13F-HR filed by ROYAL BANK OF CANADA
ROYAL BANK OF CANADA filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-16, with 7,159 holding rows worth $345,120,174,000.
- Accession
- 0001567619-21-003895
- Filer
- CIK 1000275
- Filed
- 2021-02-16
- 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, 26,363 entries on the cover page, a total value of $345,120,174,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $345,120,174,000 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 |
|---|---|---|---|---|---|---|
| NUSHARES ETF TR | 67092P706 | CMN | 865 | $23,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 3,404 | $23,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 406 | $23,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 1,620 | $23,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 25,000 | $23,000 | thousands by filing date | principal |
| CURIS INC | 231269200 | COM | 2,800 | $23,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 3,549 | $23,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 4,856 | $23,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 1,890 | $23,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108870 | AMPLIFY EMERGING | 440 | $23,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 9,516 | $23,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 17,563 | $23,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 646 | $23,000 | thousands by filing date | principal |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 679 | $22,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 1,450 | $22,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 2,039 | $22,000 | thousands by filing date | |
| SHATTUCK LABS INC | 82024L103 | COMMON STOCK | 411 | $22,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 1,137 | $22,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 640 | $22,000 | thousands by filing date | |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 1,305 | $22,000 | thousands by filing date | |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 30,555 | $22,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R601 | WBI BBR VAL 3000 | 820 | $22,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A784 | APTUS DRAWDOWN | 600 | $22,000 | thousands by filing date | |
| ADVANTAGE SOLUTIONS INC. | 00791N102 | COM CL A | 1,656 | $22,000 | thousands by filing date | |
| OYSTER POINT PHARMA INC | 69242L106 | COMMON STOCK | 1,154 | $22,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 1,638 | $22,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 707 | $22,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 8,700 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 869 | $22,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 1,818 | $22,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B404 | HDG EVE DRIV | 954 | $22,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 21,279 | $22,000 | thousands by filing date | |
| GS FIN CORP | 362273302 | MEDIUM TERM NTS | 91 | $22,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 852 | $21,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 2,944 | $21,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 1,947 | $21,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 26,456 | $21,000 | thousands by filing date | |
| FRANCHISE GROUP INC | 35180X105 | COM | 677 | $21,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 635 | $21,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 496 | $21,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 1,858 | $21,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 1,406 | $21,000 | thousands by filing date | |
| DBX ETF TR ETF X TRACKERS SHORT DUR HIGH YIELD BOND ETF | 233051283 | ETF | 450 | $21,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 819 | $21,000 | thousands by filing date | |
| ISHARES MSCI UNITED KINGDOM SMALL-CAP ETF | 46429B416 | ETF | 500 | $21,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 458 | $21,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 5,757 | $21,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 5,739 | $21,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 4,424 | $21,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 25,195 | $21,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 291 | $21,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 2,700 | $21,000 | thousands by filing date | |
| ACUTUS MED INC | 005111109 | COM | 748 | $21,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 4,509 | $21,000 | thousands by filing date | |
| DBX ETF TR | 233051598 | XTRACK MSCI ALL | 898 | $21,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 1,800 | $21,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 5,268 | $21,000 | thousands by filing date | |
| YELLOWSTONE ACQUISITION CO | 98566K204 | UNIT 10/22/2025 | 2,000 | $21,000 | thousands by filing date | |
| REVOLUTION MEDICINES INC COM | 76155X100 | Stock | 496 | $20,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 1,539 | $20,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 5,086 | $20,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 1,729 | $20,000 | thousands by filing date | |
| OZON HLDGS PLC ADR | 69269L104 | SPONSORED ADS | 490 | $20,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 386 | $20,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 655 | $20,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 2,547 | $20,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 310 | $20,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 1,237 | $20,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 272 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 407 | $20,000 | thousands by filing date | |
| EAGLE CAP GROWTH FD INC | 269451100 | CLSD FD | 2,465 | $20,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 2,475 | $20,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y801 | DAIL CONS DI ETF | 394 | $20,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 2,285 | $20,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 4,195 | $20,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 15,462 | $20,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 3,543 | $20,000 | thousands by filing date | |
| KINNATE BIOPHARMA INC | 49705R105 | COM | 500 | $20,000 | thousands by filing date | |
| PINGTAN MARINE ENTERPRISE LT | G7114V102 | SHS | 10,784 | $20,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 5,010 | $20,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 8,194 | $20,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 6,923 | $20,000 | thousands by filing date | |
| WATFORD HOLDINGS LTD | G94787101 | SHS | 582 | $20,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B479 | IQ ENCH COR PL | 1,000 | $20,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 4,455 | $19,000 | thousands by filing date | |
| GRID DYNAMICS HLDGS INC | 39813G109 | CL A | 1,491 | $19,000 | thousands by filing date | |
| SELLAS LIFE SCIENCES GROUP I | 81642T209 | COM NEW | 3,300 | $19,000 | thousands by filing date | |
| LANDMARK BANCORP INC | 51504L107 | COMMON STOCK | 815 | $19,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 3,972 | $19,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 4,500 | $19,000 | thousands by filing date | |
| T ROWE PRICE ETF EXCHANGE TRADED FDS INC EQUITY INCOME ETF | 87283Q206 | ETF | 660 | $19,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 228 | $19,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 4,534 | $19,000 | thousands by filing date | |
| LANTERN PHARMA INC | 51654W101 | COM | 1,000 | $19,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 21,009 | $19,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 2,894 | $19,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 8,313 | $19,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 1,541 | $19,000 | thousands by filing date | |
| INHIBRX INC | 45720L107 | COM | 576 | $19,000 | thousands by filing date | |
| INTRUSION INC COM NEW | 46121e205 | COM | 1,050 | $19,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A130 | COM | 1,124 | $19,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 297 | $18,000 | thousands by filing date | |
| ALLEGRO MICROSYSTEMS INC | 01749D105 | COM | 670 | $18,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 2,476 | $18,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 3,797 | $18,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 198 | $18,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 513 | $18,000 | thousands by filing date | |
| AMERICAN RES CORP | 02927U208 | CL A | 9,000 | $18,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 4,685 | $18,000 | thousands by filing date | |
| NEXA RES S A | L67359106 | COM | 1,889 | $18,000 | thousands by filing date | |
| ISHARES TR | 46434V423 | MSCI SAUDI ARBIA | 570 | $18,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 437 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y808 | YIELD ENHANCED | 357 | $18,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 1,755 | $18,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 1,013 | $18,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 3,618 | $18,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 4,000 | $18,000 | thousands by filing date | principal |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 2,699 | $18,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 4,158 | $18,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 6,812 | $18,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H205 | SILVER FD | 475 | $18,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 1,038 | $18,000 | thousands by filing date | |
| PACER FDS TR | 69374H626 | CSOP FTSE CHINA | 764 | $18,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L101 | COM | 1,320 | $18,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 596 | $18,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,600 | $17,000 | thousands by filing date | |
| MINISO GROUP HLDG LTD SPONSORED ADS | 66981J102 | ADR | 663 | $17,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524714 | 1 5YR CORP BD | 323 | $17,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 1,356 | $17,000 | thousands by filing date | |
| ORIC PHARMACEUTICALS INC | 68622P109 | COM | 509 | $17,000 | thousands by filing date | |
| ISHARES GLOBAL EQUITY FACTOR ETF | 46434V316 | COM | 493 | $17,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 176 | $17,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 3,053 | $17,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 493 | $17,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 7,643 | $17,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 2,540 | $17,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V423 | S&P 500 VLU MOMN | 415 | $17,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 1,528 | $17,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 10,612 | $17,000 | thousands by filing date | |
| GRANITESHARES PLATINUM TR | 38748T103 | SHS BEN INT | 1,600 | $17,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 3,205 | $17,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 200 | $17,000 | thousands by filing date | |
| MARINE PETE TR | 568423107 | UNIT BEN INT | 5,000 | $17,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 170 | $17,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 1,617 | $17,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 933 | $17,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 4,630 | $17,000 | thousands by filing date | |
| EYENOVIA INC | 30234E104 | COM | 2,800 | $17,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 5,444 | $17,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 16,845 | $17,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,043 | $17,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 31,857 | $17,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505756 | INNOVATION SHS | 450 | $17,000 | thousands by filing date | |
| ALBERTON ACQUISITION CORP | G35006108 | ORD SHS | 1,500 | $17,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 310 | $16,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 144 | $16,000 | thousands by filing date | |
| CANAAN INC | 134748102 | SPONSORED ADS | 2,712 | $16,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P744 | FTSE JAPAN ETF | 550 | $16,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 3,376 | $16,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 142 | $16,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 136 | $16,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 257 | $16,000 | thousands by filing date | |
| DATTO HOLDING CORPORATION | 23821D100 | COM | 593 | $16,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 1,200 | $16,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 1,500 | $16,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 809 | $16,000 | thousands by filing date | |
| LAIRD SUPERFOOD INC | 50736T102 | CMN | 333 | $16,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 980 | $16,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 6,625 | $16,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 2,291 | $16,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 483 | $16,000 | thousands by filing date | |
| PRAXIS PRECISION MEDICINES I | 74006W108 | COM | 284 | $16,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 3,000 | $16,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 4,800 | $16,000 | thousands by filing date | |
| PASSAGE BIO INC | 702712100 | COM | 638 | $16,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,400 | $16,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 418 | $16,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 1,520 | $16,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 5,400 | $16,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 3,885 | $16,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 1,004 | $16,000 | thousands by filing date | |
| BCLS ACQUISITION CORP | G0904B105 | CMN | 1,400 | $16,000 | thousands by filing date | |
| QELL- A SHRS | G7307X113 | EQUITY WRT | 5,000 | $16,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 507 | $15,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 973 | $15,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 1,064 | $15,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 2,784 | $15,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 2,000 | $15,000 | thousands by filing date | |
| NATIXIS ETF TRUST II | 63875W208 | VAUGHAN NELSN SL | 531 | $15,000 | thousands by filing date | |
| ALERUS FINL CORP | 01446U103 | COM | 554 | $15,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 626 | $15,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 4,630 | $15,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 9,222 | $15,000 | thousands by filing date | |
| FRANKLIN FTSE EUROPE ETF | 35473P652 | ETF | 581 | $15,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 794 | $15,000 | thousands by filing date | |
| ATEA PHARMACEUTICALS INC | 04683R106 | COMMON STOCK | 362 | $15,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,179 | $15,000 | thousands by filing date | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 321 | $15,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 564 | $15,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,096 | $15,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y782 | EMGRING MKTS | 598 | $15,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 10,420 | $15,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N550 | VCTRYSHS INTL MO | 333 | $15,000 | thousands by filing date | |
| Berry Corp | 08579X101 | Common Stock | 4,070 | $15,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 366 | $15,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 889 | $15,000 | thousands by filing date | |
| ALIGOS THERAPEUTICS INC COM NEW | 01626L105 | Stock | 543 | $15,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 1,868 | $15,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 4,120 | $15,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 825 | $15,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 2,174 | $15,000 | thousands by filing date | |
| ALTABANCORP | 021347109 | COM | 522 | $15,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 5,164 | $15,000 | thousands by filing date | |
| ARTARA THERAPEUTICS INC | 04300J107 | COM | 600 | $15,000 | thousands by filing date | |
| STANDARD AVB FINANCIAL CORP | 85303b100 | COM | 455 | $15,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 763 | $15,000 | thousands by filing date | |
| Schwab 5-10 Year Corporate Bond ETF | 808524698 | SHS | 260 | $14,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 329 | $14,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 2,607 | $14,000 | thousands by filing date | |
| RELAY THERAPEUTICS INC COM | 75943R102 | Stock | 343 | $14,000 | thousands by filing date | |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 656 | $14,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 100 | $14,000 | thousands by filing date | put |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 168 | $14,000 | thousands by filing date | |
| VAXCYTE INC COM | 92243G108 | Stock | 525 | $14,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q399 | BETABUILDRS US | 198 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F601 | URANI NUCLE ETF | 266 | $14,000 | thousands by filing date | |
| MEDIAALPHA INC | 58450V104 | CL A | 357 | $14,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 1,600 | $14,000 | thousands by filing date | call |
| PARSLEY ENERGY INC | 701877102 | CL A | 1,000 | $14,000 | thousands by filing date | call |
| HYSTER-YALE INC | 449172105 | CL A | 228 | $14,000 | thousands by filing date | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 445 | $14,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 622 | $14,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 857 | $14,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 1,677 | $14,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416409 | HARTFORD US EQTY | 400 | $14,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 2,466 | $14,000 | thousands by filing date | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 900 | $14,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 5,807 | $14,000 | thousands by filing date | |
| OUTSET MEDICAL INC | 690145107 | COM | 256 | $14,000 | thousands by filing date | |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 1,553 | $14,000 | thousands by filing date | |
| FIRST BANCSHARES INC MISS | 318916103 | COM | 441 | $14,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 2,247 | $14,000 | thousands by filing date | |
| EXFO INC | 302046107 | SUB VTG SHS | 4,033 | $14,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 251 | $14,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 931 | $14,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154207 | COMMON | 2,620 | $14,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 8,710 | $14,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,257 | $14,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 3,000 | $14,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M300 | COM | 21,844 | $14,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 4,359 | $14,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C417 | US EQTY PWR BUF | 506 | $13,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 10,290 | $13,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 623 | $13,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 6,906 | $13,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L607 | MULTI SEC MUNI | 562 | $13,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 1,025 | $13,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 1,159 | $13,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 913 | $13,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 1,769 | $13,000 | thousands by filing date | |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 399 | $13,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 1,810 | $13,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 257 | $13,000 | thousands by filing date | |
| NURIX THERAPEUTICS INC | 67080M103 | COMMON STOCK | 405 | $13,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 7,842 | $13,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 3,060 | $13,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 659 | $13,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 349 | $13,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 394 | $13,000 | thousands by filing date | |
| BIRKS GROUP INC | 09088U109 | CL A COM | 15,000 | $13,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 1,586 | $13,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 475 | $13,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 670 | $13,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 8,000 | $13,000 | thousands by filing date | |
| HEADHUNTER GROUP PLC ADR | 42207L106 | COM | 418 | $13,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 933 | $13,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 194 | $13,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,079 | $13,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 716 | $13,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 1,000 | $13,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 451 | $13,000 | thousands by filing date | |
| IKONICS CORP | 45172K102 | COM | 1,300 | $13,000 | thousands by filing date | |
| TEEKAY CORPORATION | 87900YAE3 | NOTE 5.000% 1/1 | 15,000 | $13,000 | thousands by filing date | principal |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 11,848 | $13,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 718 | $13,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 4,999 | $13,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 1,000 | $13,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 3,946 | $13,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 217 | $12,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 39,634 | $12,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 1,894 | $12,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 750 | $12,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 2,886 | $12,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 442487401 | CL A NEW | 381 | $12,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C532 | US EQTY ULTRA B | 425 | $12,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 597 | $12,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 319 | $12,000 | thousands by filing date | |
| TAYSHA GENE THERAPIES INC | 877619106 | COMMON STOCK | 469 | $12,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J106 | SHS | 1,500 | $12,000 | thousands by filing date | |
| ISHARES MSCI AGRICULTUREPRODUCERS ETF | 464286350 | ETF | 340 | $12,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 136 | $12,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430305 | ACTIVEBETA EUR | 363 | $12,000 | thousands by filing date | |
| BEYONDSPRING INC | G10830100 | SHS | 1,012 | $12,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 1,001 | $12,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 1,934 | $12,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 1,901 | $12,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 12,097 | $12,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 375 | $12,000 | thousands by filing date | |
| WIMI HOLOGRAM CLOUD INC | 97264L100 | SPON ADS CL B | 2,000 | $12,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 6,629 | $12,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F734 | RUSSIA SMALL CAP | 330 | $12,000 | thousands by filing date | |
| INVESCO DB G10 CURRENCY HRVS | 46139B102 | UNIT | 495 | $12,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q795 | US DIVIDEND | 460 | $12,000 | thousands by filing date | |
| SG BLOCKS INC | 78418A505 | COM NEW | 1,995 | $12,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E218 | MSCI NXT EMRNG | 635 | $12,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 3,620 | $12,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 2,375 | $12,000 | thousands by filing date | |
| ISHARES US ETF TR | 46431W820 | INT RT HD EMRG | 500 | $12,000 | thousands by filing date | |
| NORTHERN STAR ACQUISITION CO | 665742201 | UNIT 08/29/2025 | 787 | $12,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R502 | WBI BBR RNG 3000 | 420 | $12,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P111 | *W EXP 10/16/202 | 3,350 | $12,000 | thousands by filing date | |
| SUPERNOVA PARTNERS ACQUISITI | 86846V207 | UNIT 99/99/9999 | 1,000 | $12,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 624 | $12,000 | thousands by filing date | |
| MAGIC SOFTWARE ENTERPRISES LTD ORD | 559166103 | Stock | 679 | $11,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 432 | $11,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 333 | $11,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P660 | FRANKLIN ASIA | 395 | $11,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 1,036 | $11,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 700 | $11,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 3,659 | $11,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 110 | $11,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 4,139 | $11,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 484 | $11,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 293 | $11,000 | thousands by filing date | |
| AMERICAN CENTURY ETF TR QUALITY DIVERSIFIED INTL | 025072406 | ETF | 222 | $11,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 1,220 | $11,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y327 | GLBX MSCI COLUM | 355 | $11,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 4,653 | $11,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 421 | $11,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 5,020 | $11,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 873 | $11,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 1,000 | $11,000 | thousands by filing date | principal |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 12,500 | $11,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 11,000 | $11,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 6,000 | $11,000 | thousands by filing date | principal |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 4,449 | $11,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 3,224 | $11,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 347 | $11,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 5,500 | $11,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 214 | $11,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 4,487 | $11,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W114 | UNIT 10/23/2027 | 1,000 | $11,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 1,568 | $11,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N106 | STRATIFD LRG CAP | 195 | $11,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 605 | $11,000 | thousands by filing date | |
| Pershing Square T 25 WTS Warrants Exp 07/24/25 | 71531R117 | WT | 1,187 | $11,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 4,883 | $11,000 | thousands by filing date | |
| HIGHPOINT RESOURCES CORP COM | 43114K207 | Stock | 1,261 | $11,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 702 | $11,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 15,600 | $11,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 4,461 | $11,000 | thousands by filing date | |
| PACER FDS TR | 69374H618 | SALT HIG TRUBT | 300 | $11,000 | thousands by filing date | |
| FINTECH ACQ IV-A | 31810N104 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 244 | $10,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 1,203 | $10,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q779 | US MOMENTUM | 266 | $10,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 754 | $10,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 355 | $10,000 | thousands by filing date | |
| KYMERA THERAPEUTICS INC | 501575104 | COM | 160 | $10,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 1,691 | $10,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 442 | $10,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 645 | $10,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 872 | $10,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 238 | $10,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 600 | $10,000 | thousands by filing date | |
| FLANIGANS ENTERPRISES INC | 338517105 | COM | 500 | $10,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 1,301 | $10,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 1,849 | $10,000 | thousands by filing date | |
| DBX ETF TR | 233051697 | XTRACK MSCI EURO | 300 | $10,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 2,000 | $10,000 | thousands by filing date | |
| MANNATECH INC | 563771203 | COM NEW | 570 | $10,000 | thousands by filing date | |
| KALEIDO BIOSCIENCES INC | 483347100 | COM | 1,168 | $10,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 1,024 | $10,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 2,960 | $10,000 | thousands by filing date | |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 100 | $10,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 483 | $10,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 449 | $10,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 1,321 | $10,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 2,766 | $10,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 3,650 | $10,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 897 | $10,000 | thousands by filing date | |
| OPIANT PHARMACEUTICALS INC | 683750103 | COM | 1,200 | $10,000 | thousands by filing date | |
| OKTA INC | 679295AB1 | NOTE 0.250% 2/1 | 2,000 | $10,000 | thousands by filing date | principal |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 2,031 | $10,000 | thousands by filing date | |
| PULMATRIX INC COM | 74584P202 | Stock | 8,200 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347B748 | ULTSHT FINLS NEW | 1,338 | $10,000 | thousands by filing date | |
| AKUMIN INC | 01021F109 | COM | 3,198 | $10,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 3,115 | $10,000 | thousands by filing date | |
| HEALTHCARE SERVICES ACQU COR | 42227K203 | UNT | 1,000 | $10,000 | thousands by filing date | |
| MEDIGUS LTD SPON ADS NEW | 58471G300 | ADR | 5,000 | $10,000 | thousands by filing date | |
| MP MATERIALS CORP | 553368119 | *W EXP 05/04/202 | 664 | $10,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 2,312 | $10,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 708 | $10,000 | thousands by filing date | |
| ABSOLUTE SHS TR | 00400R841 | WBI BULBEAR TR | 500 | $10,000 | thousands by filing date | |
| OTR ACQUISITION CORP | 67113Q204 | UNIT 10/01/2025 | 1,000 | $10,000 | thousands by filing date | |
| MOUNTAIN CREST ACQUISITION C | 62401M106 | COM | 945 | $10,000 | thousands by filing date | |
| ISHARES TR | 46436E759 | COM | 150 | $9,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 1,022 | $9,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 926 | $9,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 194 | $9,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 2,697 | $9,000 | thousands by filing date | |
| ANNEXON INC | 03589W102 | COM | 379 | $9,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 2,604 | $9,000 | thousands by filing date | |
| ARCUTIS BIOTHERAPEUTICS INC | 03969K108 | COM | 323 | $9,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 819 | $9,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 1,205 | $9,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 1,843 | $9,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 253 | $9,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 691 | $9,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 371 | $9,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 372 | $9,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 444 | $9,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 245 | $9,000 | thousands by filing date | |
| APYX MEDICAL CORPORATION | 03837C106 | COM | 1,204 | $9,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25460G781 | DAI GOL BUL ETF | 123 | $9,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 1,690 | $9,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 365 | $9,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 595 | $9,000 | thousands by filing date | |
| FIRST US BANCSHARES INC | 33744V103 | COM | 1,000 | $9,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X418 | CMN | 94 | $9,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 337 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 456 | $9,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 164 | $9,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 9,751 | $9,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 419 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 20,555 | $9,000 | thousands by filing date | |
| ACCOLADE INC | 00437E102 | COM | 215 | $9,000 | thousands by filing date | |
| ITEOS THERAPEUTICS INC | 46565G104 | COM | 274 | $9,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 1,580 | $9,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 3,186 | $9,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 4,296 | $9,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 3,811 | $9,000 | thousands by filing date | |
| CITIZENS HLDG CO MISS | 174715102 | COM | 434 | $9,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 9,000 | $9,000 | thousands by filing date | principal |
| RINGCENTRAL INC | 76680RAD9 | NOTE 3/1 | 2,000 | $9,000 | thousands by filing date | principal |
| GRITSTONE BIO INC | 39868T105 | COM | 2,290 | $9,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 10,000 | $9,000 | thousands by filing date | principal |
| FLEXSHARES TR | 33939L811 | COM | 388 | $9,000 | thousands by filing date | |
| GENIUS SPORTS LIMITED | 233277102 | SHARES CL A | 500 | $9,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 311 | $9,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 1,734 | $9,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 406 | $9,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502846 | UNIT 11/15/2022 | 80 | $9,000 | thousands by filing date | principal |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 2,359 | $9,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 7,063 | $9,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 753 | $9,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 2,597 | $9,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 5,052 | $9,000 | thousands by filing date | |
| LEVEL ONE BANCORP INC | 52730d208 | COM | 433 | $9,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 4,870 | $9,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P793 | FTSE FRANCE | 324 | $9,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 27,500 | $9,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R300 | COM NEW | 1,250 | $9,000 | thousands by filing date | |
| PETROS PHARMACEUTICALS INC | 71678J100 | COM | 2,000 | $9,000 | thousands by filing date | |
| TIMKENSTEEL CORP | 887399AA1 | CONVERTIBLE BOND | 10,000 | $9,000 | thousands by filing date | principal |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 567 | $8,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 1,585 | $8,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 6,000 | $8,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 136 | $8,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 782011100 | COM | 400 | $8,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 1,723 | $8,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 1,524 | $8,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 1,018 | $8,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 330 | $8,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 423 | $8,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 461 | $8,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 7,269 | $8,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 846 | $8,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 696 | $8,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 3,580 | $8,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 789 | $8,000 | thousands by filing date | |
| FOGHORN THERAPEUTICS INC | 344174107 | COMMON STOCK | 372 | $8,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 360 | $8,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 1,979 | $8,000 | thousands by filing date | |
| WISDOMTREE INTERNATIONALMULTIFACTOR FUND | 97717Y774 | ETF | 321 | $8,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 1,227 | $8,000 | thousands by filing date | |
| OFS CREDIT COMPANY INC | 67111Q107 | COM | 669 | $8,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 2,000 | $8,000 | thousands by filing date | |
| DBX ETF TR | 233051192 | XTKR EMGRIN MKTS | 253 | $8,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 1,516 | $8,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,469 | $8,000 | thousands by filing date | |
| RAPT THERAPEUTICS INC | 75382E109 | COM | 371 | $8,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 545 | $8,000 | thousands by filing date | |
| OI SA-ADR | 670851500 | ADR | 4,023 | $8,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 4,000 | $8,000 | thousands by filing date | principal |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 739 | $8,000 | thousands by filing date | |
| SPRUCE BIOSCIENCES INC | 85209E109 | COM | 344 | $8,000 | thousands by filing date | |
| SQZ BIOTECHNOLOGIES CO | 78472W104 | COM | 293 | $8,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 512 | $8,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 512 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-21-003895 | this filing | 2021-02-16 | acceptance time not in the bulk data set |