13F-HR filed by Rockefeller Capital Management L.P.
Rockefeller Capital Management L.P. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-12, with 3,811 holding rows worth $19,031,399,000.
- Accession
- 0001739439-21-000019
- Filer
- CIK 1739439
- Filed
- 2021-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 5,291 entries on the cover page, a total value of $19,031,399,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $19,031,399,000 with VALUE read as thousands by filing date, 13F file number 028-18743. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerROCKEFELLER & CO. LLC028-00926
- included managerROCKEFELLER TRUST COMPANY, N.A.028-02772
- included managerRockefeller Trust Co (Delaware)028-11086
- included managerROCKEFELLER FINANCIAL LLC028-19121
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 |
|---|---|---|---|---|---|---|
| AEVA TECHNOLOGIES INC | 00835Q103 | COM | 315 | $2,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 100 | $2,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 58 | $2,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 30 | $2,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q200 | COM NEW | 250 | $2,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 67 | $2,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 1,273 | $2,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 151 | $2,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 400 | $2,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 2,000 | $2,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 2,000 | $2,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460G880 | FUND | 120 | $2,000 | thousands by filing date | |
| LIGHTNING EMOTORS INC | 53228T101 | COM | 300 | $2,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 944 | $2,000 | thousands by filing date | |
| Hive Blockchain Technologies L | 43366H100 | COM | 1,000 | $2,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 35 | $2,000 | thousands by filing date | |
| INHIBIKASE THERAPEUTICS INC | 45719W106 | COM | 1,500 | $2,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K200 | COM | 106 | $2,000 | thousands by filing date | |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 2,000 | $2,000 | thousands by filing date | |
| ESSENTIAL UTILS INC | 29670G201 | UNIT 04/30/2022 | 35 | $2,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 133 | $2,000 | thousands by filing date | |
| NDACW US 31 Dec 27 C11.5 | 65413D113 | *W EXP 02/26/202 | 2,920 | $2,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 1,200 | $2,000 | thousands by filing date | |
| NATURAL ORDER ACQUISITION CO | 63889L115 | *W EXP 09/15/202 | 5,000 | $2,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 1,300 | $2,000 | thousands by filing date | |
| ORPHAZYME A S F UNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 687305102 | ADS | 600 | $2,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 65 | $1,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 24 | $1,000 | thousands by filing date | |
| NETGEAR INC | 64111Q104 | COM | 62 | $1,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 26 | $1,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 28 | $1,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 11 | $1,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 68 | $1,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 21 | $1,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 45 | $1,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 13 | $1,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 56 | $1,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 51 | $1,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 146 | $1,000 | thousands by filing date | |
| KE HLDGS INC SPONSORED ADS | 482497104 | ADR | 71 | $1,000 | thousands by filing date | |
| BRINKER INTL INC COM | 109641100 | Stock | 30 | $1,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 31 | $1,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 15 | $1,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 57 | $1,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 207 | $1,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 51 | $1,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 277 | $1,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 717 | $1,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 19 | $1,000 | thousands by filing date | |
| DOCEBO INC COM | 25609L105 | Stock | 26 | $1,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 53 | $1,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 38 | $1,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 233 | $1,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 150 | $1,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 24 | $1,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 318 | $1,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 16 | $1,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 100 | $1,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 193 | $1,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 177 | $1,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 57 | $1,000 | thousands by filing date | |
| PATRICK INDS INC | 703343103 | COM | 20 | $1,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 120 | $1,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 52 | $1,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 12 | $1,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 52 | $1,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 29 | $1,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 34 | $1,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 31 | $1,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 100 | $1,000 | thousands by filing date | |
| COVISTA INC | 00737L103 | COM | 35 | $1,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 3 | $1,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 40 | $1,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 20 | $1,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 40 | $1,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 180 | $1,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 22 | $1,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 29 | $1,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 36 | $1,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 41 | $1,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 632 | $1,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 32 | $1,000 | thousands by filing date | |
| VITAL FARMS INC | 92847W103 | COM | 69 | $1,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 37 | $1,000 | thousands by filing date | |
| MEDIAALPHA INC | 58450V104 | CL A | 80 | $1,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 21 | $1,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 159 | $1,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 65 | $1,000 | thousands by filing date | |
| MOMENTIVE GLOBAL INC | 60878Y108 | COM | 76 | $1,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 156 | $1,000 | thousands by filing date | |
| AMERICAN WELL CORP | 03044L105 | CL A | 150 | $1,000 | thousands by filing date | |
| ARCONIC ROLLED PRODS CORP | 03966V107 | COM | 38 | $1,000 | thousands by filing date | |
| OZON HLDGS PLC ADR | 69269L104 | SPONSORED ADS | 29 | $1,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 64 | $1,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 35 | $1,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 30 | $1,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 18 | $1,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q878 | HIGH YLD RESRCH | 20 | $1,000 | thousands by filing date | |
| US Ecology, Inc. | 91734M103 | COM | 60 | $1,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 18 | $1,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 44 | $1,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 204 | $1,000 | thousands by filing date | |
| AVANOS MED INC | 05350V106 | COM | 63 | $1,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 16 | $1,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 44 | $1,000 | thousands by filing date | |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 75 | $1,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 23 | $1,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 50 | $1,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 25 | $1,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 81 | $1,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 10 | $1,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 46 | $1,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 66 | $1,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 54 | $1,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 168 | $1,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 40 | $1,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 27 | $1,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 33 | $1,000 | thousands by filing date | |
| J JILL INC | 46620W201 | COMMON STOCK | 101 | $1,000 | thousands by filing date | |
| CIVEO CORP | 17878Y207 | COMMON STOCK | 47 | $1,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 14 | $1,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 70 | $1,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 128 | $1,000 | thousands by filing date | |
| INVESCO RAFI DEVELOPED MARKETS EX-U.S. SMALL-MID ETF | 46138E735 | ETF | 51 | $1,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 50 | $1,000 | thousands by filing date | |
| United States Oil Fund LP | 91232N207 | COM | 32 | $1,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 70 | $1,000 | thousands by filing date | |
| TREACE MED CONCEPTS INC | 89455T109 | COM | 53 | $1,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806XAB8 | NOTE 2.500% 3/1 | 1,000 | $1,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 1,000 | $1,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 79 | $1,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 51 | $1,000 | thousands by filing date | |
| LUXEXPERIENCE BV | 55406W103 | SPONSORED ADS | 46 | $1,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 77 | $1,000 | thousands by filing date | |
| CORECARD CORPORATION | 45816D100 | COM | 25 | $1,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 33 | $1,000 | thousands by filing date | |
| TRAWS PHARMA INC COM NEW | 68232V801 | Stock | 400 | $1,000 | thousands by filing date | |
| ACHILLES THERAPEUTICS PL-ADR | 00449L102 | COM | 250 | $1,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 1,314 | $1,000 | thousands by filing date | |
| INARI MED INC | 45332Y109 | COM | 22 | $1,000 | thousands by filing date | |
| SPARTANNASH CO | 847215100 | COM | 57 | $1,000 | thousands by filing date | |
| SINGULAR GENOMICS SYSTEMS IN | 82933R100 | COM | 100 | $1,000 | thousands by filing date | |
| VINE ENERGY INC CL A | 92735P103 | Stock | 78 | $1,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 118 | $1,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 38 | $1,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 134 | $1,000 | thousands by filing date | |
| URBAN-GRO INC | 91704K202 | COM NEW | 100 | $1,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 1,000 | $1,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 2,000 | $1,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 1,000 | $1,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 1,000 | $1,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 350 | $1,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 150 | $1,000 | thousands by filing date | |
| ADARA ACQUISITION CORP | 00653H110 | *W EXP 02/11/202 | 2,500 | $1,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602605 | COM NEW | 63 | $1,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 2,267 | $1,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 1,500 | $1,000 | thousands by filing date | |
| Benitec Biopharma, Inc. | 08205P100 | common | 300 | $1,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 50 | $1,000 | thousands by filing date | |
| PLANET GREEN HLDGS CORP | 72703U102 | COM | 1,102 | $1,000 | thousands by filing date | |
| G Squared Ascend I Inc | G4204R117 | Warrant | 1,000 | $1,000 | thousands by filing date | |
| LOCAL BOUNTI COR | G5463T124 | EQUITY WRT | 2,280 | $1,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 2,000 | $1,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 625 | $1,000 | thousands by filing date | |
| KENSINGTON CAPITAL ACQUISITI | 49006L112 | *W EXP 02/23/202 | 1,625 | $1,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 60 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 84 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NVE CORP COM NEW | 629445206 | Stock | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INMODE LTD SHS | M5425M103 | Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EASTERN BANKSHARES INC COM | 27627N105 | Stock | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KINETIK HOLDINGS INC COM NEW CL A | 02215L209 | Stock | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 202 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WINGSTOP INC COM | 974155103 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WD 40 CO COM | 929236107 | Stock | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW JERSEY RES CORP | 646025106 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO SR INCOME TR | 46131H107 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIPTREE INC | 88822Q103 | COM | 93 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOME INC | 45257U108 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| USA TODAY CO INC | 36472T109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VALLEY NATL BANCORP | 919794107 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAFD INC | 938824109 | COM | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WISDOMTREE INC | 97717P104 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BALCHEM CORP | 057665200 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLEGRO MICROSYSTEMS INC | 01749D105 | COM | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRADY CORP | 104674106 | CL A | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BRISTOW GROUP INC | 11040G103 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PENNANT GROUP INC | 70805E109 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP NEW | 65249B208 | CL B | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHAMPION HOMES INC | 830830105 | COM | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONDUENT INC | 206787103 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BANK HAWAII CORP | 062540109 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BAR HBR BANKSHARES | 066849100 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POPULAR INC | 733174700 | COM NEW | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HAYWARD HLDGS INC | 421298100 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HEALTHSTREAM INC | 42222N103 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MATTEL INC | 577081102 | COM | 51 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MCGRATH RENTCORP | 580589109 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY USD0.01 | 20369C106 | COM | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 119 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERISAFE INC | 03071H100 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 16 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PREMIER INC | 74051N102 | CL A | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENDEAVOR GROUP HLDGS INC | 29260Y109 | CL A COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCKET LAB USA INC | 773122106 | COM | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAGE THERAPEUTICS INC | 78667J108 | COM | 19 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIBROGEN INC | 31572Q808 | COM | 37 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MERCER INTL INC | 588056101 | COM | 32 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 146 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAXEON SOLAR TECHNOLOGIES LT | Y58473102 | SHS | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LENNAR CORP CL B | 526057302 | Stock | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CENTURY ALUM CO | 156431108 | COM | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LANDS END INC | 51509F105 | COMMON STOCK | 28 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 63 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RELMADA THERAPEUTICS INC | 75955J402 | COMMON STOCK | 27 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 30 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TPG MORTGAGE INVESTMENT TRUS | 001228501 | REIT | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 101 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AUDIOCODES LTD | M15342104 | ORD | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROCURE SPACE ETF | 74280R205 | ETF | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R655 | SP KENSHO CLEAN | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAS CAR-MART INC | 03062T105 | COM | 7 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 120 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KAMADA LTD | M6240T109 | SHS | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 358 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOMALOGIC INC | 83444k113 | WT | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SLEEP NUMBER CORP | 83125X103 | COM D | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MESA RTY TR | 590660106 | UNIT BEN INT | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INTELLIGENT PROTECTION MANAG | 69764K106 | COM | 72 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPROTT FOCUS TR INC | 85208J109 | COM | 47 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NOODLES & CO | 65540B105 | COM CL A | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Flushing Financial Corp | 343873105 | Common Stock | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVANTAX INC | 095229100 | COMMON STOCK | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 55 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROOT INC | 77664L108 | COMMON STOCK | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERIS RESIDENTIAL INC | 554489104 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Ramaco Resources Inc | 75134P303 | COM CL B | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APARTMENT INCOME REIT CORP | 03750L109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MODEL N INC | 607525102 | COM | 26 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEVRO CORP | 64157F103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RPT REALTY | 74971D101 | SH BEN INT | 17 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 2,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNITED STS NAT GAS FD LP | 912318300 | UNIT PAR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CBDMD INC | 12482W101 | COM | 480 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| JOANN INC | 47768J101 | COM | 20 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASENSUS SURGICAL INC | 04367G103 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 68 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REALNETWORKS INC | 75605L708 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATI PHYSICAL THERAPY INC WT EXP 081027 | 00216W117 | Stock | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 510 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MUSTANG BIO INC | 62818Q104 | COM | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIO GENE THERAPIES INC | 829399104 | COM | 312 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SYNAPTOGENIX INC | 87167T201 | COM NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARES ACQUISITION CORPORATION | G33032122 | *W EXP 02/02/202 | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SONOMA PHARMACEUTICALS INC | 83558L204 | COM NEW | 77 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ATOTECH LTD | G0625A105 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PHUNWARE INC | 71948P100 | COMMON | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TITAN PHARMACEUTICALS INC DE | 888314606 | COMMON | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ZOGENIX INC. | 98978L204 | Common Stock | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARCIMOTO INC | 039587100 | COM | 85 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 1,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GREAT ELM CAP CORP | 390320109 | COM | 57 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LISTED FD TR | 53656F466 | MORGAN CREEK | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HALL OF FAME RESORT & ENTMT | 40619L102 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTABANCORP | 021347109 | COM | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WAITR HLDGS INC | 930752100 | COM | 1,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO ACTIVELY MANAGED ETF | 46090A408 | mc | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 14 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| POLARITYTE INC | 731094108 | COM | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EXECUTIVE NETWORK PARTNERING | 30158L118 | *W EXP 09/25/202 | 937 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTAMIRA THERAPEUTICS LTD | G0360L100 | SHS | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIVERNORTH DOUBLELINE STRATE | 76882G156 | RIGHT 10/01/2021 | 6,501 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIR T FDG | 00919P112 | *W EXP 08/30/202 | 415 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001739439-21-000019 | this filing | 2021-11-12 | acceptance time not in the bulk data set |