13F-HR filed by FNY Investment Advisers, LLC
FNY Investment Advisers, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-10, with 893 holding rows worth $323,096,000.
- Accession
- 0001742998-20-000001
- Filer
- CIK 1742998
- Filed
- 2020-01-10
- 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, 893 entries on the cover page, a total value of $323,096,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $322,672,000 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 |
|---|---|---|---|---|---|---|
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 162,079 | $34,376,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 278,861 | $16,687,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 79,715 | $15,239,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 307,752 | $10,663,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 345,150 | $10,520,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 464,851 | $9,278,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 2,666,442 | $8,825,000 | thousands by filing date | |
| RYANAIR HOLDINGS PLC SPONSORED ADR | 783513203 | ADR | 86,236 | $7,555,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 30,720 | $6,540,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 40,349 | $5,467,000 | thousands by filing date | |
| RH | 74967X103 | COM | 25,360 | $5,414,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 177,000 | $4,129,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 52,416 | $3,657,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 10,893 | $3,596,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 26,500 | $3,550,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 349,215 | $3,548,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 67,460 | $3,364,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 286,983 | $3,329,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 164,670 | $3,183,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 65,700 | $2,789,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 59,282 | $2,786,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 92,145 | $2,740,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 52,000 | $2,499,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 115,023 | $2,485,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 35,164 | $2,384,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 121,392 | $2,262,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 149,768 | $2,200,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 300,099 | $2,022,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 500,000 | $1,980,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 20,293 | $1,921,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 30,000 | $1,769,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 104,070 | $1,717,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 252,685 | $1,660,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 13,496 | $1,581,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 79,989 | $1,512,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 30,115 | $1,451,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W207 | COM NEW | 80,000 | $1,384,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 20,990 | $1,347,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 30,701 | $1,265,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 29,027 | $1,248,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 24,999 | $1,246,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 37,572 | $1,207,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 4,067 | $1,203,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 20,000 | $1,201,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 19,786 | $1,166,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 7,638 | $1,104,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 54,145 | $1,088,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 6,631 | $1,064,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U207 | UNIT 03/31/2021 | 101,400 | $1,060,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 60,000 | $1,052,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 30,954 | $1,046,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 60,859 | $1,034,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 311,875 | $1,015,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 18,720 | $1,006,000 | thousands by filing date | |
| API GROUP ORD | G49894101 | COM | 94,000 | $991,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 40,000 | $963,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 5,541 | $933,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 15,418 | $925,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 16,075 | $923,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 131,371 | $923,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 101,768 | $909,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 20,858 | $896,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 13,034 | $895,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 39,276 | $882,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | 560292302 | COM | 42,850 | $842,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 279,710 | $841,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 28,539 | $835,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 197,877 | $819,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 436 | $805,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 5,550 | $793,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 8,060 | $788,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 20,945 | $787,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 27,000 | $774,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 74,322 | $754,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 65,842 | $751,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 42,436 | $726,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 33,800 | $694,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 10,779 | $684,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 17,709 | $674,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 18,362 | $665,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 14,171 | $653,000 | thousands by filing date | |
| GREEN THUMB INDS INC F | 39342L108 | FGC | 66,567 | $649,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,005 | $645,000 | thousands by filing date | call |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 65,000 | $645,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 145,650 | $640,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 46,586 | $617,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 13,000 | $612,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 53,627 | $608,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 275,000 | $569,000 | thousands by filing date | |
| PERSONALIS INC | 71535D106 | COMMON STOCK | 52,024 | $567,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 9,121 | $549,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 7,000 | $549,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 67,000 | $546,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 130,000 | $530,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 68,800 | $527,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 200,000 | $514,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 23,500 | $505,000 | thousands by filing date | |
| SACHEM CAPITAL CORP - CALLABLE | 78590A307 | Pref | 20,000 | $502,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 230,120 | $497,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 36,625 | $492,000 | thousands by filing date | |
| WESDOME GOLD MINES LTD COM | 95083R100 | COM | 62,993 | $491,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 33,788 | $482,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 52,258 | $480,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 11,815 | $475,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 37,184 | $469,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 21,500 | $468,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 11,899 | $465,000 | thousands by filing date | |
| VICTORY CAP HLDGS INC DEL COM CL A | 92645B103 | Stock | 22,200 | $465,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 81,910 | $457,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 18,748 | $451,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 30,672 | $445,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 5,864 | $443,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 20,800 | $438,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,481 | $434,000 | thousands by filing date | put |
| SHAKE SHACK INC | 819047101 | CL A | 7,269 | $433,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 16,000 | $430,000 | thousands by filing date | |
| GREEN GROWTH BRANDS IN F | 39305B105 | STOK | 700,000 | $429,000 | thousands by filing date | |
| CREDICORP LTD | G2519Y108 | COM | 2,000 | $426,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 20,000 | $421,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 31,298 | $420,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 26,819 | $418,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 12,352 | $411,000 | thousands by filing date | |
| FORESCOUT TECHNOLOGIES INC | 34553D101 | COM | 12,550 | $411,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 17,500 | $409,000 | thousands by filing date | |
| SECURITY DEVICES INTL ORD | 814196101 | COM | 2,106,117 | $409,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 8,112 | $408,000 | thousands by filing date | |
| Curaleaf Holdings Inc. | 23126M102 | COM | 64,532 | $407,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 250,000 | $397,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 105,080 | $389,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 25,885 | $388,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 45,482 | $386,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 50,000 | $383,000 | thousands by filing date | |
| GCI LIBERTY INC COM CLASS A | 36164V305 | Stock | 5,400 | $382,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 8,500 | $376,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 77,788 | $375,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 24,324 | $373,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 16,800 | $362,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 10,010 | $359,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 11,000 | $357,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 44,000 | $353,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 35,900 | $348,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 7,552 | $346,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 8,300 | $341,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 51,317 | $338,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 3,124 | $335,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 23,322 | $335,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 23,981 | $333,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 15,700 | $332,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 73,862 | $331,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 76,497 | $328,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 20,330 | $328,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,019 | $327,000 | thousands by filing date | put |
| Boeing Company | 097023105 | COM | 1,000 | $325,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 50,000 | $322,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 20,000 | $320,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 4,542 | $319,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 19,459 | $319,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870107 | COM CLASS A | 31,500 | $316,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 6,450 | $310,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 67,377 | $309,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 11,700 | $308,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 12,147 | $306,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 19,425 | $304,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 30,334 | $303,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 20,714 | $297,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 4,000 | $296,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 250,000 | $295,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 3,000 | $294,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 12,000 | $293,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 25,381 | $293,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 22,980 | $292,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 23,282 | $292,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 60,000 | $289,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 35,600 | $288,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 3,212 | $287,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 31,547 | $285,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 19,871 | $285,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 66,908 | $284,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 28,400 | $284,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 273,029 | $283,000 | thousands by filing date | |
| ANTERIX INC | 03676C100 | COMMON STOCK | 6,500 | $280,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 32,000 | $279,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 27,770 | $277,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 8,653 | $277,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 18,400 | $276,000 | thousands by filing date | |
| LIVONGO HEALTH INC | 539183103 | COM | 10,860 | $272,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 925 | $271,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 24,500 | $270,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,960 | $265,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 6,000 | $264,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 9,060 | $262,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 23,800 | $261,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 12,583 | $259,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 3,700 | $258,000 | thousands by filing date | call |
| ZSCALERINC | 98980G102 | STOK | 5,500 | $255,000 | thousands by filing date | |
| NASPERS LTD | 631512209 | COM | 7,800 | $253,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 9,739 | $251,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 10,631 | $250,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 27,286 | $249,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 29,553 | $248,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 13,330 | $247,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 8,900 | $247,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 41,353 | $246,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,065 | $244,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 21,024 | $242,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 28,400 | $235,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 47,100 | $235,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A206 | UNIT 05/24/2026 | 23,080 | $235,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 18,700 | $234,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 20,081 | $231,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 27,226 | $229,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 25,214 | $229,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 1,000 | $228,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 25,000 | $228,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 14,834 | $228,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 40,000 | $226,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 4,618 | $226,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 21,173 | $224,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 21,890 | $224,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 15,322 | $223,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 6,800 | $222,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 7,000 | $221,000 | thousands by filing date | |
| QNITY ELECTRONICS INC | 817323207 | COM | 73,750 | $221,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 7,000 | $218,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 14,045 | $218,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 17,593 | $217,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 35,490 | $217,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 18,242 | $216,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 5,700 | $215,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 6,646 | $215,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 22,289 | $215,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 13,024 | $213,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 42,144 | $213,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 16,466 | $212,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 158 | $211,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 2,683 | $209,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 13,292 | $209,000 | thousands by filing date | |
| SYNTHORX INC COM | 87167A103 | Stock | 3,000 | $209,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 12,986 | $204,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 14,617 | $204,000 | thousands by filing date | |
| HARVARD ILLINOIS BANCORP ORD | 417429107 | COM | 15,000 | $203,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 13,300 | $201,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 6,000 | $199,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 12,158 | $199,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 17,242 | $196,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 66,396 | $195,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 13,079 | $194,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 21,176 | $193,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 1,350 | $193,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 1,300 | $192,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F676 | COM | 1,346 | $190,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 14,082 | $190,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 29,255 | $187,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 24,000 | $187,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 12,416 | $187,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 25,894 | $185,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 6,000 | $185,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 6,251 | $180,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 20,000 | $179,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 13,171 | $178,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 6,781 | $177,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 42,412 | $177,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 9,143 | $176,000 | thousands by filing date | |
| RH | 74967X103 | COM | 825 | $176,000 | thousands by filing date | call |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 25,000 | $176,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 73,700 | $176,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,798 | $172,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 9,753 | $170,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 3,500 | $170,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 18,816 | $167,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 9,107 | $167,000 | thousands by filing date | |
| TSAKOS ENRG NVGT CM RD PRP SRS F PRF | G9108L165 | COM | 7,000 | $167,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 6,000 | $166,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 12,000 | $165,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 13,392 | $165,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 10,000 | $164,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 23,532 | $164,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 25,190 | $163,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 22,500 | $162,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 17,000 | $161,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 12,000 | $160,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 7,326 | $159,000 | thousands by filing date | |
| SUNNYSIDE BANCORP, INC. | 867475105 | Not 13-F Security | 12,301 | $159,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 768 | $158,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 40,000 | $158,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 7,950 | $157,000 | thousands by filing date | |
| JMP GROUP 6 875 SNR NTS | 46629U404 | COM | 6,850 | $157,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 6,455 | $156,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 2,500 | $154,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,827 | $154,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 7,251 | $154,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 16,354 | $153,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 6,168 | $153,000 | thousands by filing date | |
| HARVEST HEALTH & REC INC COM SUB VTG | 41755M102 | Common Stock | 48,537 | $153,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 100,000 | $152,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,390 | $150,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 15,790 | $149,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 22,910 | $149,000 | thousands by filing date | |
| PENNSYLVANIA REAL ESTATE INV | 709102602 | RED PFD SER C | 8,000 | $149,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 2,000 | $148,000 | thousands by filing date | |
| DIPLOMAT PHARMACY INC | 25456K101 | COM | 37,100 | $148,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 2,300 | $147,000 | thousands by filing date | call |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 16,433 | $147,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 9,677 | $146,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 10,900 | $144,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,195 | $142,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 30,000 | $142,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 6,580 | $142,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 4,630 | $140,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 6,770 | $138,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 21,415 | $138,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 5,190 | $138,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 8,800 | $137,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 12,243 | $137,000 | thousands by filing date | |
| REPAY HOLDINGS CORP | 76029L118 | COM | 123,200 | $137,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 30,000 | $135,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 9,914 | $133,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 465 | $131,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 2,000 | $131,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 3,300 | $130,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 4,756 | $127,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 3,515 | $127,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 20,900 | $126,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 6,193 | $124,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 7,931 | $123,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 600 | $122,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 1,100 | $122,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 5,000 | $122,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 30,000 | $122,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 11,498 | $120,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 5,482 | $120,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 13,768 | $117,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 6,500 | $116,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 20,000 | $116,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 38,000 | $114,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 1,600 | $113,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 2,500 | $113,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 10,351 | $113,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 6,220 | $113,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 9,042 | $112,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 16,757 | $112,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 1,500 | $109,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 1,850 | $109,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 11,440 | $109,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 4,639 | $109,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 8,100 | $109,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 360 | $107,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 11,488 | $105,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 8,731 | $105,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 22,290 | $105,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 10,003 | $104,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 10,000 | $104,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,059 | $103,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 9,398 | $103,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 22,900 | $103,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 1,125 | $103,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 10,500 | $102,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 2,100 | $102,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 1,500 | $101,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 800 | $101,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 6,139 | $101,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 5,200 | $101,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 35,325 | $101,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 7,817 | $100,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 7,769 | $100,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 8,800 | $98,000 | thousands by filing date | |
| GRIDSUM HLDG INC SPONSORED ADR | 398132100 | Stock | 80,500 | $98,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 500 | $97,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 6,902 | $96,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 12,428 | $96,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 6,514 | $96,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 1,400 | $95,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 4,591 | $95,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 6,129 | $95,000 | thousands by filing date | |
| Ck Hutchison Holdin-Unsp Adr | 12562Y100 | Equity | 10,000 | $95,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 30,459 | $94,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 15,000 | $94,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 140,141 | $92,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 8,600 | $91,000 | thousands by filing date | |
| DISCOVERY COMMUNICATNS NEW | 25470F203 | COM | 2,533 | $91,000 | thousands by filing date | |
| West End Indiana Bancshares, Inc. | 952678100 | Not 13-F Security | 2,641 | $91,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 7,840 | $90,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 7,000 | $89,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229607 | COM C SIRIUSXM | 1,850 | $89,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 415 | $88,000 | thousands by filing date | put |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,638 | $87,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 8,070 | $87,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 4,916 | $87,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130123 | UNIT 03/01/2024 | 8,500 | $87,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 4,875 | $86,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 4,352 | $86,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 45,000 | $85,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 2,800 | $82,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 4,800 | $81,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 5,000 | $81,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 2,200 | $80,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 9,472 | $79,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 6,156 | $79,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 9,910 | $79,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 4,400 | $78,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 9,194 | $77,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 4,074 | $77,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 8,800 | $77,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 3,773 | $76,000 | thousands by filing date | |
| First Resource Bank | 336177100 | COM | 7,151 | $76,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 7,100 | $76,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 7,100 | $75,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 12,644 | $74,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 12,472 | $74,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 2,500 | $73,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 6,108 | $73,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 430 | $73,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 4,203 | $73,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 6,171 | $73,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 4,978 | $72,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 8,600 | $72,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 15,000 | $72,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 47,100 | $72,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 3,602 | $71,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 1,820 | $70,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X204 | UNIT 05/09/2026 | 7,000 | $70,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 3,700 | $69,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 4,550 | $68,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 910 | $68,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 4,864 | $68,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 6,334 | $66,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 3,250 | $66,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 3,175 | $66,000 | thousands by filing date | |
| ACREAGE HLDGS INC | 00489Y402 | COM | 11,300 | $66,000 | thousands by filing date | |
| MAIDEN HLDNG 7.125 SRS C NON CUM PRF | G5753U138 | COM | 10,100 | $66,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 910 | $65,000 | thousands by filing date | |
| MONGODB INC CL A | 60937P106 | Stock | 500 | $65,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 1,500 | $65,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 12,560 | $64,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 8,081 | $64,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 3,205 | $64,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 2,500 | $63,000 | thousands by filing date | |
| BILL HOLDINGS INC | 090043100 | COM | 1,650 | $62,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 3,865 | $62,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 4,447 | $62,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 2,884 | $62,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 4,610 | $62,000 | thousands by filing date | |
| AMTRUST FINL SE 7.25PFD DUE 06/15/55SUBJ TO XTRO REDEMPTION | 032359861 | Equity | 2,970 | $62,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 10,000 | $61,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 9,800 | $60,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 6,340 | $60,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 24,343 | $60,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 3,000 | $60,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 1,185 | $59,000 | thousands by filing date | call |
| TAPESTRY INC COM | 876030107 | Stock | 2,205 | $59,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 1,400 | $59,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 500 | $59,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 5,196 | $58,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 800 | $57,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 4,200 | $57,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 3,506 | $57,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 268 | $56,000 | thousands by filing date | put |
| WORKDAY INC CL A | 98138H101 | Stock | 335 | $55,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 3,150 | $54,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 5,816 | $54,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 1,336 | $53,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 1,500 | $52,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 2,000 | $52,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 12,500 | $52,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 2,500 | $51,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 2,000 | $51,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 2,200 | $51,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 5,000 | $51,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 7,238 | $51,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 6,900 | $50,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 2,237 | $50,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 5,574 | $49,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 11,410 | $49,000 | thousands by filing date | |
| CHARLOTTES WEB HLDGS I F | 16106R109 | Equity | 6,500 | $49,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 3,352 | $49,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 4,400 | $49,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 2,600 | $48,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F208 | UNIT 09/30/2025 | 4,650 | $48,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 2,057 | $47,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070105 | CL B | 1,154 | $47,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 4,500 | $47,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 500 | $46,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 3,850 | $45,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 2,565 | $45,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 406 | $45,000 | thousands by filing date | |
| BRUNSWICK BANCORP INC COM | 117030106 | COM | 5,000 | $45,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 3,500 | $45,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 276 | $44,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 415 | $44,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 921 | $44,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 5,588 | $44,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 855 | $44,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 275 | $43,000 | thousands by filing date | put |
| BROWN FORMAN CORP | 115637100 | CL A | 690 | $43,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 4,179 | $43,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 2,048 | $43,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 625 | $42,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 2,888 | $42,000 | thousands by filing date | |
| Uber Technologies | 90353T100 | COM | 1,380 | $41,000 | thousands by filing date | call |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 1,000 | $41,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001742998-20-000001 | this filing | 2020-01-10 | acceptance time not in the bulk data set |