13F-HR filed by FNY Investment Advisers, LLC
FNY Investment Advisers, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-25, with 975 holding rows worth $327,482,000.
- Accession
- 0001742998-19-000005
- Filer
- CIK 1742998
- Filed
- 2019-10-25
- 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, 976 entries on the cover page, a total value of $327,482,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $327,039,000 with VALUE read as thousands by filing date, 13F file number 028-18846. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerQuad Capital Management Advisors LLC
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 |
|---|---|---|---|---|---|---|
| CELGENE CORP | 151020104 | COM | 640,032 | $63,555,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 124,148 | $20,892,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 1,173,382 | $12,555,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 307,180 | $10,413,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 76,393 | $10,217,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A101 | CL A COM | 889,087 | $9,050,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 758,041 | $8,573,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 86,305 | $8,369,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 67,241 | $7,430,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 2,764,021 | $7,297,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 82,650 | $4,773,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 23,500 | $4,552,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 26,354 | $4,533,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 21,202 | $4,003,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 30,987 | $3,970,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 135,103 | $3,608,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 226,786 | $3,383,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 73,785 | $3,281,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 275,701 | $3,214,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 96,174 | $2,788,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 49,700 | $2,630,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 104,705 | $2,490,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 45,325 | $2,418,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 90,600 | $2,354,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 23,412 | $2,278,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 39,300 | $2,242,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 102,094 | $2,056,000 | thousands by filing date | |
| BROADCOM INC | 11135F200 | 8% MCNV PFD SR A | 2,000 | $2,050,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 30,500 | $2,024,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 14,222 | $1,698,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 80,000 | $1,694,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 69,000 | $1,610,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 10,000 | $1,540,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 67,993 | $1,495,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 34,050 | $1,473,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A200 | UNIT 12/01/2025 | 125,720 | $1,447,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 94,030 | $1,407,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 338,217 | $1,359,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 500,000 | $1,235,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 159,138 | $1,209,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 91,000 | $1,190,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 153,279 | $1,149,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 10,398 | $1,139,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 21,697 | $1,071,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U207 | UNIT 03/31/2021 | 101,600 | $1,051,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 295,270 | $1,000,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 225,650 | $992,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 15,000 | $991,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 10,267 | $984,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 51,400 | $969,000 | thousands by filing date | |
| SOFTBANK GROUP CORP. | 83404D109 | Common stock | 48,804 | $955,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 88,117 | $889,000 | thousands by filing date | |
| AMERICAN I | 026874768 | Preferred Stock | 31,777 | $866,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 13,757 | $856,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 9,248 | $846,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 187,513 | $825,000 | thousands by filing date | |
| GREEN THUMB INDS INC F | 39342L108 | FGC | 100,300 | $819,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | 560292302 | COM | 44,705 | $797,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 3,716 | $773,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 611 | $746,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 253,000 | $733,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 36,800 | $732,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 85,459 | $731,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 84,358 | $724,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 37,000 | $702,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 225,120 | $688,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 60,710 | $686,000 | thousands by filing date | |
| LUKOIL PJSC | 69343P105 | COM | 8,200 | $678,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 15,000 | $664,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 35,000 | $650,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 9,700 | $650,000 | thousands by filing date | |
| API GROUP ORD | G49894101 | COM | 66,000 | $650,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 10,621 | $645,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 66,476 | $644,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 7,388 | $636,000 | thousands by filing date | |
| WELLS FARGO & COMPANY 5.125% P | 949746721 | PREFERR | 25,713 | $636,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 120,493 | $627,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 5,475 | $623,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 78,859 | $588,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 59,200 | $584,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 10,320 | $561,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 32,000 | $540,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 12,575 | $538,000 | thousands by filing date | |
| Wells Fargo & 5.85 PFD PFD Ser Q | 949746556 | PFD | 20,000 | $528,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 82,500 | $519,000 | thousands by filing date | |
| TWIN RIV WORLDWIDE HLDGS INC | 90171V204 | COM | 21,867 | $499,000 | thousands by filing date | |
| WESDOME GOLD MINES LTD COM | 95083R100 | COM | 107,220 | $485,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 2,006 | $483,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 63,860 | $477,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 13,862 | $465,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 5,835 | $459,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 10,136 | $451,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 14,000 | $448,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 15,082 | $448,000 | thousands by filing date | |
| CLEARWAY ENERGY INC-CLASS A NE | 18539C105 | CL A | 25,300 | $438,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 15,668 | $437,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,390 | $433,000 | thousands by filing date | |
| WELLS FARGO CO NEW PFD SER X CL A | 94988U672 | Preferred | 16,958 | $432,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 10,000 | $426,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 11,900 | $426,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06746P621 | IPTH SR B S&P | 17,500 | $415,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 3,750 | $412,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 11,388 | $400,000 | thousands by filing date | |
| GREEN GROWTH BRANDS IN F | 39305B105 | STOK | 400,000 | $400,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 7,500 | $398,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R111 | UNIT 99/99/9999 | 34,300 | $392,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 3,504 | $382,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 210,000 | $361,000 | thousands by filing date | |
| Empire National Bank | 291883106 | COM | 28,022 | $360,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 7,000 | $349,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 8,265 | $337,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 30,133 | $333,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 75,909 | $329,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 100,000 | $326,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 23,424 | $325,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 66,396 | $324,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,089 | $323,000 | thousands by filing date | put |
| CREDICORP LTD | G2519Y108 | COM | 1,500 | $312,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 9,884 | $311,000 | thousands by filing date | |
| SECURITY DEVICES INTL ORD | 814196101 | COM | 2,085,417 | $304,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 59,459 | $303,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,421 | $300,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 14,503 | $300,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,695 | $299,000 | thousands by filing date | |
| XEROX HOLDINGS CORP | 98421M106 | COM NEW | 10,000 | $299,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 18,000 | $298,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 9,460 | $297,000 | thousands by filing date | |
| IANTHUS CAP HLDGS INC F | 45074T102 | COM | 211,285 | $297,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,032 | $295,000 | thousands by filing date | |
| THE GREEN ORGANIC DUTCHMAN HOLDINGS LTD REGISTERED SHS | 393210208 | COM | 185,000 | $286,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 15,500 | $282,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 200,000 | $282,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 7,146 | $281,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 5,500 | $269,000 | thousands by filing date | |
| TSAKOS ENRG NVGT CM RD PRP SRS F PRF | G9108L165 | COM | 11,920 | $265,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 1,000,000 | $264,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 60,000 | $264,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A206 | UNIT 05/24/2026 | 23,700 | $262,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 30,000 | $261,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT TERM FUTURES ETF | 74347W148 | ULTRA VIX SHORT | 10,000 | $260,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 50,000 | $259,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 5,000 | $258,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 25,300 | $258,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 45,000 | $256,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 5,000 | $253,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 16,501 | $253,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 9,350 | $247,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 10,775 | $247,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 51,572 | $247,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 12,700 | $247,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 2,349 | $245,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 20,627 | $239,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 6,476 | $238,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 20,566 | $238,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,615 | $235,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 15,688 | $235,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 2,600 | $234,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 150,000 | $234,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 18,629 | $233,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 5,900 | $231,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 25,778 | $227,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 7,500 | $221,000 | thousands by filing date | |
| Ck Hutchison Holdin-Unsp Adr | 12562Y100 | Equity | 25,000 | $218,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 15,116 | $216,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 2,080 | $215,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 10,487 | $215,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 25,000 | $211,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 8,900 | $210,000 | thousands by filing date | |
| CHARLOTTES WEB HLDGS I F | 16106R109 | Equity | 15,000 | $207,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 8,258 | $204,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 49,200 | $203,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 5,174 | $202,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 13,848 | $200,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 8,100 | $199,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 7,066 | $197,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 12,653 | $197,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 17,915 | $197,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 15,285 | $196,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 41,000 | $196,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 115,670 | $196,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 13,212 | $195,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 2,150 | $194,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 30,000 | $194,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 11,276 | $193,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 67,000 | $192,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 7,250 | $190,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,550 | $190,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 9,203 | $189,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,376 | $188,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 16,000 | $188,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 15,470 | $187,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 7,882 | $186,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 14,894 | $186,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 25,000 | $183,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 9,730 | $183,000 | thousands by filing date | |
| GARDNER DENVER HLDGS INC | 36555P107 | COM | 6,478 | $183,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 3,300 | $182,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 4,996 | $182,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 15,000 | $181,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 139,723 | $181,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 6,000 | $180,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,000 | $179,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 7,901 | $177,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 5,783 | $176,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 28,900 | $175,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 7,050 | $174,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 7,074 | $173,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 15,000 | $172,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 13,345 | $172,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 10,100 | $172,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 25,950 | $171,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 1,585 | $170,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 26,309 | $164,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 21,206 | $164,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 75,051 | $164,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 32,058 | $163,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 11,946 | $162,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 4,750 | $161,000 | thousands by filing date | |
| SUNNYSIDE BANCORP, INC. | 867475105 | Not 13-F Security | 12,592 | $161,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 11,171 | $160,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 11,680 | $160,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 26,208 | $160,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 12,655 | $158,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 1,600 | $157,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 37,511 | $157,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,055 | $154,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 5,554 | $154,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 400 | $152,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 1,000 | $152,000 | thousands by filing date | |
| REPAY HOLDINGS CORP | 76029L118 | COM | 172,754 | $152,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 15,754 | $151,000 | thousands by filing date | |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 5,000 | $150,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,743 | $149,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 14,039 | $149,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 14,400 | $149,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 19,150 | $148,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 4,651 | $146,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 9,657 | $146,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 7,300 | $145,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 6,678 | $145,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 4,000 | $144,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 12,404 | $142,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 4,000 | $141,000 | thousands by filing date | |
| AFG 5 7/8 | 025932807 | PUBLIC | 5,300 | $141,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 15,900 | $140,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 40,000 | $139,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,258 | $139,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 10,070 | $137,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,058 | $134,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 20,000 | $133,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 14,729 | $131,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 10,795 | $131,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 14,287 | $131,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 3,158 | $130,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 7,000 | $129,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 3,000 | $129,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,200 | $128,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 5,700 | $126,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 57,200 | $125,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 3,500 | $124,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 57,500 | $123,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 10,000 | $122,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 40,000 | $121,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 8,221 | $118,000 | thousands by filing date | |
| TURNING PT THERAPEUTICS | 90041T108 | COM | 3,150 | $118,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 17,000 | $117,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 5,258 | $117,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 616 | $116,000 | thousands by filing date | put |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 9,537 | $116,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 114,154 | $115,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 2,000 | $114,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 6,564 | $114,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 4,500 | $112,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 1,500 | $112,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 130,000 | $112,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 5,000 | $111,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 10,100 | $111,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 55,000 | $111,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 3,000 | $110,000 | thousands by filing date | |
| ACREAGE HLDGS INC | 00489Y402 | COM | 15,000 | $110,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 720 | $109,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 4,400 | $108,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 2,000 | $107,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 10,455 | $106,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 3,280 | $106,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 10,123 | $105,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 142,200 | $105,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 2,900 | $104,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 5,634 | $102,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 8,900 | $102,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 6,855 | $102,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 3,858 | $102,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 10,000 | $101,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 2,000 | $101,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,450 | $100,000 | thousands by filing date | |
| ARES MANAGEMENT CORPORATION CL A COM STK | 03990B101 | Stock | 3,728 | $99,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 20,000 | $99,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 7,491 | $97,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 500 | $96,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 6,060 | $96,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 4,000 | $96,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 22,750 | $95,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 6,385 | $95,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 4,806 | $95,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 20,858 | $95,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 9,540 | $94,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 2,965 | $93,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 5,344 | $93,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,187 | $93,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 2,300 | $92,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 5,275 | $91,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 1,000 | $91,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 3,789 | $91,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 4,821 | $90,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 8,404 | $90,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 4,000 | $90,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 8,800 | $90,000 | thousands by filing date | |
| NASPERS LTD | 631512209 | COM | 3,008 | $90,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 4,244 | $90,000 | thousands by filing date | |
| West End Indiana Bancshares, Inc. | 952678100 | Not 13-F Security | 2,641 | $90,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 6,118 | $89,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 6,000 | $89,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 40,000 | $88,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 10,727 | $88,000 | thousands by filing date | |
| MEDMEN ENTERPRISES INC | 58507m107 | COM | 60,000 | $87,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 7,181 | $86,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 9,487 | $86,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 4,800 | $86,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 2,060 | $86,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 17,291 | $86,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 8,500 | $86,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 800 | $85,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 5,503 | $85,000 | thousands by filing date | |
| ASPEN GROUP INC | 04530L203 | COM NEW | 16,220 | $84,000 | thousands by filing date | |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 386 | $83,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 10,000 | $82,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 13,392 | $81,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 5,605 | $80,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 6,494 | $80,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F208 | UNIT 09/30/2025 | 7,700 | $80,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 7,595 | $79,000 | thousands by filing date | |
| LIQTECH INTL INC | 53632A201 | COM | 10,000 | $79,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 1,600 | $78,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 8,163 | $77,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 4,628 | $77,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 2,392 | $76,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 7,652 | $76,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 7,129 | $76,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 11,295 | $76,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 2,700 | $74,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 9,833 | $74,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 26,639 | $74,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 1,750 | $73,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 6,500 | $73,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 65,254 | $73,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 2,775 | $72,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 3,336 | $72,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X204 | UNIT 05/09/2026 | 7,200 | $72,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 1,358 | $71,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 5,258 | $71,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,352 | $71,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W303 | COM | 16,136 | $71,000 | thousands by filing date | |
| MAIDEN HLDNG 7.125 SRS C NON CUM PRF | G5753U138 | COM | 10,000 | $70,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 3,688 | $68,000 | thousands by filing date | |
| ROKU INC COM CL A | 77543R102 | Stock | 675 | $68,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 2,750 | $68,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 5,356 | $67,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 27,806 | $67,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 4,480 | $66,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 3,355 | $66,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 6,737 | $66,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 4,000 | $65,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 1,720 | $65,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 6,300 | $65,000 | thousands by filing date | |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 500 | $64,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 4,616 | $64,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 510 | $63,000 | thousands by filing date | put |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 20,000 | $63,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 16,705 | $63,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 1,451 | $62,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 4,000 | $62,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 4,300 | $61,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 4,029 | $61,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 5,258 | $60,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 4,258 | $60,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 3,100 | $59,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 12,500 | $59,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 1,000 | $58,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 15,300 | $58,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 2,128 | $58,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 41,500 | $58,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 3,715 | $57,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 18,861 | $57,000 | thousands by filing date | |
| DESPEGAR COM CORP | G27358103 | ORD SHS | 5,000 | $56,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 3,707 | $55,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 5,954 | $55,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 3,400 | $54,000 | thousands by filing date | |
| Cv Sciences Inc Com | 126654102 | COM | 31,500 | $54,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 224 | $53,000 | thousands by filing date | put |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 383 | $53,000 | thousands by filing date | put |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 2,408 | $53,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 2,200 | $53,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 4,812 | $53,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 871 | $52,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 5,000 | $52,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 8,081 | $52,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 192 | $51,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 501 | $51,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 5,138 | $51,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 1,960 | $50,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 8,284 | $49,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 501 | $49,000 | thousands by filing date | put |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 500 | $48,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 3,100 | $48,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 4,926 | $48,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS SRS B PRF | Y2188B124 | COM | 2,347 | $48,000 | thousands by filing date | |
| POWER INTEGRATIONS INC COM | 739276103 | Stock | 500 | $45,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 376 | $44,000 | thousands by filing date | put |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 3,738 | $44,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 2,344 | $43,000 | thousands by filing date | |
| SPOTIFYTECHNOLOGYSAF | L8681T102 | STOK | 370 | $42,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 4,000 | $42,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 464 | $41,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 8,850 | $41,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 2,852 | $41,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 1,050 | $40,000 | thousands by filing date | |
| DIREXION SHS ETF TR DAILY RGNAL BULL | 25459Y132 | CEF | 1,000 | $40,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 1,150 | $39,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 257 | $38,000 | thousands by filing date | put |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 2,150 | $38,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,040 | $38,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 344 | $37,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 280 | $37,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 2,838 | $37,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 999 | $37,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 849 | $37,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 3,372 | $37,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25460E877 | DLY JR GOLD 3X | 2,112 | $37,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 1,284 | $36,000 | thousands by filing date | call |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 4,000 | $36,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 4,188 | $36,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 300 | $35,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 5,220 | $35,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,154 | $35,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 9,256 | $35,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 2,064 | $34,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 2,829 | $34,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 2,283 | $33,000 | thousands by filing date | |
| ASLAN PHARMACEUTICALS LTD | 04522R101 | ADR | 19,100 | $33,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 375 | $32,000 | thousands by filing date | put |
| ELASTIC N V ORD SHS | N14506104 | Stock | 400 | $32,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 2,000 | $32,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 3,498 | $32,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 536 | $31,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 5,622 | $31,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 600 | $31,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 602 | $31,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 600 | $30,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 2,000 | $30,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 1,316 | $30,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 3,172 | $30,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 1,892 | $30,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 1,819 | $30,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 15 | $29,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 500 | $29,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 3,000 | $29,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 5,788 | $29,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 300 | $28,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 2,000 | $28,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 240 | $28,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 500 | $28,000 | thousands by filing date | |
| VISTA ENERGY S.A.B. DE C.V. SPONSORED ADS | 92837L109 | ADR | 5,360 | $27,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 462 | $27,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 149 | $26,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 400 | $26,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 2,498 | $26,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 2,570 | $26,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 155 | $25,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 350 | $25,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 1,000 | $25,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 801 | $25,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 1,500 | $25,000 | thousands by filing date | |
| ROYAL FINANCIAL INC | 78027P109 | COMMON | 1,550 | $25,000 | thousands by filing date | |
| BOSTON PROPERTIES | 101121408 | PFD | 1,000 | $25,000 | thousands by filing date | |
| VALLEY NATL BANCORP NON CUM PERP PFD | 919794305 | Equities | 992 | $25,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 350 | $24,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 1,720 | $24,000 | thousands by filing date | |
| SUMMIT WIRELESS TECHNLGIES I | 86633R104 | COM | 27,316 | $24,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 700 | $23,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 1,343 | $23,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 500 | $22,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 94 | $22,000 | thousands by filing date | call |
| TERADYNE INC COM | 880770102 | Stock | 382 | $22,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 611 | $22,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 70 | $22,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 311 | $22,000 | thousands by filing date | |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 1,040 | $22,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 800 | $22,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 2,500 | $22,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 23,550 | $22,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001742998-19-000005 | this filing | 2019-10-25 | acceptance time not in the bulk data set |