13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-01, with 2,081 holding rows worth $30,711,361,000.
- Accession
- 0001580642-19-004915
- Filer
- CIK 1540235
- Filed
- 2019-11-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 2,353 entries on the cover page, a total value of $30,711,361,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $30,711,361,000 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 |
|---|---|---|---|---|---|---|
| GAIA INC NEW | 36269P104 | CL A | 36,190 | $237,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 8,251 | $236,000 | thousands by filing date | |
| SAILPOINT TECHNOLOGIES HOLDING | 78781P105 | COM | 12,636 | $236,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 9,828 | $235,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 2,305 | $235,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 4,991 | $233,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 20,696 | $233,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 28,656 | $233,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 7,149 | $232,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 9,309 | $232,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 2,256 | $232,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 1,813 | $231,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,653 | $231,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 37,975 | $231,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 62,375 | $231,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 2,793 | $230,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 4,621 | $230,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 6,086 | $230,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,253 | $230,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 123,761 | $230,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 6,916 | $229,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 52,034 | $229,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,252 | $228,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 49,652 | $228,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 13,980 | $227,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 10,175 | $226,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 1,495 | $226,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,852 | $226,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 25,979 | $226,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 5,494 | $225,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 1,724 | $225,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 7,862 | $225,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 13,539 | $225,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 18,918 | $225,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 3,321 | $225,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 24,663 | $224,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,750 | $224,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 3,344 | $224,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 17,199 | $224,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 2,600 | $224,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 3,830 | $223,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 3,068 | $223,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 9,552 | $222,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 131,129 | $222,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 18,700 | $222,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 11,100 | $222,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $222,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 954 | $221,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 18,386 | $220,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 9,710 | $220,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 2,666 | $220,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D218 | FI ENHANCD ETN | 1,198 | $220,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 15,128 | $219,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 6,111 | $219,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 6,483 | $218,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,000 | $218,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 11,136 | $218,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 5,541 | $217,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 5,738 | $217,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 3,952 | $217,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 3,766 | $217,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 4,033 | $216,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 8,331 | $216,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 137,691 | $215,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 1,044 | $215,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 13,197 | $215,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 12,500 | $215,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 9,348 | $214,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 1,968 | $214,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 8,033 | $214,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 6,020 | $214,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 5,111 | $214,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 15,723 | $214,000 | thousands by filing date | |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 2,794 | $213,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 169,815 | $212,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 13,395 | $212,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 1,246 | $211,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,546 | $211,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 3,687 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,214 | $211,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 18,646 | $211,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 4,471 | $211,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,196 | $210,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,299 | $210,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 28,488 | $210,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 4,087 | $210,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 14,857 | $210,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 6,107 | $209,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 3,328 | $209,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 20,712 | $208,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 8,957 | $208,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 8,145 | $207,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 6,723 | $207,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 19,531 | $207,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 12,820 | $205,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 2,844 | $204,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 5,522 | $203,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 5,634 | $203,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 4,612 | $203,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 15,730 | $203,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 5,434 | $203,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 2,226 | $203,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2,686 | $203,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 19,026 | $202,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 8,400 | $202,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 101,127 | $202,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 12,000 | $201,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 40,154 | $201,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 205,182 | $201,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,837 | $201,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 17,335 | $199,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 25,549 | $198,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 11,435 | $198,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 54,336 | $198,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 26,366 | $197,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 68,989 | $197,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 10,580 | $196,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 23,130 | $196,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 19,547 | $195,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 14,316 | $194,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 34,085 | $194,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,000 | $193,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 18,172 | $193,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,555 | $192,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 17,550 | $192,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 58,167 | $190,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 20,242 | $187,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 12,294 | $186,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 91,328 | $184,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 28,250 | $183,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 12,652 | $182,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 68,396 | $182,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 14,285 | $179,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 11,272 | $178,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 91,700 | $177,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,356 | $176,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 12,700 | $176,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 23,428 | $174,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 34,390 | $173,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 15,873 | $171,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 10,882 | $171,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 12,885 | $170,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $170,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 19,518 | $168,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 62,896 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 10,090 | $166,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 12,833 | $166,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 14,127 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,980 | $165,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 13,048 | $165,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 154,700 | $165,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 72,544 | $165,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 12,627 | $162,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 10,997 | $160,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $159,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,063 | $158,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 18,150 | $158,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 16,612 | $157,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 12,048 | $156,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 75,000 | $156,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 33,641 | $155,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 18,221 | $155,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $155,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 12,994 | $154,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 12,454 | $152,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $151,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 19,772 | $150,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 14,405 | $150,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,000 | $150,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 10,850 | $149,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 12,912 | $148,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 10,220 | $148,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,422 | $146,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 145,005 | $145,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 17,325 | $144,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 105,181 | $140,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,225 | $140,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 50,010 | $138,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 35,500 | $137,000 | thousands by filing date | put |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 24,230 | $137,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 54,600 | $136,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 23,943 | $135,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 30,350 | $134,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,000 | $132,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 16,433 | $131,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 11,788 | $130,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 11,843 | $127,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 50,001 | $126,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 24,900 | $125,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 18,160 | $124,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 31,858 | $124,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 57,531 | $124,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 24,900 | $123,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,692 | $122,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 11,357 | $117,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 27,790 | $116,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 10,471 | $115,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 13,560 | $114,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 21,000 | $114,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 18,047 | $113,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 92,597 | $112,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 55,916 | $112,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 63,028 | $111,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 17,000 | $110,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 12,006 | $109,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 20,817 | $109,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 10,214 | $108,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 10,568 | $108,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 50,000 | $108,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 56,700 | $107,000 | thousands by filing date | put |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,936 | $107,000 | thousands by filing date | |
| SAEXPLORATION HLDGS INC | 78636X873 | COM | 56,647 | $105,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 11,800 | $102,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 20,000 | $102,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 10,862 | $101,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 19,900 | $101,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 10,477 | $101,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 233,400 | $100,000 | thousands by filing date | call |
| HEXO CORP | 428304109 | COM | 25,167 | $100,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 11,771 | $99,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 11,465 | $98,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 29,457 | $98,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 17,875 | $98,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 28,377 | $98,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 15,579 | $96,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 24,068 | $94,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $94,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 44,681 | $93,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 16,874 | $93,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,457 | $92,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 25,100 | $91,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 10,000 | $90,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,200 | $88,000 | thousands by filing date | call |
| ELECTROMED INC | 285409108 | COMMON STOCK | 13,114 | $87,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 27,172 | $86,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $86,000 | thousands by filing date | principal |
| EVOKE PHARMA INC | 30049G104 | COM | 100,000 | $86,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 16,143 | $85,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 15,200 | $85,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 10,139 | $84,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 16,181 | $84,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,750 | $84,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,867 | $84,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 27,300 | $83,000 | thousands by filing date | put |
| MasterCard, Inc | 57636Q104 | COM | 1,000 | $83,000 | thousands by filing date | call |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,292 | $83,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 62,000 | $83,000 | thousands by filing date | principal |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 33,700 | $82,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 24,496 | $80,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 15,844 | $80,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 4,500 | $78,000 | thousands by filing date | call |
| NOBLE CORP PLC | G65431101 | SHS USD | 61,492 | $78,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 13,088 | $76,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 10,940 | $76,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 102,200 | $75,000 | thousands by filing date | call |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,943 | $73,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 13,835 | $72,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 10,000 | $72,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 6,047 | $71,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 13,889 | $71,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 66,415 | $70,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 11,561 | $68,000 | thousands by filing date | |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 10,908 | $68,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 3,500 | $67,000 | thousands by filing date | call |
| BARNES & NOBLE ED INC | 06777U101 | COM | 21,602 | $67,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,383 | $66,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 16,562 | $65,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 89,450 | $64,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 65,449 | $64,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 14,000 | $63,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 54,921 | $62,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 14,811 | $61,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 19,500 | $60,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 3,000 | $57,000 | thousands by filing date | call |
| ServiceNow,Inc. | 81762P102 | COM | 500 | $57,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 15,832 | $57,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 20,733 | $57,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 69,400 | $56,000 | thousands by filing date | put |
| TARGET CORP COM | 87612E106 | Stock | 3,000 | $55,000 | thousands by filing date | call |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 24,465 | $55,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 23,100 | $55,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 28,851 | $55,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 17,681 | $54,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $54,000 | thousands by filing date | principal |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 63,067 | $53,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 12,256 | $53,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 23,324 | $52,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 10,000 | $52,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $51,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 11,792 | $50,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 16,400 | $50,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 14,932 | $48,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 14,000 | $48,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $48,000 | thousands by filing date | principal |
| ENDRA LIFE SCIENCES INC COM NEW | 29273B104 | Stock | 45,000 | $48,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 10,228 | $47,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 1,000 | $47,000 | thousands by filing date | call |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 8,300 | $47,000 | thousands by filing date | put |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 26,000 | $47,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,390 | $46,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 20,000 | $46,000 | thousands by filing date | call |
| W & T OFFSHORE INC | 92922P106 | COM | 10,340 | $45,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 20,800 | $45,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 13,500 | $45,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 19,013 | $45,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 10,011 | $44,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,500 | $43,000 | thousands by filing date | put |
| TTOO | 89853L104 | Stock | 17,000 | $43,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 30,000 | $43,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP | 12648L601 | COM | 50,073 | $42,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $42,000 | thousands by filing date | principal |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 23,013 | $40,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 13,402 | $40,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 15,100 | $39,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 500 | $38,000 | thousands by filing date | call |
| MIND C T I LTD | M70240102 | ORD | 15,650 | $37,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $37,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 166,475 | $37,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $36,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $36,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 17,025 | $35,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 108,500 | $35,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $34,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,472 | $34,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 26,500 | $34,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 25,400 | $33,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 30,076 | $32,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,124 | $32,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 27,242 | $31,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 600 | $30,000 | thousands by filing date | call |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,000 | $30,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 13,448 | $30,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 22,000 | $30,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 28,000 | $30,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 49,475 | $29,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 10,100 | $29,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 23,997 | $29,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,012 | $28,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 27,742 | $27,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 12,566 | $27,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 11,022 | $27,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 42,952 | $27,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 21,375 | $27,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 11,000 | $26,000 | thousands by filing date | put |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 10,169 | $26,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 20,000 | $26,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,094 | $26,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 24,241 | $24,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $24,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 21,081 | $23,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 13,000 | $23,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 32,300 | $23,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 12,400 | $23,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 500 | $22,000 | thousands by filing date | put |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| Procter & Gamble Co | 742718109 | COM | 10,000 | $21,000 | thousands by filing date | put |
| Union Pacific Corporation | 907818108 | COM | 9,200 | $21,000 | thousands by filing date | put |
| NANTKWEST INC | 63016Q102 | COM | 16,714 | $20,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $20,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 1,900 | $19,000 | thousands by filing date | call |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 78,332 | $19,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $19,000 | thousands by filing date | principal |
| WAITR HLDGS INC | 930752100 | COM | 15,000 | $19,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 20,000 | $19,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 2,000 | $18,000 | thousands by filing date | put |
| RIOT PLATFORMS INC | 767292105 | COM | 10,222 | $18,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| Walt Disney Co | 254687106 | COM | 2,600 | $17,000 | thousands by filing date | call |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $17,000 | thousands by filing date | principal |
| Advanced Micro Devices,Inc. | 007903107 | COM | 35,400 | $16,000 | thousands by filing date | call |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 6,500 | $16,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 900 | $16,000 | thousands by filing date | call |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 800 | $16,000 | thousands by filing date | call |
| BEYOND MEAT INC | 08862E109 | COM | 3,100 | $16,000 | thousands by filing date | call |
| QUICKLOGIC CORP | 74837P108 | COM | 44,314 | $16,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 800 | $15,000 | thousands by filing date | call |
| Elevance Health, Inc. | 036752103 | COM | 1,000 | $15,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 7,700 | $15,000 | thousands by filing date | put |
| SESEN BIO INC | 817763105 | COM | 13,200 | $15,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 15,000 | $15,000 | thousands by filing date | principal |
| UnitedHealth Group Inc | 91324P102 | COM | 1,000 | $14,000 | thousands by filing date | call |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 10,800 | $14,000 | thousands by filing date | put |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 14,575 | $14,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 26,195 | $14,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $13,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 27,726 | $13,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 2,000 | $12,000 | thousands by filing date | put |
| Intuitive Surgical,Inc. | 46120E602 | COM | 100 | $12,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 5,200 | $12,000 | thousands by filing date | put |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,500 | $12,000 | thousands by filing date | put |
| BLOCK INC CL A | 852234103 | Stock | 1,400 | $12,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 27,900 | $12,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 11,932 | $12,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 10,500 | $12,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,735 | $12,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 13,334 | $12,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,000 | $12,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 600 | $11,000 | thousands by filing date | call |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 1,000 | $11,000 | thousands by filing date | call |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 20,854 | $11,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,000 | $11,000 | thousands by filing date | principal |
| CONSTELLATION BRANDS INC CL A | 21036P108 | Stock | 500 | $10,000 | thousands by filing date | call |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 12,260 | $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 |
| INVESCO QQQ TR | 46090E103 | COM | 4,000 | $9,000 | thousands by filing date | put |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 15,000 | $9,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 15,550 | $9,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,000 | $9,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,464 | $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 |
| TWILIO INC CL A | 90138F102 | Stock | 1,300 | $8,000 | thousands by filing date | call |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 3,900 | $8,000 | thousands by filing date | put |
| GOLD STD VENTURES CORP | 380738104 | COM | 10,232 | $8,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $7,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 5,600 | $7,000 | thousands by filing date | put |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 22,000 | $7,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 2,000 | $6,000 | thousands by filing date | call |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $6,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 24,304 | $6,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 800 | $5,000 | thousands by filing date | put |
| MasterCard, Inc | 57636Q104 | COM | 1,200 | $5,000 | thousands by filing date | put |
| ABIOMED INC | 003654100 | COM | 600 | $5,000 | thousands by filing date | call |
| ALLERGAN PLC | G0177J108 | SHS | 700 | $5,000 | thousands by filing date | call |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 10,000 | $5,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 10,000 | $5,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,300 | $4,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 4,400 | $4,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 1,800 | $4,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 1,000 | $4,000 | thousands by filing date | call |
| INTREXON CORP | 46122T102 | COM | 30,000 | $4,000 | thousands by filing date | call |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 10,000 | $4,000 | thousands by filing date | |
| SIENNA BIOPHARMACEUTICALS IN | 82622H108 | COM | 17,762 | $4,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 100 | $3,000 | thousands by filing date | call |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,000 | $3,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,100 | $3,000 | thousands by filing date | call |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 1,100 | $3,000 | thousands by filing date | call |
| MARATHON PETE CORP COM | 56585A102 | Stock | 200 | $3,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 1,000 | $3,000 | thousands by filing date | call |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,000 | $3,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 2,000 | $3,000 | thousands by filing date | call |
| ZION OIL & GAS INC | 989696109 | COM | 13,006 | $3,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 800 | $2,000 | thousands by filing date | put |
| Amgen Inc. | 031162100 | COM | 700 | $2,000 | thousands by filing date | put |
| Bristol-Myers Squibb Company | 110122108 | COM | 300 | $2,000 | thousands by filing date | call |
| NVIDIA Corp | 67066G104 | COM | 500 | $2,000 | thousands by filing date | call |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 1,000 | $2,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 1,100 | $2,000 | thousands by filing date | put |
| NEWELL BRANDS INC COM | 651229106 | Stock | 2,000 | $2,000 | thousands by filing date | call |
| WORKDAY INC CL A | 98138H101 | Stock | 500 | $2,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 1,000 | $2,000 | thousands by filing date | call |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,800 | $2,000 | thousands by filing date | call |
| BOSTON BEER INC CL A | 100557107 | Stock | 100 | $2,000 | thousands by filing date | call |
| DESIGNER BRANDS INC | 250565108 | CL A | 20,100 | $2,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 1,600 | $2,000 | thousands by filing date | call |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 900 | $2,000 | thousands by filing date | call |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | call |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 10,065 | $2,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T109 | ORD SHS | 50,000 | $2,000 | thousands by filing date | |
| INPIXON | 45790J503 | COM PAR | 17,642 | $2,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,400 | $1,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 2,000 | $1,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 300 | $1,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 2,200 | $1,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 1,500 | $1,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 100 | $1,000 | thousands by filing date | call |
| Salesforce.com, Inc | 79466L302 | COM | 1,000 | $1,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 200 | $1,000 | thousands by filing date | call |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,600 | $1,000 | thousands by filing date | put |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,000 | $1,000 | thousands by filing date | put |
| FEDEX CORP COM | 31428X106 | Stock | 1,200 | $1,000 | thousands by filing date | call |
| DOLLAR TREE INC COM | 256746108 | Stock | 1,400 | $1,000 | thousands by filing date | put |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 200 | $1,000 | thousands by filing date | put |
| BP PLC SPONSORED ADR | 055622104 | ADR | 2,000 | $1,000 | thousands by filing date | put |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 200 | $1,000 | thousands by filing date | call |
| LENNAR CORP CL A | 526057104 | Stock | 200 | $1,000 | thousands by filing date | call |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 2,000 | $1,000 | thousands by filing date | put |
| CARMAX INC COM | 143130102 | Stock | 100 | $1,000 | thousands by filing date | call |
| MCKESSON CORP COM | 58155Q103 | Stock | 200 | $1,000 | thousands by filing date | call |
| BLACKROCK INC CL A COM | 09247X101 | COM | 200 | $1,000 | thousands by filing date | put |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 200 | $1,000 | thousands by filing date | call |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 100 | $1,000 | thousands by filing date | put |
| FIREEYE INC | 31816Q101 | COM | 200 | $1,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 100 | $1,000 | thousands by filing date | call |
| SYMANTEC CORP | 871503108 | COM | 200 | $1,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Bank of America Corp | 060505104 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Boston Scientific Corporation | 101137107 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Cigna Corporation | 125523100 | COM | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Cisco Systems,Inc. | 17275R102 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Deere & Company | 244199105 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Eaton Corp. Plc | G29183103 | COM | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 600 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 1,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| iShares Russell 2000 ETF | 464287655 | SHS | 200 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Johnson & Johnson | 478160104 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-19-004915 | this filing | 2019-11-01 | acceptance time not in the bulk data set |