13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-07-26, with 2,098 holding rows worth $29,723,279,000.
- Accession
- 0001580642-19-003351
- Filer
- CIK 1540235
- Filed
- 2019-07-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 2,392 entries on the cover page, a total value of $29,723,279,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $29,723,279,000 with VALUE read as thousands by filing date, 13F file number 028-14616. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| BLACKROCK CAP INVT CORP | 092533108 | COM | 40,110 | $242,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 5,280 | $241,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 3,166 | $241,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 14,982 | $240,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 4,795 | $239,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 20,000 | $238,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 4,486 | $237,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 6,327 | $237,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,961 | $237,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 20,696 | $237,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 8,878 | $236,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 17,505 | $236,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 1,479 | $235,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,675 | $235,000 | thousands by filing date | |
| KONTOOR BRANDS INC | 50050N103 | COM | 8,388 | $235,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 56,131 | $235,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 3,055 | $234,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 4,314 | $234,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 7,068 | $234,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 3,837 | $233,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 29,482 | $233,000 | thousands by filing date | |
| PROSHARES TR PSHS ULTRA DOW30 | 74347r305 | INDX FD | 4,800 | $233,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 19,302 | $231,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 6,027 | $231,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 14,380 | $231,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 20,555 | $231,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 2,237 | $231,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 131,129 | $231,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 3,224 | $231,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 7,862 | $230,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 16,870 | $230,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 4,499 | $229,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 8,058 | $229,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 28,403 | $229,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 8,255 | $228,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 3,803 | $227,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 34,390 | $227,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $227,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 1,715 | $225,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 6,767 | $225,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 60,173 | $225,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 11,100 | $225,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 9,816 | $224,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 1,069 | $224,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 4,467 | $224,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 130,984 | $223,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 18,803 | $222,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 711 | $222,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 14,269 | $222,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 6,018 | $222,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 5,775 | $222,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 8,848 | $221,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 8,940 | $220,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 8,518 | $220,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,854 | $220,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 17,499 | $220,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,000 | $220,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 2,800 | $219,000 | thousands by filing date | |
| ABRDN PLATINUM ETF TRUST | 003260106 | PHYSCL PLATM SHS | 2,775 | $219,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 14,759 | $219,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 3,971 | $218,000 | thousands by filing date | |
| INVESCO S&P 500 TOP 50 ETF | 46137V233 | ETF | 1,041 | $218,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 11,078 | $218,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,253 | $218,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,227 | $218,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 9,278 | $217,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 19,718 | $217,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 14,191 | $217,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 3,000 | $216,000 | thousands by filing date | call |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 2,992 | $216,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 26,366 | $216,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,872 | $216,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 6,373 | $215,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 6,901 | $215,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 5,017 | $215,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 1,780 | $214,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 4,472 | $214,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 12,641 | $214,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 9,267 | $214,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,214 | $214,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,937 | $214,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 6,881 | $213,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2,873 | $213,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 12,500 | $213,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 1,626 | $212,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,000 | $212,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,114 | $212,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 3,596 | $211,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 6,859 | $211,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,252 | $211,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 2,693 | $210,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,172 | $210,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E291 | GLOBX SUPDV US | 9,277 | $210,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,017 | $209,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 5,541 | $209,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 12,617 | $209,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 4,656 | $208,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 6,236 | $207,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 7,355 | $207,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 4,130 | $207,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 9,620 | $207,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 3,666 | $206,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 1,005 | $206,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,750 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,200 | $206,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 6,102 | $206,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 50,001 | $206,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 3,629 | $205,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 2,824 | $205,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,521 | $204,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 2,552 | $204,000 | thousands by filing date | |
| ANAPTYSBIO INC | 032724106 | COM | 3,622 | $204,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 56,647 | $204,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 8,706 | $203,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 3,579 | $203,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 7,491 | $203,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,278 | $202,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 14,613 | $202,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 52,034 | $202,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 4,196 | $201,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 1,162 | $201,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 19,518 | $196,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 55,037 | $196,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 11,064 | $195,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 58,167 | $195,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 16,994 | $193,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q705 | COM PAR NEW | 50,508 | $193,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 19,026 | $192,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 37,495 | $192,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 14,309 | $192,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K133 | DAILY GOLD MINER | 16,900 | $192,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 13,930 | $191,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 29,677 | $191,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 11,177 | $191,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 14,316 | $189,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $189,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,000 | $188,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 13,341 | $187,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 17,550 | $187,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,349 | $186,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 12,294 | $184,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 23,138 | $183,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,356 | $183,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 139,000 | $182,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 5,900 | $181,000 | thousands by filing date | call |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,335 | $181,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 25,253 | $181,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $181,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 18,951 | $180,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $180,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 12,850 | $179,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 10,000 | $178,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 23,662 | $178,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 33,700 | $178,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 28,950 | $178,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 13,608 | $176,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,012 | $175,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 16,000 | $175,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 30,350 | $175,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 17,512 | $174,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 55,095 | $174,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 10,326 | $173,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 11,419 | $170,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 15,873 | $170,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J114 | RIGHT 07/12/2019 | 87,062 | $170,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 119,031 | $168,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 16,675 | $168,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 21,849 | $167,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 12,249 | $167,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 18,150 | $167,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 16,595 | $166,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 18,632 | $165,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 12,700 | $165,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 104,127 | $165,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 14,285 | $164,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 41,686 | $162,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 15,840 | $162,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 28,085 | $161,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $161,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,200 | $160,000 | thousands by filing date | call |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 17,365 | $157,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,780 | $156,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $152,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 52,431 | $149,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 49,610 | $149,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 17,837 | $148,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,000 | $148,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 2,700 | $147,000 | thousands by filing date | call |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 55,239 | $147,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 12,325 | $146,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,750 | $144,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 16,336 | $144,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 19,359 | $144,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 10,120 | $143,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 17,057 | $142,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 25,044 | $142,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 11,490 | $142,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 59,787 | $142,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 33,790 | $141,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 92,597 | $140,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,460 | $139,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 15,135 | $138,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 32,233 | $137,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 11,800 | $137,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,787 | $137,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 10,980 | $136,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,658 | $135,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 25,132 | $134,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,225 | $133,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 23,943 | $133,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 11,548 | $133,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90274D432 | ETRACS MNTLY PAY | 10,000 | $133,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 16,395 | $132,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 14,114 | $131,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 145,005 | $131,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 12,506 | $130,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 11,843 | $128,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 24,900 | $126,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 50,000 | $125,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,700 | $124,000 | thousands by filing date | call |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 10,754 | $124,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 20,000 | $124,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 19,900 | $123,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 13,603 | $122,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,518 | $122,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 18,954 | $121,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 17,000 | $121,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 250,100 | $120,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 20,347 | $116,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 16,874 | $116,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 61,492 | $115,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 19,066 | $111,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 11,713 | $110,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 60,903 | $110,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 10,471 | $110,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 44,681 | $109,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 13,235 | $109,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 14,519 | $109,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 13,564 | $108,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 57,531 | $108,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 42,722 | $108,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,936 | $106,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 3,500 | $105,000 | thousands by filing date | call |
| IGC PHARMA INC | 45408X308 | COM NEW | 64,039 | $105,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 17,652 | $102,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 23,300 | $100,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $99,000 | thousands by filing date | principal |
| Bank of America Corp | 060505104 | COM | 135,000 | $96,000 | thousands by filing date | call |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 16,143 | $95,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 11,326 | $94,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 11,465 | $94,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 19,918 | $94,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,181 | $92,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,000 | $88,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 16,809 | $88,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $88,000 | thousands by filing date | principal |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $87,000 | thousands by filing date | principal |
| VALHI INC NEW | 918905100 | COM | 28,851 | $86,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 20,529 | $85,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 11,650 | $84,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 10,139 | $83,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 166,475 | $83,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 36,265 | $82,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 17,036 | $82,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 15,000 | $82,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 101,300 | $81,000 | thousands by filing date | call |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 32,858 | $81,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 25,800 | $81,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,467 | $80,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,000 | $79,000 | thousands by filing date | call |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 89,450 | $77,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 2,000 | $76,000 | thousands by filing date | put |
| Johnson & Johnson | 478160104 | COM | 27,300 | $75,000 | thousands by filing date | put |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 63,046 | $75,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 20,011 | $74,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 21,602 | $73,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 62,000 | $73,000 | thousands by filing date | principal |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 15,312 | $72,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,943 | $72,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 10,734 | $72,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 117,675 | $71,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 54,921 | $71,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 10,070 | $70,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,961 | $69,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,211 | $69,000 | thousands by filing date | |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 40,000 | $68,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 5,500 | $67,000 | thousands by filing date | call |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 800 | $66,000 | thousands by filing date | call |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 10,908 | $66,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 25,100 | $65,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,000 | $64,000 | thousands by filing date | call |
| Netflix, Inc | 64110L106 | COM | 2,000 | $64,000 | thousands by filing date | call |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,850 | $64,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,000 | $64,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 15,832 | $63,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 25,154 | $63,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 100,000 | $63,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,644 | $62,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 11,325 | $61,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 44,477 | $60,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 30,602 | $60,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 12,495 | $59,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 11,700 | $59,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 5,500 | $57,000 | thousands by filing date | call |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $57,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 23,324 | $57,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $56,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 10,000 | $55,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 56,005 | $53,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 10,000 | $53,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 6,000 | $52,000 | thousands by filing date | call |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,900 | $52,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $52,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 10,340 | $51,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 27,242 | $51,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 17,025 | $50,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $50,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $50,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 34,742 | $48,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 16,850 | $48,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 15,200 | $48,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 7,047 | $47,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 3,500 | $46,000 | thousands by filing date | call |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 21,081 | $46,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 11,435 | $46,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $46,000 | thousands by filing date | principal |
| HC2 HLDGS INC | 404139107 | COM | 19,013 | $45,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,500 | $44,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,200 | $43,000 | thousands by filing date | call |
| CTI BIOPHARMA CORP | 12648L601 | COM | 50,073 | $43,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 12,390 | $42,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 24,144 | $42,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 30,000 | $42,000 | thousands by filing date | principal |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 25,600 | $40,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 15,100 | $40,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $40,000 | thousands by filing date | principal |
| Advanced Micro Devices,Inc. | 007903107 | COM | 20,200 | $39,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 17,480 | $39,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,300 | $39,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 18,640 | $38,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 14,000 | $38,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $38,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 1,500 | $37,000 | thousands by filing date | call |
| Visa Inc | 92826C839 | COM | 500 | $37,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 1,500 | $36,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,200 | $36,000 | thousands by filing date | call |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 12,116 | $35,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 15,650 | $35,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,448 | $34,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 12,513 | $34,000 | thousands by filing date | |
| RIOT PLATFORMS INC | 767292105 | COM | 10,952 | $34,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 27,726 | $34,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,472 | $34,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $34,000 | thousands by filing date | principal |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 3,700 | $32,000 | thousands by filing date | call |
| POLYMET MINING CORP | 731916102 | COM | 74,500 | $32,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 13,000 | $32,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 11,022 | $32,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 14,297 | $31,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975402 | COM | 10,000 | $30,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 22,000 | $29,000 | thousands by filing date | |
| AURYN RES INC | 05208W108 | COM | 16,848 | $29,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 26,000 | $29,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 700 | $28,000 | thousands by filing date | call |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 900 | $28,000 | thousands by filing date | call |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $28,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 59,826 | $28,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,012 | $27,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 10,165 | $27,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 700 | $26,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 1,300 | $26,000 | thousands by filing date | call |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,805 | $26,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,300 | $25,000 | thousands by filing date | call |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 10,169 | $25,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,513 | $25,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 13,402 | $25,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 9,200 | $24,000 | thousands by filing date | put |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 10,800 | $24,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 25,550 | $24,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $23,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,094 | $23,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $23,000 | thousands by filing date | principal |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 1,000 | $22,000 | thousands by filing date | call |
| TWILIO INC CL A | 90138F102 | Stock | 900 | $22,000 | thousands by filing date | call |
| ABIOMED INC | 003654100 | COM | 600 | $22,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $22,000 | thousands by filing date | principal |
| Salesforce.com, Inc | 79466L302 | COM | 2,200 | $21,000 | thousands by filing date | call |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 20,000 | $21,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $21,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 13,200 | $20,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 26,785 | $20,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 20,000 | $20,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| ZSCALERINC | 98980G102 | STOK | 1,000 | $19,000 | thousands by filing date | call |
| BEYOND MEAT INC | 08862E109 | COM | 800 | $19,000 | thousands by filing date | call |
| Costco Wholesale Corporation | 22160K105 | COM | 600 | $18,000 | thousands by filing date | call |
| RH | 74967X103 | COM | 1,000 | $18,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 8,300 | $18,000 | thousands by filing date | put |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 29,314 | $17,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 16,714 | $17,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 6,000 | $16,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 13,388 | $16,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 15,232 | $16,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 20,854 | $16,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $16,000 | thousands by filing date | principal |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 2,000 | $15,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 27,900 | $15,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 15,975 | $15,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,000 | $15,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 17,762 | $15,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $15,000 | thousands by filing date | principal |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $14,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 13,464 | $14,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 12,260 | $14,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 30,000 | $14,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 12,334 | $14,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC COM NEW | 767836307 | Stock | 13,260 | $14,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 15,000 | $13,000 | thousands by filing date | put |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 15,954 | $13,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $11,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 1,500 | $11,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 1,300 | $11,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 5,600 | $11,000 | thousands by filing date | put |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $11,000 | thousands by filing date | principal |
| FLEX PHARMA INC | 33938A105 | COM | 20,000 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 11,000 | $11,000 | thousands by filing date | principal |
| INVESCO QQQ TR | 46090E103 | COM | 4,000 | $10,000 | thousands by filing date | put |
| NVIDIA Corp | 67066G104 | COM | 800 | $10,000 | thousands by filing date | call |
| S&P Global,Inc. | 78409V104 | COM | 3,000 | $10,000 | thousands by filing date | put |
| ServiceNow,Inc. | 81762P102 | COM | 300 | $10,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 5,700 | $10,000 | thousands by filing date | call |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,000 | $10,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 26,475 | $10,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 10,200 | $10,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 100 | $9,000 | thousands by filing date | call |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 1,900 | $9,000 | thousands by filing date | put |
| WORKDAY INC CL A | 98138H101 | Stock | 500 | $9,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 1,000 | $9,000 | thousands by filing date | call |
| BED BATH & BEYOND INC | 690370101 | COM | 7,500 | $9,000 | thousands by filing date | call |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,000 | $9,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 15,550 | $9,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $9,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 10,000 | $9,000 | thousands by filing date | principal |
| CANOPY GROWTH CORP | 138035100 | COM | 4,600 | $8,000 | thousands by filing date | call |
| ALIO GOLD INC | 01627X108 | COM | 10,240 | $8,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 2,400 | $7,000 | thousands by filing date | put |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 10,500 | $7,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 10,000 | $7,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 300 | $6,000 | thousands by filing date | call |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 400 | $6,000 | thousands by filing date | put |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 1,000 | $6,000 | thousands by filing date | call |
| ALLERGAN PLC | G0177J108 | SHS | 700 | $6,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,000 | $6,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 22,000 | $6,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y800 | COM | 14,150 | $6,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 5,500 | $5,000 | thousands by filing date | put |
| WAITR HLDGS INC | 930752100 | COM | 10,000 | $5,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 1,400 | $4,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,200 | $4,000 | thousands by filing date | put |
| GENERAL ELEC CO | 369604103 | COM | 229,900 | $4,000 | thousands by filing date | call |
| CROWN CASTLE INC COM | 22822V101 | REIT | 200 | $4,000 | thousands by filing date | call |
| HANESBRANDS INC | 410345102 | COM | 7,900 | $4,000 | thousands by filing date | call |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 10,000 | $4,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 300 | $3,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 300 | $3,000 | thousands by filing date | call |
| ISHARES TR | 464287523 | COM | 100 | $3,000 | thousands by filing date | call |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,000 | $3,000 | thousands by filing date | put |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 200 | $3,000 | thousands by filing date | call |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 500 | $3,000 | thousands by filing date | put |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 500 | $3,000 | thousands by filing date | call |
| Citigroup Inc. | 172967424 | COM | 800 | $2,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 5,200 | $2,000 | thousands by filing date | call |
| Procter & Gamble Co | 742718109 | COM | 1,800 | $2,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 1,000 | $2,000 | thousands by filing date | call |
| NEWELL BRANDS INC COM | 651229106 | Stock | 4,000 | $2,000 | thousands by filing date | call |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,000 | $2,000 | thousands by filing date | put |
| DROPBOX INC CL A | 26210C104 | Stock | 600 | $2,000 | thousands by filing date | call |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 10,000 | $2,000 | thousands by filing date | call |
| VENTAS INC COM | 92276F100 | REIT | 1,000 | $2,000 | thousands by filing date | put |
| LAM RESEARCH CORP | 512807108 | COM | 200 | $2,000 | thousands by filing date | put |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 100 | $2,000 | thousands by filing date | call |
| Amgen Inc. | 031162100 | COM | 700 | $1,000 | thousands by filing date | put |
| AT&T Inc | 00206R102 | COM | 1,000 | $1,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 500 | $1,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 800 | $1,000 | thousands by filing date | put |
| International Business Machines Corporation | 459200101 | COM | 100 | $1,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 100 | $1,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435105 | COM | 200 | $1,000 | thousands by filing date | put |
| KINROSS GOLD CORP | 496902404 | COM | 600 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 2,400 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 4,100 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 5,000 | $1,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,000 | $1,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 1,000 | $1,000 | thousands by filing date | call |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 100 | $1,000 | thousands by filing date | call |
| ROYAL BK CDA COM | 780087102 | Stock | 5,000 | $1,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,000 | $1,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-19-003351 | this filing | 2019-07-26 | acceptance time not in the bulk data set |