13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-30, with 2,081 holding rows worth $33,314,058,000.
- Accession
- 0001580642-20-000445
- Filer
- CIK 1540235
- Filed
- 2020-01-30
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 2,361 entries on the cover page, a total value of $33,314,058,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $33,314,058,000 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 |
|---|---|---|---|---|---|---|
| ABRDN PLATINUM ETF TRUST | 003260106 | PHYSCL PLATM SHS | 2,751 | $250,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 20,696 | $250,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 14,343 | $250,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 14,309 | $249,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 7,467 | $249,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 101,127 | $249,000 | thousands by filing date | |
| EXPONENT INC | 30214U102 | COM | 3,596 | $248,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 18,053 | $248,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 17,745 | $247,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 8,318 | $247,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 7,786 | $247,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 16,874 | $247,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 8,550 | $247,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 6,027 | $246,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,344 | $246,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 3,619 | $246,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 701 | $245,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 3,010 | $245,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 3,307 | $245,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 13,406 | $245,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 2,325 | $245,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 14,857 | $245,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 5,704 | $244,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 9,302 | $244,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 8,951 | $244,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 2,571 | $244,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 9,730 | $244,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 2,009 | $243,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 56,091 | $243,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 3,554 | $242,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 13,550 | $242,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 15,569 | $242,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 21,000 | $242,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,400 | $241,000 | thousands by filing date | call |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 6,550 | $241,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 3,830 | $240,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 6,888 | $240,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 16,616 | $240,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W862 | DA 500 BU 3X ETF | 3,619 | $239,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 13,267 | $239,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 88,167 | $239,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 7,288 | $238,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,948 | $237,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 8,002 | $237,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 4,406 | $236,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 31,643 | $236,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 2,831 | $235,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,750 | $235,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 4,818 | $235,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 4,029 | $234,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 2,522 | $234,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 36,126 | $234,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 9,629 | $234,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 50,332 | $234,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 21,273 | $234,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 7,523 | $232,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 14,547 | $232,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 3,168 | $232,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 9,588 | $232,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 6,237 | $232,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 4,835 | $231,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 10,000 | $231,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 3,711 | $230,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 3,830 | $230,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092303 | CONSMR STAPLES | 6,069 | $229,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 9,292 | $228,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 8,909 | $228,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 6,020 | $227,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 5,729 | $226,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 27,725 | $226,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 1,793 | $225,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 11,100 | $225,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 15,139 | $223,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,214 | $222,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 19,360 | $221,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 8,950 | $221,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 5,071 | $220,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 10,985 | $219,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 169,815 | $219,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 4,922 | $219,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 1,744 | $219,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 8,233 | $218,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 3,743 | $217,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 14,850 | $217,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 3,783 | $216,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 9,456 | $216,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 89,102 | $216,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 9,663 | $215,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 8,326 | $215,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 2,694 | $215,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 8,974 | $215,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 23,597 | $215,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,974 | $215,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,837 | $215,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 9,896 | $214,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 26,498 | $214,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 1,908 | $214,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 7,984 | $214,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 5,365 | $213,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 10,284 | $213,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 15,756 | $213,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 6,927 | $212,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 6,495 | $212,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 8,136 | $211,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 1,552 | $211,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 18,473 | $211,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 5,895 | $211,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 9,759 | $210,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 8,188 | $210,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 6,707 | $210,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 6,145 | $209,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 7,706 | $209,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 12,500 | $209,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 8,527 | $208,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 3,239 | $208,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 1,261 | $208,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 17,130 | $207,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 11,435 | $207,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 26,394 | $206,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 624 | $206,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025309 | CV PFD SER B | 18,700 | $206,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 2,368 | $205,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,324 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 7,035 | $205,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 62,344 | $205,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 3,479 | $204,000 | thousands by filing date | |
| iShares Future AI & Tech ETF | 46435U556 | SHS | 7,537 | $203,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 4,361 | $203,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 19,026 | $203,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 4,579 | $203,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 4,612 | $203,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 2,848 | $202,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 4,205 | $202,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 3,880 | $201,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 9,120 | $201,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 26,709 | $200,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 4,855 | $200,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 11,140 | $200,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 5,000 | $200,000 | thousands by filing date | call |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 7,017 | $200,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 21,634 | $199,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 24,761 | $198,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 34,958 | $198,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 25,780 | $197,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 34,085 | $197,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,012 | $196,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 5,407 | $195,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 57,628 | $195,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 15,911 | $193,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 57,531 | $193,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 10,583 | $192,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 10,692 | $190,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 12,000 | $188,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $188,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 12,700 | $185,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 50,586 | $185,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $185,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 16,473 | $184,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 10,718 | $183,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 13,048 | $183,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 11,818 | $183,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 13,029 | $182,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 10,975 | $181,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 17,212 | $180,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 12,238 | $178,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 17,711 | $177,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 12,356 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 10,090 | $171,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 450,105 | $171,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 13,994 | $170,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 55,037 | $170,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 19,218 | $169,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 189,367 | $169,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 131,129 | $168,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 11,238 | $167,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,019 | $166,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 23,193 | $165,000 | thousands by filing date | |
| MAXAR TECHNOLOGIES INC | 57778K105 | COM | 10,495 | $164,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 25,000 | $163,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 55,000 | $162,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 53,888 | $162,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 100,000 | $162,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 10,225 | $160,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 10,574 | $159,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 10,692 | $158,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 117,547 | $158,000 | thousands by filing date | |
| NOVAVAX INC | 670002401 | COM NEW | 39,140 | $156,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 14,171 | $156,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,048 | $156,000 | thousands by filing date | |
| AVITA MEDICAL LTD | 053792107 | SPONSORED ADS | 17,182 | $156,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,121 | $155,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,413 | $154,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 10,000 | $154,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 102,700 | $154,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 16,151 | $153,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 167,000 | $152,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 155,005 | $152,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,093 | $151,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 45,400 | $150,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 11,314 | $149,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 35,626 | $149,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 101,822 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 16,250 | $148,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 11,384 | $147,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 28,786 | $147,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 12,008 | $143,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 104,481 | $142,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 10,634 | $142,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 14,405 | $142,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,000 | $141,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 28,430 | $141,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 24,230 | $139,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,461 | $138,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 54,600 | $138,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 12,971 | $138,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 16,268 | $137,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 21,167 | $136,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 16,730 | $134,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 34,240 | $132,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 10,428 | $131,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 14,650 | $131,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 19,847 | $130,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 33,700 | $129,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 24,900 | $127,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 14,721 | $126,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 30,350 | $126,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 3,000 | $125,000 | thousands by filing date | call |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 11,194 | $125,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 23,000 | $125,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 12,627 | $124,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 13,596 | $124,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 17,325 | $122,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 51,019 | $122,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 50,010 | $122,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 42,400 | $116,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 27,700 | $111,000 | thousands by filing date | put |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 13,150 | $111,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 11,800 | $110,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 17,955 | $109,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 10,261 | $109,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,936 | $109,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 253,475 | $108,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 11,771 | $108,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 27,222 | $108,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 12,049 | $107,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 1,000 | $105,000 | thousands by filing date | call |
| VEREIT INC | 92339V100 | COM | 11,275 | $104,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A206 | COMMON | 50,000 | $104,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $103,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 62,000 | $98,000 | thousands by filing date | principal |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 15,600 | $96,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 16,025 | $95,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 10,542 | $95,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 23,350 | $95,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 15,342 | $94,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 16,874 | $94,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 11,036 | $93,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,293 | $93,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 16,512 | $92,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 18,160 | $91,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 11,000 | $91,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 13,982 | $90,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 10,000 | $88,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 3,600 | $87,000 | thousands by filing date | put |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 10,339 | $87,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 10,114 | $87,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $87,000 | thousands by filing date | principal |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 10,100 | $86,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 88,450 | $86,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 6,000 | $85,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 22,725 | $85,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 19,556 | $83,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 1,100 | $82,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 121,501 | $82,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 12,870 | $81,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 11,835 | $80,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 27,900 | $79,000 | thousands by filing date | put |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,117 | $79,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 50,073 | $79,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 6,000 | $78,000 | thousands by filing date | call |
| NOBLE CORP PLC | G65431101 | SHS USD | 63,279 | $77,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 21,031 | $77,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 20,000 | $76,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 10,100 | $75,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 18,713 | $74,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 55,916 | $74,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 34,238 | $73,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 1,400 | $72,000 | thousands by filing date | call |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 16,278 | $72,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 15,200 | $72,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,143 | $71,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 10,605 | $70,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 21,100 | $67,000 | thousands by filing date | call |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,931 | $67,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 13,609 | $65,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 26,725 | $65,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 15,532 | $64,000 | thousands by filing date | |
| AESTHETIC MED INTL HLDG GR L | 00809M104 | ADR | 10,000 | $64,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 800 | $63,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 31,200 | $63,000 | thousands by filing date | put |
| ANTARES PHARMA INC | 036642106 | COM | 13,500 | $63,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 17,000 | $63,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 30,000 | $63,000 | thousands by filing date | principal |
| NANTKWEST INC | 63016Q102 | COM | 16,714 | $63,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 41,451 | $61,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 12,800 | $60,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,181 | $59,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 800 | $58,000 | thousands by filing date | call |
| ORIGIN AGRITECH LIMITED | G67828205 | SHS NEW | 10,908 | $58,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 30,076 | $57,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 10,340 | $57,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 90,449 | $57,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 13,832 | $56,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 1,000 | $55,000 | thousands by filing date | call |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 16,625 | $55,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 3,100 | $54,000 | thousands by filing date | put |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 14,000 | $54,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 28,851 | $54,000 | thousands by filing date | |
| TAIWAN LIPOSOME CO LTD | 874038102 | SPONSORED | 10,000 | $54,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 23,013 | $53,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,000 | $51,000 | thousands by filing date | call |
| AEGON N V | 007924103 | NY REGISTRY SHS | 11,023 | $50,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 13,068 | $49,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 10,000 | $49,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $49,000 | thousands by filing date | principal |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 1,000 | $48,000 | thousands by filing date | call |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,000 | $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 |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 18,305 | $46,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,000 | $45,000 | thousands by filing date | put |
| Visa Inc | 92826C839 | COM | 500 | $45,000 | thousands by filing date | call |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 63,070 | $45,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 23,324 | $43,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $43,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 30,000 | $43,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,000 | $42,000 | thousands by filing date | call |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 14,874 | $42,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 10,000 | $42,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 5,000 | $41,000 | thousands by filing date | put |
| HC2 HLDGS INC | 404139107 | COM | 19,013 | $41,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 16,385 | $40,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 2,000 | $38,000 | thousands by filing date | call |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 12,365 | $38,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 27,242 | $38,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 2,100 | $37,000 | thousands by filing date | put |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $37,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 10,800 | $35,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 25,400 | $33,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 21,081 | $31,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,000 | $30,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 103,714 | $30,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,000 | $28,000 | thousands by filing date | call |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 11,448 | $28,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 15,100 | $28,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 108,500 | $28,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 12,147 | $27,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 3,000 | $27,000 | thousands by filing date | call |
| Lee Enterprises Inc | 523768109 | COM | 18,829 | $27,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 19,600 | $26,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 2,300 | $26,000 | thousands by filing date | call |
| HIGHPOINT RES CORP | 43114K108 | COM | 15,000 | $25,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,012 | $25,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 21,000 | $25,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,094 | $25,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,000 | $25,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 14,910 | $24,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 400 | $23,000 | thousands by filing date | call |
| Walmart Inc. | 931142103 | COM | 800 | $23,000 | thousands by filing date | call |
| GENERAL ELEC CO | 369604103 | COM | 279,400 | $23,000 | thousands by filing date | call |
| VBI VACCINES INC | 91822J103 | COM NEW | 17,000 | $23,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 66,415 | $22,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 22,742 | $21,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 20,000 | $21,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E203 | SHS | 12,400 | $21,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 27,726 | $20,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 22,000 | $20,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| AbbVie,Inc. | 00287Y109 | COM | 600 | $19,000 | thousands by filing date | call |
| SENSEONICS HLDGS INC | 81727U105 | COM | 20,380 | $19,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 17,378 | $19,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 18,700 | $19,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 20,000 | $19,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $18,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 18,000 | $18,000 | thousands by filing date | principal |
| INVESCO QQQ TR | 46090E103 | COM | 6,300 | $17,000 | thousands by filing date | put |
| NEW GOLD INC CDA | 644535106 | COM | 18,807 | $17,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 23,997 | $17,000 | thousands by filing date | |
| ONCONOVA THERAPEUTIC | 68232V405 | Common Stock | 43,619 | $17,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 17,000 | $17,000 | thousands by filing date | principal |
| TTOO | 89853L104 | Stock | 14,000 | $16,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 11,022 | $16,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 700 | $15,000 | thousands by filing date | call |
| GOLD STD VENTURES CORP | 380738104 | COM | 17,787 | $15,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 800 | $14,000 | thousands by filing date | call |
| TASEKO MINES LTD COM | 876511106 | Stock | 27,900 | $13,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 3,300 | $13,000 | thousands by filing date | put |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 33,286 | $13,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 2,000 | $12,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 15,235 | $12,000 | thousands by filing date | |
| NXT-ID INC | 67091J206 | COM NEW | 26,195 | $12,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 7,700 | $11,000 | thousands by filing date | put |
| FIRST SOLAR INC COM | 336433107 | Stock | 1,800 | $11,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 500 | $11,000 | thousands by filing date | call |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 15,000 | $11,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 3,000 | $11,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 7,500 | $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 |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 12,500 | $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 |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 31,066 | $10,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 10,000 | $9,000 | thousands by filing date | put |
| UR-ENERGY INC | 91688R108 | COM | 15,550 | $9,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 1,000 | $9,000 | thousands by filing date | put |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 12,260 | $9,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 10,000 | $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 |
| IBIO INC | 451033203 | COM NEW | 34,428 | $9,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 20,170 | $9,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 100 | $8,000 | thousands by filing date | call |
| COTY INC | 222070203 | COM CL A | 690 | $8,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 900 | $8,000 | thousands by filing date | call |
| OCUGEN INC | 67577C105 | COMMON STOCK | 15,000 | $8,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 10,200 | $8,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 21,000 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 100 | $7,000 | thousands by filing date | call |
| Microsoft Corp | 594918104 | COM | 6,700 | $7,000 | thousands by filing date | put |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 10,800 | $7,000 | thousands by filing date | call |
| Bristol-Myers Squibb Company | 110122108 | COM | 300 | $6,000 | thousands by filing date | call |
| EOG RES INC COM | 26875P101 | Stock | 1,200 | $6,000 | thousands by filing date | call |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,464 | $6,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 300 | $5,000 | thousands by filing date | call |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,500 | $5,000 | thousands by filing date | put |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 11,000 | $5,000 | thousands by filing date | put |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $5,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 600 | $4,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 300 | $4,000 | thousands by filing date | put |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 1,000 | $4,000 | thousands by filing date | put |
| USBANCORPDEL | 902973304 | COM NEW | 1,000 | $4,000 | thousands by filing date | put |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 300 | $4,000 | thousands by filing date | put |
| INPIXON | 45790J503 | COM PAR | 37,640 | $4,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,000 | $3,000 | thousands by filing date | put |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 5,500 | $3,000 | thousands by filing date | put |
| Walt Disney Co | 254687106 | COM | 1,000 | $3,000 | thousands by filing date | call |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 300 | $3,000 | thousands by filing date | call |
| APACHE CORP | 037411105 | COM | 500 | $3,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 1,400 | $3,000 | thousands by filing date | call |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 10,000 | $3,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 400 | $2,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 300 | $2,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 1,000 | $2,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 100 | $2,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 20,000 | $2,000 | thousands by filing date | call |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 20,200 | $2,000 | thousands by filing date | call |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 1,000 | $2,000 | thousands by filing date | call |
| BARRICK GOLD CORP | 067901108 | COM | 1,600 | $2,000 | thousands by filing date | call |
| Eli Lilly and Company | 532457108 | COM | 200 | $1,000 | thousands by filing date | call |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 100 | $1,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 1,800 | $1,000 | thousands by filing date | put |
| Home Depot, Inc | 437076102 | COM | 300 | $1,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 100 | $1,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 200 | $1,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 200 | $1,000 | thousands by filing date | call |
| JPMorgan Chase & Co | 46625H100 | COM | 3,000 | $1,000 | thousands by filing date | put |
| MasterCard, Inc | 57636Q104 | COM | 1,000 | $1,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,000 | $1,000 | thousands by filing date | put |
| NVIDIA Corp | 67066G104 | COM | 500 | $1,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 300 | $1,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 100 | $1,000 | thousands by filing date | call |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 15,000 | $1,000 | thousands by filing date | put |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 200 | $1,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 100 | $1,000 | thousands by filing date | call |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 3,400 | $1,000 | thousands by filing date | put |
| GEN DIGITAL INC COM | 668771108 | Stock | 200 | $1,000 | thousands by filing date | call |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 100 | $1,000 | thousands by filing date | call |
| MACYS INC COM | 55616P104 | Stock | 1,000 | $1,000 | thousands by filing date | call |
| PUBLIC STORAGE COM | 74460D109 | REIT | 2,000 | $1,000 | thousands by filing date | call |
| ZOOM COMMUNICATIONS INC CL A | 98980L101 | Stock | 2,100 | $1,000 | thousands by filing date | call |
| TARGA RES CORP COM | 87612G101 | Stock | 500 | $1,000 | thousands by filing date | put |
| TWILIO INC CL A | 90138F102 | Stock | 600 | $1,000 | thousands by filing date | call |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 200 | $1,000 | thousands by filing date | call |
| NIO INC SPON ADS | 62914V106 | ADR | 1,000 | $1,000 | thousands by filing date | call |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 700 | $1,000 | thousands by filing date | call |
| CARMAX INC COM | 143130102 | Stock | 100 | $1,000 | thousands by filing date | call |
| SEI INVTS CO COM | 784117103 | Stock | 1,500 | $1,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 800 | $1,000 | thousands by filing date | call |
| JETBLUE AWYS CORP | 477143101 | COM | 2,000 | $1,000 | thousands by filing date | call |
| ZENDESK INC | 98936J101 | COM | 400 | $1,000 | thousands by filing date | call |
| VMWARE, INC. | 928563402 | CL A COM | 1,000 | $1,000 | thousands by filing date | put |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 100 | $1,000 | thousands by filing date | call |
| ABIOMED INC | 003654100 | COM | 300 | $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 | 100 | $1,000 | thousands by filing date | call |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,200 | $1,000 | thousands by filing date | call |
| TILRAY INC | 88688T100 | COM CL 2 | 500 | $1,000 | thousands by filing date | call |
| INTREXON CORP | 46122T102 | COM | 30,000 | $1,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 20,000 | $1,000 | thousands by filing date | put |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 10,000 | $1,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 1,300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Amgen Inc. | 031162100 | COM | 700 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-20-000445 | this filing | 2020-01-30 | acceptance time not in the bulk data set |