,000 | $11,000 | thousands by filing date | principal |
| JEWETT CAMERON TRADING LTD | 47733C207 | COM NEW | 1,200 | $11,000 | thousands by filing date | |
| ABRAXAS PETE CORP COM NEW | 003830304 | Stock | 5,021 | $11,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 11,000 | $11,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 2,216 | $11,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P105 | SHS CL A | 904 | $11,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 12,000 | $11,000 | thousands by filing date | principal |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,538 | $11,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J800 | MLTFACTR MATLS | 288 | $11,000 | thousands by filing date | |
| AMERANT BANCORP INC | 023576200 | CL B | 926 | $11,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 200 | $10,000 | thousands by filing date | put |
| ELUTIA INC | 05479K106 | CL A COM | 740 | $10,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 1,172 | $10,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 3,677 | $10,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 289 | $10,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 2,001 | $10,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 1,330 | $10,000 | thousands by filing date | |
| BNY MELLON ETF TRUST | 09661T602 | CORE BOND ETF | 200 | $10,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 140 | $10,000 | thousands by filing date | |
| WILLAMETTE VY VINEYARD I | 969136100 | COMMON STOCK | 1,600 | $10,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,167 | $10,000 | thousands by filing date | |
| ISHARES TR | 46436E601 | ESG MSCI EM LDRS | 162 | $10,000 | thousands by filing date | |
| BNY MELLON ETF TRUST | 09661T800 | HIGH YIELD ETF | 180 | $10,000 | thousands by filing date | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 200 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 313 | $10,000 | thousands by filing date | |
| AMESITE INC | 031094105 | COM | 2,000 | $10,000 | thousands by filing date | |
| VERICITY INC | 92347D100 | COM | 1,019 | $10,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 6,500 | $10,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 7,612 | $10,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F759 | CHINA GROWTH LDR | 206 | $10,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413209 | UNIT 07/16/2025 | 700 | $10,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 200 | $9,000 | thousands by filing date | put |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 28,000 | $9,000 | thousands by filing date | call |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 120 | $9,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 1,077 | $9,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 610 | $9,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 1,645 | $9,000 | thousands by filing date | |
| BLUE RIDGE BANKSHARES INC | 095825105 | COMMON STOCK | 500 | $9,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 1,471 | $9,000 | thousands by filing date | |
| RIDENOW GROUP INC | 781386305 | COM CL B | 313 | $9,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 2,229 | $9,000 | thousands by filing date | |
| PIONEER PWR SOLUTIONS IN | 723836300 | COMMON STOCK | 2,410 | $9,000 | thousands by filing date | |
| PROSHARES TR II | 74347Y888 | CMN | 260 | $9,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 6,825 | $9,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 250 | $9,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 1,697 | $9,000 | thousands by filing date | |
| RADIUS GLOBAL INFRASTRUCTURE INC | 750481103 | COMMON STOCK | 703 | $9,000 | thousands by filing date | |
| Merrimack Pharmaceuticals Inc | 590328209 | Common / Ordinary Stock | 1,315 | $9,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 2,185 | $9,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 1,250 | $9,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 4,000 | $9,000 | thousands by filing date | principal |
| GWG HLDGS INC | 36192A109 | COM | 1,273 | $9,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 3,072 | $9,000 | thousands by filing date | |
| PUXIN LTD | 74704P108 | ADS | 1,509 | $9,000 | thousands by filing date | |
| SOCIAL CAP HEDSPIA HLDG CO I | G8251K123 | UNIT 99/99/9999 | 490 | $9,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 200 | $8,000 | thousands by filing date | put |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 200 | $8,000 | thousands by filing date | put |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 533 | $8,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J726 | RAFI STRG US ETF | 282 | $8,000 | thousands by filing date | |
| FURY GOLD MINES LTD | 36117T100 | COM | 5,370 | $8,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 700 | $8,000 | thousands by filing date | |
| PROSHARES TR | 74348A814 | INFLATN EXPECTNS | 298 | $8,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 624 | $8,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 899 | $8,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 2,500 | $8,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 4,000 | $8,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B602 | IQ REAL RTN ETF | 301 | $8,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 675 | $8,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 4,967 | $8,000 | thousands by filing date | |
| IMV INC | 44974L103 | COM | 2,500 | $8,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 1,048 | $8,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 4,000 | $8,000 | thousands by filing date | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 2,422 | $8,000 | thousands by filing date | |
| MEDAVAIL HOLDINGS INC | 58406B103 | COM | 500 | $8,000 | thousands by filing date | |
| DECARBONIZATION PLUS ACQUISITION CORP | 242797116 | *W EXP 10/02/202 | 4,152 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 23,200 | $7,000 | thousands by filing date | |
| SEACOR MARINE HLDGS INC COM | 78413P101 | Stock | 2,380 | $7,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 424 | $7,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 2,157 | $7,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 988 | $7,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 1,000 | $7,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 70 | $7,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L688 | STOX GBL ESG SLT | 55 | $7,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 653 | $7,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375205 | CL A | 406 | $7,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 7,000 | $7,000 | thousands by filing date | principal |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 2,330 | $7,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 4,370 | $7,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 812 | $7,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 5,196 | $7,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E446 | PURBETA US AGG | 259 | $7,000 | thousands by filing date | |
| BBQ HLDGS INC | 05551A109 | CMN | 1,400 | $7,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 1,766 | $7,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 1,865 | $6,000 | thousands by filing date | |
| BIOATLA INC | 09077B104 | COM | 173 | $6,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 2,033 | $6,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 1,655 | $6,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W730 | CMN | 140 | $6,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 1,835 | $6,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 451 | $6,000 | thousands by filing date | |
| AYTU BIOPHARMA INC | 054754874 | COM | 964 | $6,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 9,600 | $6,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 198 | $6,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 2,000 | $6,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J692 | STRG EMERG ETF | 220 | $6,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 2,000 | $6,000 | thousands by filing date | principal |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 200 | $6,000 | thousands by filing date | |
| AKARI THERAPEUTICS PLC | 00972G108 | ADR | 3,000 | $6,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 6,000 | $6,000 | thousands by filing date | principal |
| HAILIANG ED GROUP INC | 40522L108 | SPONSORED ADR | 86 | $6,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 10,000 | $6,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 468 | $5,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 71 | $5,000 | thousands by filing date | |
| OLEMA PHARMACEUTICALS INC | 68062P106 | COM | 95 | $5,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 1,362 | $5,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 200 | $5,000 | thousands by filing date | call |
| DRAFTKINGS INC | 26142R104 | COM CL A | 100 | $5,000 | thousands by filing date | call |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 564 | $5,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 441 | $5,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 924 | $5,000 | thousands by filing date | |
| NETWORK-1 TECHNOLOGIES INC | 64121N109 | COM | 1,250 | $5,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 75 | $5,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430180 | MARKETBETA INTL | 100 | $5,000 | thousands by filing date | |
| ALITHYA GROUP INC | 01643b106 | COM | 2,384 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 80 | $5,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 5,000 | $5,000 | thousands by filing date | principal |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 2,000 | $5,000 | thousands by filing date | principal |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 1,409 | $5,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 2,000 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 2,447 | $5,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 900 | $5,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 1,000 | $5,000 | thousands by filing date | principal |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 4,231 | $5,000 | thousands by filing date | |
| FRANKLIN FTSE RUSSIA ETF | 35473P728 | OUTDATED | 185 | $5,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 2,000 | $5,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,000 | $5,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 14,260 | $5,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 5,000 | $5,000 | thousands by filing date | principal |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 2,445 | $5,000 | thousands by filing date | |
| MAXEON SOLAR TECHNOLOGIES LT | 58503F502 | COM | 170 | $5,000 | thousands by filing date | |
| SUNDANCE ENERGY INC | 86725N102 | COM | 2,752 | $5,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726113 | *W EXP 08/28/202 | 3,000 | $5,000 | thousands by filing date | |
| VEONEER INC | 92336XAA7 | NOTE 4.000% 6/0 | 4,000 | $5,000 | thousands by filing date | principal |
| AUDIOEYE INC | 050734201 | COM NEW | 150 | $4,000 | thousands by filing date | |
| BIG SKY INDL INC | 911805307 | COM | 994 | $4,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 323 | $4,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 100 | $4,000 | thousands by filing date | call |
| GLOBAL INDEMNITY GROUP LLC | 37959R103 | COM CL A | 152 | $4,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 448 | $4,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 216 | $4,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 586 | $4,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,062 | $4,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 129 | $4,000 | thousands by filing date | |
| GREAT ELM GROUP INC COM NEW | 39037G109 | COM NEW | 1,375 | $4,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 2,000 | $4,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 1,151 | $4,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 407 | $4,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 610 | $4,000 | thousands by filing date | |
| INOZYME PHARMA INC | 45790W108 | COM | 179 | $4,000 | thousands by filing date | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 1,594 | $4,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 1,200 | $4,000 | thousands by filing date | |
| AMBER INTL HLDG LTD SPON ADS NEW | 45113Y104 | ADR | 428 | $4,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAC9 | NOTE 1.375% 5/1 | 1,000 | $4,000 | thousands by filing date | principal |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 955 | $4,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 1,022 | $4,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 954 | $4,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 1,912 | $4,000 | thousands by filing date | |
| IMMUNOPRECISE ANTIBODIES LTDCOM NEW | 45257F200 | cs | 300 | $4,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 864 | $4,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 910 | $4,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 159 | $4,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 6,250 | $4,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 1,000 | $4,000 | thousands by filing date | principal |
| NAVIOS MARITIME ACQUIS CORP | Y62159143 | SHS | 1,206 | $4,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 486 | $4,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B388 | IQ U.S. LRGE CAP | 150 | $4,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 2,003 | $4,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 2,900 | $4,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 576 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435U382 | MSCI JP EQUL | 94 | $4,000 | thousands by filing date | |
| PROSHARES TR | 74348A319 | ULTSHT RUSS2000 | 699 | $4,000 | thousands by filing date | |
| GOLDEN NUGGET ONLINE GAMIN | 38113L115 | *W EXP 05/09/202 | 500 | $4,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 298 | $3,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 771 | $3,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 465 | $3,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 400 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 100 | $3,000 | thousands by filing date | put |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 1,000 | $3,000 | thousands by filing date | |
| Low Duration Preferre | 26922A198 | AAM LW DUR PFD | 105 | $3,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 454 | $3,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P108 | INTL COR DIV TIL | 137 | $3,000 | thousands by filing date | |
| METALLA ROYALTY & STREAMING | 59124U605 | COM | 200 | $3,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 407 | $3,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS | 00507W206 | COM | 365 | $3,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W755 | CMN | 252 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 149 | $3,000 | thousands by filing date | |
| PROSHARES TR | 74347R685 | PSHS ULTRA UTIL | 49 | $3,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 519 | $3,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 2,000 | $3,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 3,000 | $3,000 | thousands by filing date | principal |
| EXCELLON RES INC F | 30069C801 | FOREIGN CANADIAN | 1,100 | $3,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 1,601 | $3,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 1,258 | $3,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 800 | $3,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 2,000 | $3,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 2,025 | $3,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 1,038 | $3,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 4,500 | $3,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 3,094 | $3,000 | thousands by filing date | |
| NULL | 68620A203 | NULL | 242 | $3,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 7,210 | $3,000 | thousands by filing date | |
| SOS LIMITED | 83587W106 | SPNSORD ADS NEW | 2,145 | $3,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 838 | $3,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 1,365 | $3,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T205 | COM NEW | 1,275 | $3,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 831 | $3,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 3,000 | $3,000 | thousands by filing date | principal |
| LUMINAR TECHNOLOGIES INC | 550424113 | *W EXP 12/02/202 | 166 | $3,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 550 | $3,000 | thousands by filing date | principal |
| National Holdings 22 Wts | 636375115 | *W EXP 01/18/202 | 20,000 | $3,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 430 | $2,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 800 | $2,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 2,700 | $2,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 1,889 | $2,000 | thousands by filing date | |
| LEGEND BIOTECH CORP | 52490G102 | SPONSORED ADS | 55 | $2,000 | thousands by filing date | |
| SEER INC | 81578P106 | COM CL A | 35 | $2,000 | thousands by filing date | |
| 4D MOLECULAR THERAPEUTICS INC COM | 35104E100 | Stock | 40 | $2,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 400 | $2,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 121 | $2,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 299 | $2,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 220 | $2,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 662 | $2,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 402 | $2,000 | thousands by filing date | |
| Gravity Co Ltd-Sponsore | 38911N206 | COM | 11 | $2,000 | thousands by filing date | |
| Youdao Inc - Adr | 98741T104 | COM | 61 | $2,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 710 | $2,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 701 | $2,000 | thousands by filing date | |
| CANTERBURY PK HLDG CORP | 13811E101 | COM | 200 | $2,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 96 | $2,000 | thousands by filing date | |
| EMBOTELLADORA ANDINA S A | 29081P204 | SPON ADR A | 120 | $2,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 100 | $2,000 | thousands by filing date | call |
| SOTHERLY HOTELS INC | 83600C103 | COM | 1,000 | $2,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 500 | $2,000 | thousands by filing date | |
| GULF RES INC | 40251W408 | COM | 400 | $2,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 1,000 | $2,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 2,000 | $2,000 | thousands by filing date | principal |
| XCEL BRANDS INC | 98400M101 | COM NEW | 1,732 | $2,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 1,100 | $2,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 200 | $2,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 1,000 | $2,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 2,100 | $2,000 | thousands by filing date | |
| Constellation Brands Inc Cl B | 21036P207 | Com | 10 | $2,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 149 | $2,000 | thousands by filing date | |
| PEDEVCO CORP C | 70532Y303 | OM PAR | 1,000 | $2,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 507 | $2,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P201 | COM NEW | 3,000 | $2,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 500 | $2,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 432 | $2,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 168 | $2,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 1,000 | $2,000 | thousands by filing date | principal |
| TORTOISE ACQUISITION CORP II | G89554110 | UNIT 06/14/2027 | 200 | $2,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J305 | MULTIFACTOR CO | 38 | $2,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 1,213 | $2,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 802 | $2,000 | thousands by filing date | |
| ESPORTS ENTMT GROUP INC | 29667K116 | *W EXP 04/16/202 | 807 | $2,000 | thousands by filing date | |
| HANCOCK JAFFE LABORATORIES I | 41015N304 | COM NEW | 221 | $2,000 | thousands by filing date | |
| VESPER HEALTHCARE ACQSTN COR | 92538T203 | UNIT 99/99/9999 | 175 | $2,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 718 | $2,000 | thousands by filing date | |
| CHINA ONLINE ED GROUP | 16954L105 | SPONSORED ADR | 58 | $2,000 | thousands by filing date | |
| YUMANITY THERAPEUTICS INC | 98872L102 | COM | 125 | $2,000 | thousands by filing date | |
| ISHARES MSCI USA MIDCAP | 46435U143 | ETF | 51 | $2,000 | thousands by filing date | |
| ISHARES TR | 46435G276 | MSCI ARGENTINA | 75 | $2,000 | thousands by filing date | |
| IRSA PROPIEDADES COMERCIALES | 463588103 | SPONSORED ADR | 192 | $2,000 | thousands by filing date | |
| BOQII HLDG LTD | 09950L104 | SPONSORED ADS | 378 | $2,000 | thousands by filing date | |
| GREENVISION ACQUISITION CORP | 39678G202 | UNIT 10/28/2024 | 139 | $2,000 | thousands by filing date | |
| RUHNN HLDG LTD | 781314109 | ADS | 726 | $2,000 | thousands by filing date | |
| SENECA BIOPHARMA INC | 81689B103 | COM | 2,121 | $2,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884203 | UNIT 99/99/9999 | 103 | $2,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 46 | $1,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 724 | $1,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 608 | $1,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A309 | COMMON STOCK | 222 | $1,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 142 | $1,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 200 | $1,000 | thousands by filing date | |
| SONIDA SENIOR LIVING INC | 140475203 | COMMON STOCK | 109 | $1,000 | thousands by filing date | |
| SCULLY ROYALTY LTD | G7T96K107 | COM SHS | 180 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 1,557 | $1,000 | thousands by filing date | principal |
| Up Fintech Holding Ltd | 91531W106 | COM | 160 | $1,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 285 | $1,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 297 | $1,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877201 | COM NEW | 50 | $1,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 434 | $1,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 15 | $1,000 | thousands by filing date | |
| JIAYIN GROUP INC | 47737C104 | CMN | 445 | $1,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 100 | $1,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 100 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 20 | $1,000 | thousands by filing date | |
| BATTALION OIL CORP | 07134L107 | COM | 151 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-21-002692 | this filing | 2021-02-10 | acceptance time not in the bulk data set |