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Disclosery

GOFEN & GLOSSBERG LLC /IL/

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13F filer, CIK 315498, CHICAGO, IL

GOFEN & GLOSSBERG LLC /IL/ reported $4,632,790,000 across 632 holdings for the quarter ended 2021-12-31, in a 13F-HR filed 2022-01-25. Its ten largest share positions make up 31.03% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0000315498-22-000001

Period
2021-12-31
Reported value
$4.63B
Holdings
632
Top 10 weight
31.03%
New
37
Sold out
28

Largest buys vs the previous quarter

SecurityShares changeApprox. value
CANADIAN PACIFIC RAILWAYSadded+315,223$22.7M
ICSHadded+169,860$8.56M
TIPadded+52,203$6.74M
IFFadded+35,070$5.28M
PGadded+30,312$4.96M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
KANSAS CITY SOUTHERNexited-113,745-$30.8M
AAPLreduced-80,842-$14.4M
IVOLreduced-288,717-$7.76M
MSFTreduced-19,816-$6.66M
TAILreduced-207,275-$3.7M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q4 2021

Share positions as resolved from 13F-HR 0000315498-22-000001, largest first. % of portfolio is the value over $4,632,790,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
FIDELITY ADVISOR NEW INSIGH…FIDELITY ADVISOR NEW INSIGHTS AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 6,176 shares; 2021Q2: 5,771 shares; 2021Q3: 5,771 shares; 2021Q4: 6,370 shares 6,370$256K0.01%+599
COLLEGE RETIREMENT EQU STK …COLLEGE RETIREMENT EQU STK ACCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 325 shares; 2021Q2: 325 shares; 2021Q3: 325 shares; 2021Q4: 325 shares 325$256K0.01%0
EQIXEQUINIX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 300 shares; 2021Q2: 300 shares; 2021Q3: 300 shares; 2021Q4: 300 shares 300$254K0.01%0Timeline
FIDELITYFIDELITYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,611 shares; 2021Q2: 3,611 shares; 2021Q3: 3,611 shares; 2021Q4: 3,611 shares 3,611$254K0.01%0
OREALTY INCOME CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,472 shares; 2021Q2: 3,478 shares; 2021Q3: 3,483 shares; 2021Q4: 3,488 shares 3,488$250K0.01%+5Timeline
SCHWAB INTERNATIONAL INDEXSCHWAB INTERNATIONAL INDEXQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 10,217 shares; 2021Q2: 11,022 shares; 2021Q3: 11,022 shares; 2021Q4: 10,568 shares 10,568$250K0.01%-454
JPMorgan Tax R/R FdJPMorgan Tax R/R FdQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 24,874 shares; 2021Q2: 24,874 shares; 2021Q3: 24,874 shares; 2021Q4: 24,874 shares 24,874$250K0.01%0
MPCMARATHON PETE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,756 shares; 2021Q2: 3,815 shares; 2021Q3: 3,888 shares; 2021Q4: 3,866 shares 3,866$247K0.01%-22Timeline
DFA US LARGE CAP GROWTHDFA US LARGE CAP GROWTHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 7,552 shares; 2021Q2: 7,552 shares; 2021Q3: 7,552 shares; 2021Q4: 7,552 shares 7,552$247K0.01%0
JOHN HANCOCK FUNDAMENTAL LA…JOHN HANCOCK FUNDAMENTAL LARGE CA…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,457 shares; 2021Q2: 3,457 shares; 2021Q3: 3,457 shares; 2021Q4: 3,457 shares 3,457$247K0.01%0
DFIEXINTERNATIONAL CORE EQUITY 2Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 14,856 shares; 2021Q2: 15,002 shares; 2021Q3: 15,096 shares; 2021Q4: 15,283 shares 15,283$246K0.01%+187Timeline
EFVISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 3,959 shares; 2021Q3: 4,772 shares; 2021Q4: 4,859 shares 4,859$245K0.01%+87Timeline
DALDELTA AIR LINES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 7,375 shares; 2021Q2: 7,375 shares; 2021Q3: 7,340 shares; 2021Q4: 6,275 shares 6,275$245K0.01%-1,065Timeline
RYANRYAN SPECIALTY HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 6,063 shares; 2021Q4: 6,063 shares 6,063$245K0.01%0Timeline
PIMIXPIMCO INCOME FUND-INSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 18,662 shares; 2021Q4: 20,513 shares 20,513$245K0.01%+1,851Timeline
ABNBAIRBNB INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 1,365 shares; 2021Q2: 1,365 shares; 2021Q3: 1,440 shares; 2021Q4: 1,458 shares 1,458$243K0.01%+18Timeline
IYHISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 806 shares 806$242K0.01%newTimeline
RMDRESMED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 918 shares; 2021Q3: 918 shares; 2021Q4: 924 shares 924$241K0.01%+6Timeline
OAKMARK SELECT INVESTOROAKMARK SELECT INVESTORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,749 shares; 2021Q2: 3,749 shares; 2021Q3: 3,749 shares; 2021Q4: 3,752 shares 3,752$241K0.01%+3
MTBM & T BK CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 1,553 shares 1,553$239K0.01%newTimeline
XLUSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,365 shares; 2021Q2: 3,265 shares; 2021Q3: 3,265 shares; 2021Q4: 3,294 shares 3,294$236K0.01%+29Timeline
CRWDCROWDSTRIKE HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 1,147 shares 1,147$235K0.01%newTimeline
XARSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 2,004 shares; 2021Q2: 2,004 shares; 2021Q3: 2,004 shares; 2021Q4: 2,004 shares 2,004$233K0.01%0Timeline
ATLASSIAN CORPATLASSIAN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 600 shares; 2021Q4: 610 shares 610$233K0.01%+10
EAELECTRONIC ARTS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 1,703 shares; 2021Q2: 1,716 shares; 2021Q3: 1,755 shares; 2021Q4: 1,755 shares 1,755$231K<0.01%0Timeline
BXPBXP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 2,000 shares; 2021Q2: 2,000 shares; 2021Q3: 2,000 shares; 2021Q4: 2,000 shares 2,000$230K<0.01%0Timeline
LBRDALIBERTY BROADBAND CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 1,422 shares; 2021Q4: 1,422 shares 1,422$229K<0.01%0Timeline
IAUISHARES GOLD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 7,592 shares; 2021Q3: 6,561 shares; 2021Q4: 6,561 shares 6,561$228K<0.01%0Timeline
OAKMARK ADVISOROAKMARK ADVISORQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 1,834 shares; 2021Q4: 1,906 shares 1,906$227K<0.01%+72
FUNDAMENTAL INVESTORSFUNDAMENTAL INVESTORSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 2,875 shares; 2021Q2: 2,903 shares; 2021Q3: 2,905 shares; 2021Q4: 2,980 shares 2,980$226K<0.01%+75
LEGLEGGETT & PLATT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 5,451 shares; 2021Q2: 5,473 shares; 2021Q3: 5,473 shares; 2021Q4: 5,433 shares 5,433$224K<0.01%-40Timeline
GLGLOBE LIFE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 2,391 shares; 2021Q2: 2,391 shares; 2021Q3: 2,391 shares; 2021Q4: 2,391 shares 2,391$224K<0.01%0Timeline
IVOLKRANESHARES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 284,378 shares; 2021Q2: 386,748 shares; 2021Q3: 297,047 shares; 2021Q4: 8,330 shares 8,330$224K<0.01%-288,717Timeline
XSOEWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 6,033 shares; 2021Q2: 6,033 shares; 2021Q3: 6,033 shares; 2021Q4: 6,028 shares 6,028$222K<0.01%-5Timeline
DODFXDODGE & COX INTL STCK-IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 4,608 shares; 2021Q2: 4,608 shares; 2021Q3: 4,608 shares; 2021Q4: 4,654 shares 4,654$220K<0.01%+46Timeline
HARTFORD SCHRODERS US SMALL…HARTFORD SCHRODERS US SMALL CAP O…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 6,686 shares 6,686$220K<0.01%new
EFGISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 1,982 shares; 2021Q4: 1,982 shares 1,982$219K<0.01%0Timeline
DISCOVERY INCDISCOVERY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 5,516 shares; 2021Q2: not reported; 2021Q3: 9,566 shares; 2021Q4: 9,566 shares 9,566$219K<0.01%0
T ROWE PRICE TAX FREE INCOM…T ROWE PRICE TAX FREE INCOME FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,945 shares; 2021Q2: 20,945 shares; 2021Q3: 20,945 shares; 2021Q4: 20,945 shares 20,945$219K<0.01%0
XLPSELECT SECTOR SPDR TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 2,828 shares 2,828$218K<0.01%newTimeline
BCEBCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 4,188 shares; 2021Q3: 4,188 shares; 2021Q4: 4,188 shares 4,188$218K<0.01%0Timeline
ROKUROKU INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 950 shares; 2021Q2: 950 shares; 2021Q3: 950 shares; 2021Q4: 954 shares 954$218K<0.01%+4Timeline
TBFPROSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 13,500 shares; 2021Q2: 13,500 shares; 2021Q3: 13,500 shares; 2021Q4: 13,500 shares 13,500$216K<0.01%0Timeline
PODDINSULET CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 800 shares; 2021Q2: 800 shares; 2021Q3: 800 shares; 2021Q4: 807 shares 807$215K<0.01%+7Timeline
HEDJWISDOMTREE TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 2,663 shares; 2021Q3: 2,664 shares; 2021Q4: 2,667 shares 2,667$214K<0.01%+3Timeline
ISHARES TR IBONDS DEC2023ISHARES TR IBONDS DEC2023Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 10,250 shares; 2021Q2: 8,750 shares; 2021Q3: 8,250 shares; 2021Q4: 8,250 shares 8,250$214K<0.01%0
BSVVANGUARD BD INDEX FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,032 shares; 2021Q2: 3,197 shares; 2021Q3: 3,692 shares; 2021Q4: 2,638 shares 2,638$213K<0.01%-1,054Timeline
SouthState CorpSouthState CorpQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 2,758 shares; 2021Q4: 2,658 shares 2,658$213K<0.01%-100
IEIISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 2,502 shares; 2021Q2: 1,648 shares; 2021Q3: 1,648 shares; 2021Q4: 1,648 shares 1,648$212K<0.01%0Timeline
Janus Henderson Research DJanus Henderson Research DQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,123 shares; 2021Q2: 3,123 shares; 2021Q3: 3,123 shares; 2021Q4: 3,123 shares 3,123$212K<0.01%0
CHDCHURCH & DWIGHT CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 2,040 shares 2,040$209K<0.01%newTimeline
VANGUARD WELLESLEY INCOME FDVANGUARD WELLESLEY INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 3,187 shares; 2021Q2: 2,978 shares; 2021Q3: 2,978 shares; 2021Q4: 2,978 shares 2,978$209K<0.01%0
AWRAMER STATES WTR COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 2,000 shares 2,000$207K<0.01%newTimeline
FNDFSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 6,357 shares 6,357$207K<0.01%newTimeline
SOFISOFI TECHNOLOGIES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 13,075 shares; 2021Q4: 13,000 shares 13,000$206K<0.01%-75Timeline
NHFIXNorthern High Yield Fixed IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 29,120 shares; 2021Q2: 29,503 shares; 2021Q3: 29,823 shares; 2021Q4: 30,209 shares 30,209$205K<0.01%+386Timeline
WCNWASTE CONNECTIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 1,492 shares 1,492$203K<0.01%newTimeline
AEEAMEREN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 3,280 shares; 2021Q4: 2,280 shares 2,280$203K<0.01%-1,000Timeline
ESBAEMPIRE ST RLTY OP L PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 22,903 shares; 2021Q2: 22,903 shares; 2021Q3: 22,903 shares; 2021Q4: 22,903 shares 22,903$203K<0.01%0Timeline
PRUPRUDENTIAL FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 1,868 shares 1,868$202K<0.01%newTimeline
TSMTAIWAN SEMICONDUCTOR MANUFACQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 1,665 shares 1,665$200K<0.01%newTimeline
VANGUARD SHORT-TERM TAX-EXE…VANGUARD SHORT-TERM TAX-EXEMPT FU…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 14,775 shares; 2021Q2: 14,775 shares; 2021Q3: 14,775 shares; 2021Q4: 12,217 shares 12,217$194K<0.01%-2,558
KDKYNDRYL HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 10,382 shares 10,382$188K<0.01%newTimeline
RSIRUSH STREET INTERACTIVE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 11,300 shares; 2021Q4: 11,300 shares 11,300$186K<0.01%0Timeline
BLACKROCK STRATEGIC INCOME …BLACKROCK STRATEGIC INCOME OPPS I…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 18,211 shares; 2021Q4: 18,211 shares 18,211$185K<0.01%0
Catalyst Enhanced Inc Strat…Catalyst Enhanced Inc Strat FdQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 16,841 shares; 2021Q2: 16,841 shares; 2021Q3: 16,841 shares; 2021Q4: 16,841 shares 16,841$185K<0.01%0
Segall Bryant & Hamill Shrt…Segall Bryant & Hamill Shrt TrQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 18,261 shares; 2021Q3: 18,261 shares; 2021Q4: 18,261 shares 18,261$184K<0.01%0
T. ROWE PRICE INTERNATIOT. ROWE PRICE INTERNATIOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 11,034 shares; 2021Q4: 10,408 shares 10,408$170K<0.01%-626
T. ROWE PRICE ULTRA SHORT-T…T. ROWE PRICE ULTRA SHORT-TERM BO…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 32,580 shares; 2021Q2: 32,640 shares; 2021Q3: 32,696 shares; 2021Q4: 32,892 shares 32,892$166K<0.01%+196
DNPDNP SELECT INCOME FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 10,073 shares; 2021Q2: 19,049 shares; 2021Q3: 15,049 shares; 2021Q4: 15,049 shares 15,049$164K<0.01%0Timeline
COLUMBIA DISCIPLINED CORE ACOLUMBIA DISCIPLINED CORE AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 11,194 shares 11,194$162K<0.01%new
Vanguard Long-Term Tax-Exem…Vanguard Long-Term Tax-ExemptQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 13,374 shares; 2021Q2: 13,374 shares; 2021Q3: 13,374 shares; 2021Q4: 13,374 shares 13,374$162K<0.01%0
AllianceBernstein Sm/Mdcap …AllianceBernstein Sm/Mdcap GrQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 10,183 shares; 2021Q2: 10,183 shares; 2021Q3: 10,183 shares; 2021Q4: 11,960 shares 11,960$158K<0.01%+1,777
FEDERATED HERMES INSTL HIGH…FEDERATED HERMES INSTL HIGH YIELD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 14,938 shares; 2021Q3: 14,938 shares; 2021Q4: 14,938 shares 14,938$148K<0.01%0
QURATE RETAIL INCQURATE RETAIL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 13,915 shares; 2021Q2: 13,915 shares; 2021Q3: 18,915 shares; 2021Q4: 18,915 shares 18,915$144K<0.01%0
VTRSVIATRIS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 14,149 shares; 2021Q2: 12,302 shares; 2021Q3: 11,770 shares; 2021Q4: 10,445 shares 10,445$141K<0.01%-1,325Timeline
Proshares Short S&PProshares Short S&PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 52,500 shares; 2021Q4: 10,000 shares 10,000$136K<0.01%-42,500
NEOVNEOVOLTA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 19,000 shares; 2021Q2: 19,000 shares; 2021Q3: 19,000 shares; 2021Q4: 19,000 shares 19,000$133K<0.01%0Timeline
JPMORGAN INCOME BUILDER FUN…JPMORGAN INCOME BUILDER FUND CLAS…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 11,428 shares; 2021Q4: 11,517 shares 11,517$129K<0.01%+89
T ROWE PRICE HIGH YIELD FUNDT ROWE PRICE HIGH YIELD FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 17,807 shares; 2021Q2: 17,807 shares; 2021Q3: 17,807 shares; 2021Q4: 17,807 shares 17,807$118K<0.01%0
Cannabist Company Holdings …Cannabist Company Holdings IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 15,600 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares; 2021Q4: 40,000 shares 40,000$114K<0.01%+20,000
RIV CapitalRIV CapitalQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 100,000 shares; 2021Q4: 100,000 shares 100,000$114K<0.01%0
PIMCO INTERNATIONAL BOND (U…PIMCO INTERNATIONAL BOND (USD-HDG…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 10,517 shares; 2021Q3: 10,517 shares; 2021Q4: 10,517 shares 10,517$113K<0.01%0
POTBELLY CORPPOTBELLY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares; 2021Q4: 20,000 shares 20,000$112K<0.01%0
Goodness Growth Holdings IncGoodness Growth Holdings IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 65,000 shares; 2021Q3: 65,000 shares; 2021Q4: 65,000 shares 65,000$111K<0.01%0
INVESCO GLOBAL REAL ESTAINVESCO GLOBAL REAL ESTAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 10,997 shares 10,997$110K<0.01%new
Eaton Vance Emerging Market…Eaton Vance Emerging Markets Dbt …Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 12,768 shares; 2021Q3: 12,768 shares; 2021Q4: 12,768 shares 12,768$110K<0.01%0
TSNDFTERRASCEND CORP (CANADA)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 17,000 shares; 2021Q2: 17,000 shares; 2021Q3: 17,000 shares; 2021Q4: 17,000 shares 17,000$104K<0.01%0Timeline
MIND MEDICINE (MINDMED) INCMIND MEDICINE (MINDMED) INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 72,500 shares; 2021Q2: 72,500 shares; 2021Q3: 72,500 shares; 2021Q4: 72,500 shares 72,500$100K<0.01%0
ATAIBECKLEY INCATAIBECKLEY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 12,800 shares 12,800$98K<0.01%new
JMSIXJPMORGAN INCOME FUND-IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 10,274 shares 10,274$96K<0.01%newTimeline
Tudor GoldTudor GoldQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 40,000 shares; 2021Q2: 56,000 shares; 2021Q3: 56,000 shares; 2021Q4: 56,000 shares 56,000$91K<0.01%0
ARCIMOTO INCARCIMOTO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 11,000 shares; 2021Q2: 11,000 shares; 2021Q3: 11,000 shares; 2021Q4: 11,000 shares 11,000$86K<0.01%0
VWEAXVANGUARD HIGH YIELD CORPORATE BON…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 11,719 shares; 2021Q4: 11,719 shares 11,719$70K<0.01%0Timeline
ADVISORSHARES TRADVISORSHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 12,000 shares 12,000$69K<0.01%new
AAWHASCEND WELLNESS HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 10,000 shares 10,000$66K<0.01%newTimeline
LFMDLIFEMD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 12,250 shares; 2021Q4: 15,000 shares 15,000$58K<0.01%+2,750Timeline
LORD ABBETT SH/DUR CLORD ABBETT SH/DUR CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 12,881 shares; 2021Q2: 12,938 shares; 2021Q3: 12,990 shares; 2021Q4: 13,040 shares 13,040$55K<0.01%+50
FRANKLIN INCOME FUND CLFRANKLIN INCOME FUND CLQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 20,507 shares 20,507$52K<0.01%new
FFNTF4FRONT VENTURES CORP COM SUB VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 70,000 shares; 2021Q2: 70,000 shares; 2021Q3: 70,000 shares; 2021Q4: 50,000 shares 50,000$51K<0.01%-20,000Timeline
VEXTFVEXT SCIENCE INC COM (CAN)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 50,000 shares; 2021Q2: 50,000 shares; 2021Q3: 100,000 shares; 2021Q4: 100,000 shares 100,000$51K<0.01%0Timeline
CYBIN INCCYBIN INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 25,000 shares; 2021Q3: 25,000 shares; 2021Q4: 40,000 shares 40,000$48K<0.01%+15,000
North Energy ASANorth Energy ASAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 17,350 shares; 2021Q4: 17,350 shares 17,350$46K<0.01%0
MERIDA MERGER CORP IMERIDA MERGER CORP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 25,000 shares; 2021Q4: 40,000 shares 40,000$45K<0.01%+15,000
Gage GrowthGage GrowthQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 25,000 shares; 2021Q4: 25,000 shares 25,000$45K<0.01%0
MRMDMARIMED INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 50,000 shares 50,000$43K<0.01%newTimeline
RVVTFREVIVE THERAPEUTICS LTD COM (CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 150,000 shares; 2021Q2: 150,000 shares; 2021Q3: 150,000 shares; 2021Q4: 150,000 shares 150,000$40K<0.01%0Timeline
NYMXFNYMOX PHARMACEUTICAL CORP COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 25,000 shares; 2021Q2: 25,000 shares; 2021Q3: 25,000 shares; 2021Q4: 25,000 shares 25,000$33K<0.01%0Timeline
IM CANNABIS CORPIM CANNABIS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 10,000 shares; 2021Q4: 10,000 shares 10,000$33K<0.01%0
JUSHFJUSHI HLDGS INC CL B SUB VTGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 10,000 shares; 2021Q4: 10,000 shares 10,000$33K<0.01%0Timeline
WHEELS UP EXPERIENCE INCWHEELS UP EXPERIENCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 35,000 shares 35,000$29K<0.01%new
DNNDENISON MINES CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares; 2021Q4: 20,000 shares 20,000$27K<0.01%0Timeline
Harborside IncHarborside IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 50,000 shares; 2021Q2: 50,000 shares; 2021Q3: 53,396 shares; 2021Q4: 75,000 shares 75,000$27K<0.01%+21,604
FIELD TRIP HEALTH LTDFIELD TRIP HEALTH LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 10,000 shares; 2021Q4: 10,000 shares 10,000$25K<0.01%0
NUMIFNUMINUS WELLNESS INC COM (CAN)Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 50,000 shares; 2021Q4: 50,000 shares 50,000$21K<0.01%0Timeline
GREENLANE HLDGS INCGREENLANE HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 15,080 shares; 2021Q4: 15,080 shares 15,080$15K<0.01%0
Hollister BiosciencesHollister BiosciencesQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 100,000 shares; 2021Q2: 100,000 shares; 2021Q3: 100,000 shares; 2021Q4: 100,000 shares 100,000$14K<0.01%0
Slang Worldwide IncSlang Worldwide IncQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 200,000 shares; 2021Q2: 200,000 shares; 2021Q3: 200,000 shares; 2021Q4: 200,000 shares 200,000$12K<0.01%0
NWBONORTHWEST BIOTHERAPEUTICS INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 12,740 shares; 2021Q2: 12,740 shares; 2021Q3: 12,740 shares; 2021Q4: 12,740 shares 12,740$9K<0.01%0Timeline
V S B L T Y GROUPE TEC FV S B L T Y GROUPE TEC FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 10,000 shares 10,000$9K<0.01%new
TLSSTRANSPORTATION & LOGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 540,000 shares; 2021Q4: 560,000 shares 560,000$7K<0.01%+20,000Timeline
Meyer Burger Technology AGMeyer Burger Technology AGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: not reported; 2021Q4: 13,500 shares 13,500$6K<0.01%new
EVOFEM BIOSCIENCES INCEVOFEM BIOSCIENCES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 10,000 shares; 2021Q4: 10,000 shares 10,000$4K<0.01%0
BRAXIA SCIENTIFIC CORP COM …BRAXIA SCIENTIFIC CORP COM NPVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 40,000 shares; 2021Q3: 40,000 shares; 2021Q4: 40,000 shares 40,000$2K<0.01%0
NPHCNUTRA PHARMA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 500,000 shares; 2021Q3: 500,000 shares; 2021Q4: 500,000 shares 500,000$1K<0.01%0Timeline
CANNABIS SCIENCE INC XXXCANNABIS SCIENCE INC XXXQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 10,000 shares; 2021Q2: 10,000 shares; 2021Q3: 10,000 shares; 2021Q4: 10,000 shares 10,000$00%0Value filed as zero, left out of ratios.
DFTCDEFENTECT GROUP INC COM STK (DQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 23,000 shares; 2021Q2: 23,000 shares; 2021Q3: 23,000 shares; 2021Q4: 23,000 shares 23,000$00%0Value filed as zero, left out of ratios.Timeline
Options Media GroupOptions Media GroupQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 234,993 shares; 2021Q2: 234,993 shares; 2021Q3: 234,993 shares; 2021Q4: 234,993 shares 234,993$00%0Value filed as zero, left out of ratios.
VIASPACE INCVIASPACE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 100,000 shares; 2021Q2: 100,000 shares; 2021Q3: 100,000 shares; 2021Q4: 100,000 shares 100,000$00%0Value filed as zero, left out of ratios.
VITRO TECHVITRO TECHQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 15,000 shares; 2021Q2: 15,000 shares; 2021Q3: 15,000 shares; 2021Q4: 15,000 shares 15,000$00%0Value filed as zero, left out of ratios.
BellRock BrandsBellRock BrandsQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 185,000 shares; 2021Q2: 185,000 shares; 2021Q3: 185,000 shares; 2021Q4: 287,012 shares 287,012$00%+102,012Value filed as zero, left out of ratios.
Medical Cannabis Pymt Solut…Medical Cannabis Pymt SolutionQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 101,000 shares; 2021Q2: 101,000 shares; 2021Q3: 101,000 shares; 2021Q4: 101,000 shares 101,000$00%0Value filed as zero, left out of ratios.

Sold out in Q4 2021

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
KANSAS CITY SOUTHERNKANSAS CITY SOUTHERN113,745$30.8Mshares
ISHARES IBONDS DEC 2021 TER…ISHARES IBONDS DEC 2021 TERM MUNI…28,800$737Kshares
DODIXDODGE & COX INCOME-I25,415$363Kshares
STERICYCLE INCSTERICYCLE INC4,500$306Kshares
DXJWISDOMTREE TR4,100$259Kshares
MSOSADVISORSHARES TR7,780$246Kshares
WTRGESSENTIAL UTILS INC5,341$246Kshares
VWIUXVANGUARD I/T TAX EXMPT-ADM16,267$239Kshares
IPINTERNATIONAL PAPER CO4,205$235Kshares
T. ROWE PRICE SCIENCE & TECHT. ROWE PRICE SCIENCE & TECH3,914$234Kshares
PINSPINTEREST INC4,566$233Kshares
MRNAMODERNA INC576$222Kshares
ABMABM INDS INC4,800$216Kshares
PUKPRUDENTIAL PLC5,456$214Kshares
AUPHAURINIA PHARMACEUTICALS INC9,500$210Kshares
Dreyfus Mid Cap Index I FdDreyfus Mid Cap Index I Fd5,500$209Kshares
VXUSVANGUARD STAR FDS3,292$208Kshares
JP Morgan Global Allocation…JP Morgan Global Allocation fd9,071$208Kshares
HARVEST HEALTH & REC INC CO…HARVEST HEALTH & REC INC COM SUB …64,000$200Kshares
Litman Gregory Master Alter…Litman Gregory Master Alter St12,791$156Kshares
JOHN HANCOCK INCOME FUNDJOHN HANCOCK INCOME FUND21,554$143Kshares
GLASGLASS HOUSE BRANDS INC20,000$100Kshares
BRIACELL THERAPEUTICS ORDBRIACELL THERAPEUTICS ORD10,000$81Kshares
TPCO HOLDING CORP 1:1 EXC 7…TPCO HOLDING CORP 1:1 EXC 7/11/23…20,000$64Kshares
QUOTIENT LTDQUOTIENT LTD25,000$59Kshares
CXXIFC21 INVTS INC COM (CANADA)75,000$53Kshares
TONIX PHARMACEUTICALS HOLDINTONIX PHARMACEUTICALS HOLDIN25,000$15Kshares
Dragontail SystemsDragontail Systems52,500$0shares

How Q4 2021 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0000315498-22-000001 base2022-01-25acceptance time not in the bulk data set