Managing Member

0001493152-19-017190.txt : 20191114 0001493152-19-017190.hdr.sgml : 20191114 20191114092710 ACCESSION NUMBER: 0001493152-19-017190 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BOOTHBAY FUND MANAGEMENT, LLC CENTRAL INDEX KEY: 0001549230 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16782 FILM NUMBER: 191216866 BUSINESS ADDRESS: STREET 1: 810 7TH AVENUE, SUITE 615 CITY: NEW YORK STATE: NY ZIP: 10019-5818 BUSINESS PHONE: (212) 332-2679 MAIL ADDRESS: STREET 1: 810 7TH AVENUE, SUITE 615 CITY: NEW YORK STATE: NY ZIP: 10019-5818 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001549230 XXXXXXXX 09-30-2019 09-30-2019 false BOOTHBAY FUND MANAGEMENT, LLC

810 7th Avenue, Suite 615 New York NY 10019-5818

13F HOLDINGS REPORT 028-16782 Y Note: Certain holdings included in this 13F report may be reported in the 13F holdings reports of other institutional investment managers that may be deemed to share investment discretion with Boothbay Fund Management, LLC ("Boothbay"), but on whose behalf Boothbay is not filing this report. Ari Glass Managing Member 212-332-2676 /s/ Ari Glass New York NY 11-14-2019 0 781 1090613 INFORMATION TABLE 2 infotable.xml Tesla Inc NOTE 2.000% 5/1 88160RAG6 765 752000 SH SOLE 752000 0 0 Infinera Corp NOTE 2.125% 9/0 45667GAC7 1156 1322000 SH SOLE 1322000 0 0 Collier Creek Holdings UNIT 99/99/9999 G22707122 669 62512 SH SOLE 62512 0 0 Blackstone Group Inc COM CL A 09260D107 227 4644 SH SOLE 4644 0 0 Sotheby's COM 835898107 3862 67781 SH SOLE 67781 0 0 Ishares Edge Msci Usa Value Factor Etf EDGE MSCI USA VL 46432F388 2002 24400 SH SOLE 24400 0 0 Energy Select Sector SPDR Fund ENERGY 81369Y506 355 6000 SH SOLE 6000 0 0 SPDR Gold Shares ETF GOLD SHS 78463V107 278 2000 SH SOLE 2000 0 0 iShares Russell 2000 Growth ETF RUS 2000 GRW ETF 464287648 385 2000 SH SOLE 2000 0 0 Consumer Discretionary Select Sector SPDR Fund SBI CONS DISCR 81369Y407 483 4000 SH SOLE 4000 0 0 Global Ship Lease Inc COM CL A Y27183600 394 51493 SH SOLE 51493 0 0 Caesarstone Ltd ORD SHS M20598104 948 57094 SH SOLE 57094 0 0 LiqTech International Inc COM 53632A201 1004 127067 SH SOLE 127067 0 0 Tuesday Morning Corp COM NEW 899035505 483 307806 SH SOLE 307806 0 0 Hanger Inc COM NEW 41043F208 974 47806 SH SOLE 47806 0 0 StarTek Inc COM 85569C107 267 41231 SH SOLE 41231 0 0 Hill International Inc COM 431466101 332 111100 SH SOLE 111100 0 0 Insteel Industries Inc COM 45774W108 505 24588 SH SOLE 24588 0 0 North American Construction Group Ltd COM 656811106 1678 145529 SH SOLE 145529 0 0 Chembio Diagnostics Inc COM NEW 163572209 693 113250 SH SOLE 113250 0 0 Cision Ltd SHS G1992S109 947 123133 SH SOLE 123133 0 0 Industrial Logistics Properties Trust COM SHS BEN INT 456237106 1283 60375 SH SOLE 60375 0 0 Loral Space & Communications Inc COM 543881106 486 11735 SH SOLE 11735 0 0 EZCORP Inc CL A NON VTG 302301106 1124 174088 SH SOLE 174088 0 0 BlackRock International Growth and Income Closed Fund COM BENE INTER 092524107 54 10000 SH SOLE 10000 0 0 Pioneer Municipal High Income Advantage Trust COM 723762100 137 12485 SH SOLE 12485 0 0 Equus Total Return Closed Fund COM 294766100 158 98300 SH SOLE 98300 0 0 Dividend & Income Fund COM NEW 25538A204 239 20000 SH SOLE 20000 0 0 MVC Capital Inc COM 553829102 116 13000 SH SOLE 13000 0 0 NexPoint Credit Strategies Fund COM NEW 65340G205 601 33500 SH SOLE 33500 0 0 Apollo Senior Floating Rate Closed Fund COM 037636107 190 12800 SH SOLE 12800 0 0 Chipotle Mexican Grill Inc COM 169656105 1009 1200 SH SOLE 1200 0 0 AMAG Pharmaceuticals Inc COM 00163U106 2772 240000 SH SOLE 240000 0 0 Enanta Pharmaceuticals Inc COM 29251M106 1682 28000 SH SOLE 28000 0 0 Alimera Sciences Inc COM 016259103 634 1120000 SH SOLE 1120000 0 0 Energizer Holdings Inc COM 29272W109 1961 45000 SH SOLE 45000 0 0 Dropbox Inc CL A 26210C104 1009 50000 SH SOLE 50000 0 0 Interactive Brokers Group Inc COM CL A 45841N107 280 5200 SH SOLE 5200 0 0 Colliers International Group Inc SUB VTG SHS 194693107 781 10400 SH SOLE 10400 0 0 Entercom Communications Corp CL A 293639100 152 45500 SH SOLE 45500 0 0 RMR Group Inc CL A 74967R106 5053 111100 SH SOLE 111100 0 0 Aptevo Therapeutics Inc COM 03835L108 46 78000 SH SOLE 78000 0 0 Ni Holdings Inc COM 65342T106 401 23372 SH SOLE 23372 0 0 Hamilton Beach Brands Holding Co COM CL A 40701T104 340 21031 SH SOLE 21031 0 0 Resideo Technologies Inc COM 76118Y104 1213 84528 SH SOLE 84528 0 0 Neuberger Berman High Yield Strategies Fund Inc COM 64128C106 847 70158 SH SOLE 70158 0 0 Emmis Communications Corp COM NEW CL A 291525400 132 26416 SH SOLE 26416 0 0 China Closed Fund COM 169373107 393 20265 SH SOLE 20265 0 0 Brookfield Asset Management Inc CL A LTD VT SH 112585104 456 8580 SH SOLE 8580 0 0 Morgan Stanley Emerging Markets Debt Closed Fund COM 61744H105 3676 400000 SH SOLE 400000 0 0 Babcock & Wilcox Enterprises Inc COM 05614L209 297 61985 SH SOLE 61985 0 0 Highland Income Fund HIGHLAND INCOME 43010E404 347 26000 SH SOLE 26000 0 0 Columbia Financial Inc COM 197641103 1394 88297 SH SOLE 88297 0 0 Klx Energy Services Holdings Inc COM 48253L106 163 18860 SH SOLE 18860 0 0 Sprott Physical Platinum and Palladium CF UNIT 85207Q104 682 53286 SH SOLE 53286 0 0 Sprott Physical Gold And Silver Etv TR UNIT 85208R101 5494 387745 SH SOLE 387745 0 0 Tpi Composites Inc COM 87266J104 236 12593 SH SOLE 12593 0 0 Just Energy Group Inc COM 48213W101 143 60140 SH SOLE 60140 0 0 Pattern Energy Group Inc CL A 70338P100 339 12582 SH SOLE 12582 0 0 Atlantica Yield plc SHS G0751N103 341 14175 SH SOLE 14175 0 0 South Jersey Industries Inc COM 838518108 344 10460 SH SOLE 10460 0 0 Rite Aid Corp COM 767754872 88 12700 SH SOLE 12700 0 0 Invesco QQQ Trust Series 1 UNIT SER 1 46090E103 283 1500 SH SOLE 1500 0 0 Mexico Equity and Income Closed Fund COM 592834105 864 82107 SH SOLE 82107 0 0 Adams Natural Resources Closed Fund COM 00548F105 4172 263530 SH SOLE 263530 0 0 Western Asset High Income Opportunity Closed Fund COM 95766K109 341 67500 SH SOLE 67500 0 0 Invesco Senior Income Trust COM 46131H107 2426 577619 SH SOLE 577619 0 0 BrandywineGLOBAL - Global Income Opptys Fd Inc COM 10537L104 2039 168547 SH SOLE 168547 0 0 Eaton Vance Floating Rate Income Plus Closed Fund COM SHS BEN INT 278284104 1119 73553 SH SOLE 73553 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 3092 280810 SH SOLE 280810 0 0 Taiwan Closed Fund COM 874036106 312 16903 SH SOLE 16903 0 0 Nuveen Connecticut Premium Income Municipal Fund COM 67060D107 3795 282767 SH SOLE 282767 0 0 Franklin Universal Closed Fund SH BEN INT 355145103 1963 260403 SH SOLE 260403 0 0 Westerm Asset Corporate Loan Fund COM 95790J102 2461 259308 SH SOLE 259308 0 0 Invesco High Income Trust II COM 46131F101 248 17346 SH SOLE 17346 0 0 Vertical Capital Income Fund SHS BEN INT 92535C104 3658 342492 SH SOLE 342492 0 0 SPDR S&P Retail ETF S&P RETAIL ETF 78464A714 348 8198 SH SOLE 8198 0 0 iShares US Real Estate ETF U.S. REAL ES ETF 464287739 745 7966 SH SOLE 7966 0 0 Latam Airlines Group SA SPONSORED ADR 51817R106 223 20108 SH SOLE 20108 0 0 Vanguard Information Technology Index Fund ETF INF TECH ETF 92204A702 242 1121 SH SOLE 1121 0 0 SPDR S&P MidCap 400 ETF UTSER1 S&PDCRP 78467Y107 600 1701 SH SOLE 1701 0 0 FirstCash Inc COM 33767D105 567 6185 SH SOLE 6185 0 0 NVR Inc COM 62944T105 357 96 SH SOLE 96 0 0 Nektar Therapeutics COM 640268108 260 14264 SH SOLE 14264 0 0 Telefonaktiebolaget LM Ericsson ADR B SEK 10 294821608 1212 151819 SH SOLE 151819 0 0 Elastic Nv ORD SHS N14506104 1428 17339 SH SOLE 17339 0 0 Zoom Video Communications Inc CL A 98980L101 906 11893 SH SOLE 11893 0 0 Williams-Sonoma Inc COM 969904101 230 3380 SH SOLE 3380 0 0 Francesca's Holdings Corp COM NEW 351793203 1124 80315 SH SOLE 80315 0 0 Sportsmans Warehouse Holdings Inc COM 84920Y106 67 13000 SH SOLE 13000 0 0 American Eagle Outfitters Inc COM 02553E106 1413 87100 SH SOLE 87100 0 0 Carrols Restaurant Group Inc COM 14574X104 97 11700 SH SOLE 11700 0 0 Ascena Retail Group Inc COM 04351G101 150 567600 SH SOLE 567600 0 0 Comfort Systems USA Inc COM 199908104 740 16742 SH SOLE 16742 0 0 Altair Engineering Inc COM CL A 021369103 928 26800 SH SOLE 26800 0 0 Nlight Inc COM 65487K100 762 48682 SH SOLE 48682 0 0 Ferro Corp COM 315405100 767 64636 SH SOLE 64636 0 0 Advanced Energy Industries Inc COM 007973100 542 9433 SH SOLE 9433 0 0 Belden Inc COM 077454106 536 10049 SH SOLE 10049 0 0 II-VI Inc COM 902104108 1879 53352 SH SOLE 53352 0 0 NV5 Global Inc COM 62945V109 828 12133 SH SOLE 12133 0 0 Tecnoglass Inc SHS G87264100 674 82952 SH SOLE 82952 0 0 Select Interior Concepts Inc CL A 816120307 615 47395 SH SOLE 47395 0 0 LegacyTexas Financial Group Inc COM 52471Y106 3112 71500 SH SOLE 71500 0 0 Entegra Financial Corp COM 29363J108 1430 47613 SH SOLE 47613 0 0 Stewardship Financial Corp COM 860326107 2545 163135 SH SOLE 163135 0 0 Dnb Financial Corp COM 233237106 2920 65594 SH SOLE 65594 0 0 Bancorp of New Jersey Inc COM 059915108 243 14408 SH SOLE 14408 0 0 Old Line Bancshares Inc COM 67984M100 2376 81900 SH SOLE 81900 0 0 Prudential Bancorp Inc COM 74431A101 456 26818 SH SOLE 26818 0 0 Two River Bancorp COM 90207C105 1107 53389 SH SOLE 53389 0 0 Carolina Trust Bancshares Inc COM 14422P105 571 54430 SH SOLE 54430 0 0 First Seacoast Bancorp COM 33631P102 548 58498 SH SOLE 58498 0 0 Harborone Bancorp Inc COM NEW 41165Y100 165 16438 SH SOLE 16438 0 0 Stars Group Inc COM 85570W100 352 23483 SH SOLE 23483 0 0 Aimmune Therapeutics Inc COM 00900T107 544 26000 SH SOLE 26000 0 0 Kura Oncology Inc COM 50127T109 511 33685 SH SOLE 33685 0 0 Orchard Therapeutics Plc ADS 68570P101 604 50800 SH SOLE 50800 0 0 Precision Biosciences Inc COM 74019P108 168 20000 SH SOLE 20000 0 0 Akebia Therapeutics Inc COM 00972D105 278 71000 SH SOLE 71000 0 0 Adamas Pharmaceuticals Inc COM 00548A106 159 31000 SH SOLE 31000 0 0 Sientra Inc COM 82621J105 165 25540 SH SOLE 25540 0 0 Neptune Wellness Solutions Inc COM 64079L105 433 121580 SH SOLE 121580 0 0 GlycoMimetics Inc COM 38000Q102 129 30000 SH SOLE 30000 0 0 SPDR S&P Regional Banking ETF S&P REGL BKG 78464A698 604 11449 SH SOLE 11449 0 0 Medical Properties Trust Inc COM 58463J304 1118 57138 SH SOLE 57138 0 0 Spirit Realty Capital Inc COM NEW 84860W300 1815 37919 SH SOLE 37919 0 0 Bluerock Residential Growth REIT Inc COM CL A 09627J102 1187 100833 SH SOLE 100833 0 0 NewLink Genetics Corp COM 651511107 142 89016 SH SOLE 89016 0 0 AEterna Zentaris Inc COM 007975402 63 61286 SH SOLE 61286 0 0 Chimerix Inc COM 16934W106 436 185469 SH SOLE 185469 0 0 Otonomy Inc COM 68906L105 449 188075 SH SOLE 188075 0 0 Agile Therapeutics Inc COM 00847L100 42 35720 SH SOLE 35720 0 0 CymaBay Therapeutics Inc COM 23257D103 137 26790 SH SOLE 26790 0 0 Proteon Therapeutics Inc COM 74371L109 15 57600 SH SOLE 57600 0 0 Xenon Pharmaceuticals Inc COM 98420N105 460 51007 SH SOLE 51007 0 0 Trillium Therapeutics Inc COM NEW 89620X506 6 20044 SH SOLE 20044 0 0 Aclaris Therapeutics Inc COM 00461U105 13 11700 SH SOLE 11700 0 0 Proteostasis Therapeutics Inc COM 74373B109 117 138056 SH SOLE 138056 0 0 Cerecor Inc COM 15671L109 1394 423640 SH SOLE 423640 0 0 Protagonist Therapeutics Inc COM 74366E102 588 48972 SH SOLE 48972 0 0 Inflarx Nv COM N44821101 382 154507 SH SOLE 154507 0 0 Bellus Health Inc COM NEW 07987C204 80 12470 SH SOLE 12470 0 0 Neurocrine Biosciences Inc COM 64125C109 2622 29100 SH SOLE 29100 0 0 ArQule Inc COM 04269E107 920 128307 SH SOLE 128307 0 0 Cytokinetics Inc COM NEW 23282W605 130 11411 SH SOLE 11411 0 0 Savara Inc COM 805111101 74 27931 SH SOLE 27931 0 0 Achillion Pharmaceuticals Inc COM 00448Q201 853 236858 SH SOLE 236858 0 0 Progenics Pharmaceuticals Inc COM 743187106 697 137793 SH SOLE 137793 0 0 Advaxis Inc COM NEW 007624307 104 392647 SH SOLE 392647 0 0 Sunesis Pharmaceuticals Inc COM 867328700 35 48707 SH SOLE 48707 0 0 Mallinckrodt Plc SHS G5785G107 571 237050 SH SOLE 237050 0 0 IVERIC bio Inc COM 46583P102 105 93533 SH SOLE 93533 0 0 Cara Therapeutics Inc COM 140755109 650 35549 SH SOLE 35549 0 0 Applied Genetic Technologies Corp COM 03820J100 169 40554 SH SOLE 40554 0 0 Aduro Biotech Inc COM 00739L101 79 74796 SH SOLE 74796 0 0 KalVista Pharmaceuticals Inc COM 483497103 346 29825 SH SOLE 29825 0 0 Axovant Gene Therapies Ltd COM G0750W203 297 45989 SH SOLE 45989 0 0 Sierra Oncology Inc COM 82640U107 47 121372 SH SOLE 121372 0 0 Aptose Biosciences Inc COM NEW 03835T200 98 47237 SH SOLE 47237 0 0 Intec Pharma Ltd SHS M53644106 48 65649 SH SOLE 65649 0 0 Pieris Pharmaceuticals Inc COM 720795103 115 33801 SH SOLE 33801 0 0 Chiasma Inc COM 16706W102 1439 290746 SH SOLE 290746 0 0 Biohaven Pharmaceutical Holding Co Ltd COM G11196105 423 10142 SH SOLE 10142 0 0 Kala Pharmaceuticals Inc COM 483119103 642 168725 SH SOLE 168725 0 0 Ovid Therapeutics Inc COM 690469101 257 79395 SH SOLE 79395 0 0 Avrobio Inc COM 05455M100 607 43003 SH SOLE 43003 0 0 Tricida Inc COM 89610F101 441 14283 SH SOLE 14283 0 0 Allakos Inc COM 01671P100 1863 23688 SH SOLE 23688 0 0 Madrigal Pharmaceuticals Inc COM 558868105 876 10157 SH SOLE 10157 0 0 Assembly Biosciences Inc COM 045396108 985 100168 SH SOLE 100168 0 0 RLJ Lodging Trust COM 74965L101 1154 67900 SH SOLE 67900 0 0 Bitauto Holdings Ltd SPONSORED ADS 091727107 274 18275 SH SOLE 18275 0 0 Aerie Pharmaceuticals Inc COM 00771V108 241 12549 SH SOLE 12549 0 0 Bluegreen Vacations Corp COM 09629F108 549 58883 SH SOLE 58883 0 0 Playags Inc COM 72814N104 125 12133 SH SOLE 12133 0 0 Spirit Mta Reit COM SHS BEN IN 84861U105 583 69034 SH SOLE 69034 0 0 SeaWorld Entertainment Inc COM 81282V100 340 12918 SH SOLE 12918 0 0 Sprouts Farmers Market Inc COM 85208M102 373 19266 SH SOLE 19266 0 0 Marlin Business Services Corp COM 571157106 826 32772 SH SOLE 32772 0 0 Childrens Place Inc COM 168905107 1810 23508 SH SOLE 23508 0 0 Minerals Technologies Inc COM 603158106 554 10441 SH SOLE 10441 0 0 SJW Group COM 784305104 350 5119 SH SOLE 5119 0 0 Optinose Inc COM 68404V100 183 26101 SH SOLE 26101 0 0 Dynavax Technologies Corp COM NEW 268158201 144 40332 SH SOLE 40332 0 0 Boyd Gaming Corp COM 103304101 923 38557 SH SOLE 38557 0 0 Equity Residential SH BEN INT 29476L107 1836 21290 SH SOLE 21290 0 0 Churchill Downs Inc COM 171484108 1180 9557 SH SOLE 9557 0 0 Regeneron Pharmaceuticals Inc COM 75886F107 1942 7002 SH SOLE 7002 0 0 ORBCOMM Inc COM 68555P100 310 65163 SH SOLE 65163 0 0 Nii Holdings Inc COM PAR 62913F508 628 320209 SH SOLE 320209 0 0 Repligen Corp COM 759916109 204 2654 SH SOLE 2654 0 0 Inogen Inc COM 45780L104 498 10396 SH SOLE 10396 0 0 Selective Insurance Group Inc COM 816300107 534 7098 SH SOLE 7098 0 0 Nordic American Tanker Ltd COM G65773106 98 45545 SH SOLE 45545 0 0 Hain Celestial Group Inc COM 405217100 1546 72009 SH SOLE 72009 0 0 Myovant Sciences Ltd COM G637AM102 103 19725 SH SOLE 19725 0 0 Innovative Industrial Properties Inc COM 45781V101 522 5652 SH SOLE 5652 0 0 First Internet Bancorp COM 320557101 223 10413 SH SOLE 10413 0 0 Exterran Corp COM 30227H106 1432 109637 SH SOLE 109637 0 0 WillScot Corp COM 971375126 490 31453 SH SOLE 31453 0 0 Hostess Brands Inc CL A 44109J106 429 30660 SH SOLE 30660 0 0 AES Corp COM 00130H105 485 29655 SH SOLE 29655 0 0 Diplomat Pharmacy Inc COM 25456K101 984 200758 SH SOLE 200758 0 0 Coherus BioSciences Inc COM 19249H103 663 32747 SH SOLE 32747 0 0 On Deck Capital Inc COM 682163100 153 45508 SH SOLE 45508 0 0 United Financial Bancorp Inc COM 910304104 2873 210816 SH SOLE 210816 0 0 Ocular Therapeutix Inc COM 67576A100 275 90527 SH SOLE 90527 0 0 Telaria Inc COM 879181105 1348 195029 SH SOLE 195029 0 0 Mid-America Apartment Communities Inc COM 59522J103 826 6350 SH SOLE 6350 0 0 S&T Bancorp Inc COM 783859101 230 6299 SH SOLE 6299 0 0 Puma Biotechnology Inc COM 74587V107 695 64532 SH SOLE 64532 0 0 Stemline Therapeutics Inc COM 85858C107 959 92152 SH SOLE 92152 0 0 Vanda Pharmaceuticals Inc COM 921659108 1981 149139 SH SOLE 149139 0 0 Antares Pharma Inc COM 036642106 1865 557477 SH SOLE 557477 0 0 Trecora Resources COM 894648104 221 24478 SH SOLE 24478 0 0 Chase Corp COM 16150R104 233 2127 SH SOLE 2127 0 0 Solaris Oilfield Infrastructure Inc COM CL A 83418M103 966 71974 SH SOLE 71974 0 0 SINA Corp ORD G81477104 253 6467 SH SOLE 6467 0 0 MDU Resources Group Inc COM 552690109 719 25512 SH SOLE 25512 0 0 Life Storage Inc COM 53223X107 2005 19023 SH SOLE 19023 0 0 Altice Usa Inc CL A 02156K103 480 16750 SH SOLE 16750 0 0 T-Mobile US Inc COM 872590104 1160 14727 SH SOLE 14727 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 2828 9530 SH SOLE 9530 0 0 United States Natural Gas ETF UNIT PAR 912318300 410 20587 SH SOLE 20587 0 0 Forterra Inc COM 34960W106 282 39050 SH SOLE 39050 0 0 Edison International COM 281020107 645 8554 SH SOLE 8554 0 0 Quanta Services Inc COM 74762E102 546 14435 SH SOLE 14435 0 0 Nextera Energy Partners LP COM UNIT PART IN 65341B106 405 7666 SH SOLE 7666 0 0 Avangrid Inc COM 05351W103 917 17544 SH SOLE 17544 0 0 Argan Inc COM 04010E109 3215 81818 SH SOLE 81818 0 0 Mosaic Acquisition Corp COM CL A 61946M100 320 31000 SH SOLE 31000 0 0 Haymaker Acquisition Corp II UNIT 10/31/2026 42087L200 2700 261339 SH SOLE 261339 0 0 Gores Metropoulos Inc UNIT 99/99/9999 382872208 437 41251 SH SOLE 41251 0 0 Hennessy Capital Acquisition Corp Iv UNIT 99/99/9999 42589C203 704 66726 SH SOLE 66726 0 0 Trine Acquisition Corp UNIT 03/31/2021 89628U207 1035 100000 SH SOLE 100000 0 0 Gores Metropoulos Inc COM CL A 382872109 504 50000 SH SOLE 50000 0 0 South Mountain Merger Corp UNIT 99/99/9999 838884203 2165 206149 SH SOLE 206149 0 0 Churchill Capital Corp II UNIT 99/99/9999 17143G205 3153 300000 SH SOLE 300000 0 0 Pivotal Investment Corporation II UNIT 06/01/2025 72582K209 1560 153289 SH SOLE 153289 0 0 Sc Health Corp UNIT 99/99/9999 G78516302 1409 136180 SH SOLE 136180 0 0 Oaktree Acquisition Corp UNIT 99/99/9999 G67145121 1219 120000 SH SOLE 120000 0 0 Experience Investment Corp UNIT 09/01/2026 30217C208 1552 155047 SH SOLE 155047 0 0 Apex Technology Acquisition Corp UNIT 06/11/2026 03768F201 978 96000 SH SOLE 96000 0 0 TPG Pace Holdings Corp CL A G89827128 206 20000 SH SOLE 20000 0 0 Sentinel Energy Services Inc UNIT 99/99/9999 81728P204 541 51180 SH SOLE 51180 0 0 Legacy Acquisition Corp UNIT 05/31/2024 524643202 686 65315 SH SOLE 65315 0 0 Leisure Acquisition Corp UNIT 99/99/9999 52539T206 800 75000 SH SOLE 75000 0 0 Gs Acquisition Holdings Corp UNIT 06/12/2023 36255F201 1054 99000 SH SOLE 99000 0 0 Far Point Acquisition Corp UNIT 06/01/2025 30734W208 319 29822 SH SOLE 29822 0 0 Gores Holdings Iii Inc UNIT 09/07/2024 38286G208 1170 110881 SH SOLE 110881 0 0 Fintech Acquisition Corp UNIT 12/01/2023 31811A309 1272 119138 SH SOLE 119138 0 0 Cf Finance Acquisition Corp UNIT 04/30/2025 12528N206 354 33384 SH SOLE 33384 0 0 Act Ii Global Acquisition Corp UNIT 04/30/2026 G0080J112 882 85000 SH SOLE 85000 0 0 Trine Acquisition Corp COM CL A 89628U108 985 99800 SH SOLE 99800 0 0 DIAMOND EAGLE ACQUISITION CORP UNIT 06/30/2026 25258L208 1031 101400 SH SOLE 101400 0 0 Gigcapital2 Inc UNIT 02/28/2026 375036209 1400 135892 SH SOLE 135892 0 0 Conyers Park Ii Acquisition Corp UNIT 99/99/9999 212896203 529 49669 SH SOLE 49669 0 0 New Providence Acquisition Corp UNIT 09/01/2024 64822P205 1362 135000 SH SOLE 135000 0 0 Far Point Acquisition Corp COM CL A 30734W109 292 28572 SH SOLE 28572 0 0 Landcadia Holdings Ii Inc UNIT 05/09/2026 51476X204 2273 225000 SH SOLE 225000 0 0 Netfin Acquisition Corp UNIT 08/01/2024 G6455A123 1009 100000 SH SOLE 100000 0 0 Silver Spike Acquisition Corp UNIT 99/99/9999 G8136L122 1514 150000 SH SOLE 150000 0 0 Thunder Bridge Acquisition Ii Ltd UNIT 99/99/9999 G8857S124 1235 121300 SH SOLE 121300 0 0 Boxwood Merger Corp COM CL A 10319T101 148 14699 SH SOLE 14699 0 0 Alexion Pharmaceuticals Inc COM 015351109 1571 16037 SH SOLE 16037 0 0 Teva Pharmaceutical Industries Ltd SPONSORED ADS 881624209 430 62430 SH SOLE 62430 0 0 AstraZeneca PLC SPONSORED ADR 046353108 3714 83334 SH SOLE 83334 0 0 Novartis AG SPONSORED ADR 66987V109 700 8058 SH SOLE 8058 0 0 Establishment Labs Holdings Inc COM G31249108 336 17759 SH SOLE 17759 0 0 Elanco Animal Health Inc COM 28414H103 666 25049 SH SOLE 25049 0 0 Axonics Modulation Technologies Inc COM 05465P101 496 18413 SH SOLE 18413 0 0 Cigna Corp COM 125523100 2603 17151 SH SOLE 17151 0 0 Covetrus Inc COM 22304C100 440 37034 SH SOLE 37034 0 0 Syneos Health Inc CL A 87166B102 1593 29933 SH SOLE 29933 0 0 Pra Health Sciences Inc COM 69354M108 1894 19082 SH SOLE 19082 0 0 Avantor Inc COM 05352A100 629 42773 SH SOLE 42773 0 0 Chewy Inc CL A 16679L109 517 21053 SH SOLE 21053 0 0 Change Healthcare Inc COM 15912K100 2046 169374 SH SOLE 169374 0 0 Envista Holdings Corp COM 29415F104 1193 42787 SH SOLE 42787 0 0 Charles River Laboratories International Inc COM 159864107 2236 16895 SH SOLE 16895 0 0 Bristol-Myers Squibb Co COM 110122108 727 14331 SH SOLE 14331 0 0 Amedisys Inc COM 023436108 801 6113 SH SOLE 6113 0 0 DaVita Inc COM 23918K108 216 3787 SH SOLE 3787 0 0 Taylor Morrison Home Corp COM 87724P106 202 7800 SH SOLE 7800 0 0 C&J Energy Services Inc COM 12674R100 112 10476 SH SOLE 10476 0 0 Eaton Vance Corp COM NON VTG 278265103 204 4531 SH SOLE 4531 0 0 Papa John's International Inc COM 698813102 513 9800 SH SOLE 9800 0 0 Piedmont Office Realty Trust Inc COM CL A 720190206 203 9700 SH SOLE 9700 0 0 Hancock Holding Co COM 410120109 1387 36228 SH SOLE 36228 0 0 Stifel Financial Corp COM 860630102 212 3691 SH SOLE 3691 0 0 SPDR Nuveen Bloomberg Barclays Municipal Bond ETF NUVEEN BRC MUNIC 78468R721 2028 40000 SH SOLE 40000 0 0 Brinker International Inc COM 109641100 1129 26456 SH SOLE 26456 0 0 Weingarten Realty Investors SH BEN INT 948741103 1911 65605 SH SOLE 65605 0 0 International Game Technology PLC SHS USD G4863A108 957 67313 SH SOLE 67313 0 0 Lumentum Holdings Inc COM 55024U109 1809 33780 SH SOLE 33780 0 0 Orion Engineered Carbons SA COM L72967109 677 40520 SH SOLE 40520 0 0 Restaurant Brands International Inc COM 76131D103 3484 48970 SH SOLE 48970 0 0 Shopify Inc CL A 82509L107 213 682 SH SOLE 682 0 0 Wingstop Inc COM 974155103 1416 16223 SH SOLE 16223 0 0 MGM Growth Properties LLC CL A COM 55303A105 716 23824 SH SOLE 23824 0 0 Tellurian Inc COM 87968A104 788 94827 SH SOLE 94827 0 0 Wyndham Hotels & Resorts Inc COM 98311A105 1565 30252 SH SOLE 30252 0 0 Tronox Holdings PLC SHS G9087Q102 252 30392 SH SOLE 30392 0 0 STAG Industrial Inc COM 85254J102 1028 34855 SH SOLE 34855 0 0 Encompass Health Corp COM 29261A100 275 4352 SH SOLE 4352 0 0 Restoration Hardware Holdings Inc COM 74967X103 513 3005 SH SOLE 3005 0 0 Wendys Co COM 95058W100 414 20720 SH SOLE 20720 0 0 VF Corp COM 918204108 1076 12095 SH SOLE 12095 0 0 Golar LNG Ltd SHS G9456A100 434 33422 SH SOLE 33422 0 0 Las Vegas Sands Corp COM 517834107 2585 44754 SH SOLE 44754 0 0 Edgewell Personal Care Co COM 28035Q102 1652 50835 SH SOLE 50835 0 0 Cathay General Bancorp COM 149150104 205 5914 SH SOLE 5914 0 0 Harsco Corp COM 415864107 1359 71699 SH SOLE 71699 0 0 Baxter International Inc COM 071813109 3121 35684 SH SOLE 35684 0 0 Enphase Energy Inc COM 29355A107 357 16041 SH SOLE 16041 0 0 ServiceNow Inc COM 81762P102 291 1148 SH SOLE 1148 0 0 Berry Global Group Inc COM 08579W103 290 7383 SH SOLE 7383 0 0 Hecla Mining Co COM 422704106 70 40000 SH SOLE 40000 0 0 Taseko Mines Ltd COM 876511106 180 430000 SH SOLE 430000 0 0 Barrick Gold Corp COM 067901108 305 17600 SH SOLE 17600 0 0 Platinum Group Metals Ltd COM 72765Q882 88 60000 SH SOLE 60000 0 0 BRF SA SPONSORED ADR 10552T107 227 24731 SH SOLE 24731 0 0 SilverCrest Metals Inc COM 828363101 104 20000 SH SOLE 20000 0 0 Hudson Pacific Properties Inc COM 444097109 1072 32039 SH SOLE 32039 0 0 HCP Inc COM 40414L109 1565 43927 SH SOLE 43927 0 0 Martin Marietta Materials Inc COM 573284106 204 744 SH SOLE 744 0 0 First Horizon National Corp COM 320517105 181 11144 SH SOLE 11144 0 0 MGM Resorts International COM 552953101 265 9544 SH SOLE 9544 0 0 RingCentral Inc CL A 76680R206 466 3712 SH SOLE 3712 0 0 Burlington Stores Inc COM 122017106 285 1425 SH SOLE 1425 0 0 Hubspot Inc COM 443573100 746 4918 SH SOLE 4918 0 0 Chemours Co COM 163851108 287 19215 SH SOLE 19215 0 0 Kraft Heinz Co COM 500754106 3047 109078 SH SOLE 109078 0 0 Jbg Smith Properties COM 46590V100 2080 53043 SH SOLE 53043 0 0 W. R. Grace & Co COM 38388F108 761 11405 SH SOLE 11405 0 0 Zimmer Biomet Holdings Inc COM 98956P102 209 1524 SH SOLE 1524 0 0 Laboratory Corporation of America Holdings COM NEW 50540R409 3490 20771 SH SOLE 20771 0 0 Dicks Sporting Goods Inc COM 253393102 437 10697 SH SOLE 10697 0 0 Liberty Property Trust SH BEN INT 531172104 1451 28262 SH SOLE 28262 0 0 Paramount Group Inc COM 69924R108 234 17516 SH SOLE 17516 0 0 Retail Properties of America Inc CL A 76131V202 1691 137292 SH SOLE 137292 0 0 Apartment Investment and Management Co CL A 03748R754 2269 43518 SH SOLE 43518 0 0 VICI Properties Inc COM 925652109 1618 71425 SH SOLE 71425 0 0 HCA Holdings Inc COM 40412C101 260 2162 SH SOLE 2162 0 0 Aqua America Inc COM 03836W103 389 8668 SH SOLE 8668 0 0 UGI Corp COM 902681105 508 10111 SH SOLE 10111 0 0 Eversource Energy COM 30040W108 462 5405 SH SOLE 5405 0 0 Range Resources Corp COM 75281A109 55 14388 SH SOLE 14388 0 0 Kilroy Realty Corp COM 49427F108 1656 21261 SH SOLE 21261 0 0 Live Nation Entertainment Inc COM 538034109 260 3918 SH SOLE 3918 0 0 American Campus Communities Inc COM 024835100 500 10397 SH SOLE 10397 0 0 Monolithic Power Systems Inc COM 609839105 1230 7904 SH SOLE 7904 0 0 Bunge Ltd COM G16962105 802 14172 SH SOLE 14172 0 0 TCF Financial Corp COM 872307103 256 6730 SH SOLE 6730 0 0 Lululemon Athletica Inc COM 550021109 2034 10564 SH SOLE 10564 0 0 Honeywell International Inc COM 438516106 262 1548 SH SOLE 1548 0 0 Fox Corp Class A CL A COM 35137L105 350 11107 SH SOLE 11107 0 0 NRG Energy Inc COM NEW 629377508 1270 32060 SH SOLE 32060 0 0 First Solar Inc COM 336433107 299 5148 SH SOLE 5148 0 0 Synovus Financial Corp COM NEW 87161C501 230 6428 SH SOLE 6428 0 0 Duke Realty Corp COM NEW 264411505 1256 36969 SH SOLE 36969 0 0 Adobe Inc COM 00724F101 4961 17958 SH SOLE 17958 0 0 Visteon Corp COM NEW 92839U206 377 4567 SH SOLE 4567 0 0 MercadoLibre Inc COM 58733R102 276 500 SH SOLE 500 0 0 Aspen Technology Inc COM 045327103 1285 10441 SH SOLE 10441 0 0 Taiwan Semiconductor Manufacturing Co Ltd SPONSORED ADS 874039100 3268 70300 SH SOLE 70300 0 0 Trimble Inc COM 896239100 971 25010 SH SOLE 25010 0 0 SS&C Technologies Holdings Inc COM 78467J100 1899 36827 SH SOLE 36827 0 0 Teradyne Inc COM 880770102 433 7479 SH SOLE 7479 0 0 Transunion COM 89400J107 993 12239 SH SOLE 12239 0 0 ALPHABET INC CAP STK CL C 02079K107 1663 1364 SH SOLE 1364 0 0 International Money Express Inc COM 46005L101 1685 122620 SH SOLE 122620 0 0 XPO Logistics Inc COM 983793100 211 2953 SH SOLE 2953 0 0 Thermo Fisher Scientific Inc COM 883556102 1370 4703 SH SOLE 4703 0 0 Sinclair Broadcast Group Inc CL A 829226109 584 13662 SH SOLE 13662 0 0 VMware Inc CL A COM 928563402 532 3544 SH SOLE 3544 0 0 Danaher Corp COM 235851102 603 4172 SH SOLE 4172 0 0 Ituran Location and Control Ltd SHS M6158M104 602 24283 SH SOLE 24283 0 0 TransDigm Group Inc COM 893641100 285 547 SH SOLE 547 0 0 Meta Financial Group Inc COM 59100U108 2018 61868 SH SOLE 61868 0 0 Credit Acceptance Corp COM 225310101 1243 2694 SH SOLE 2694 0 0 Sprint Corp COM 85207U105 3839 622154 SH SOLE 622154 0 0 Wellcare Health Plans Inc COM 94946T106 7147 27575 SH SOLE 27575 0 0 QEP Resources Inc COM 74733V100 888 239969 SH SOLE 239969 0 0 Allergan Plc SHS G0177J108 12250 72789 SH SOLE 72789 0 0 Altaba Inc COM 021346101 10115 519239 SH SOLE 519239 0 0 Presidio Inc COM 74102M103 5288 312892 SH SOLE 312892 0 0 Celgene Corp COM 151020104 14997 151027 SH SOLE 151027 0 0 Caesars Entertainment Corp COM 127686103 4190 359327 SH SOLE 359327 0 0 Spark Therapeutics Inc COM 84652J103 7424 76557 SH SOLE 76557 0 0 Versum Materials Inc COM 92532W103 6341 119793 SH SOLE 119793 0 0 LiveRamp Holdings Inc COM 53815P108 972 22631 SH SOLE 22631 0 0 Symantec Corp COM 871503108 631 26684 SH SOLE 26684 0 0 Equinix Inc COM 29444U700 1918 3325 SH SOLE 3325 0 0 SPS Commerce Inc COM 78463M107 2057 43700 SH SOLE 43700 0 0 Interxion Holding Nv SHS N47279109 2071 25421 SH SOLE 25421 0 0 Simon Property Group Inc COM 828806109 1032 6630 SH SOLE 6630 0 0 RPT Realty SH BEN INT 74971D101 1427 105341 SH SOLE 105341 0 0 Consolidated-Tomoka Land Co COM 210226106 1188 18104 SH SOLE 18104 0 0 Kite Realty Group Trust COM NEW 49803T300 1938 120029 SH SOLE 120029 0 0 Senior Housing Properties Trust SH BEN INT 81721M109 2043 220750 SH SOLE 220750 0 0 SL Green Realty Corp COM 78440X101 1446 17691 SH SOLE 17691 0 0 VEREIT Inc COM 92339V100 1094 111843 SH SOLE 111843 0 0 Healthcare Realty Trust Inc COM 421946104 1180 35229 SH SOLE 35229 0 0 Equity Commonwealth COM SH BEN INT 294628102 1165 34024 SH SOLE 34024 0 0 Empire State Realty Trust Inc CL A 292104106 1013 70958 SH SOLE 70958 0 0 Easterly Government Properties Inc COM 27616P103 1406 65987 SH SOLE 65987 0 0 Essential Properties Realty Trust Inc COM 29670E107 2908 126926 SH SOLE 126926 0 0 Secoo Holding Ltd ADR 81367P101 334 49854 SH SOLE 49854 0 0 111 Inc ADS 68247Q102 263 54033 SH SOLE 54033 0 0 Baozun Inc SPONSORED ADR 06684L103 639 14974 SH SOLE 14974 0 0 New Oriental Education & Technology Group Inc SPON ADR 647581107 367 3309 SH SOLE 3309 0 0 Changyou.Com Ltd ADS REP CL A 15911M107 1077 113419 SH SOLE 113419 0 0 Phoenix New Media Ltd SPONSORED ADS 71910C103 174 68013 SH SOLE 68013 0 0 Lexinfintech Holdings Ltd ADR 528877103 1096 109261 SH SOLE 109261 0 0 Greentree Hospitality Group Ltd SPONSORED ADS 39579V100 750 74961 SH SOLE 74961 0 0 Big Rock Partners Acquisition Corp Rights RIGHT 12/01/2022 089482129 38 187077 SH SOLE 187077 0 0 Big Rock Partners Acquisition Corp COM 089482103 1058 100000 SH SOLE 100000 0 0 Tuscan Holdings Corp II COM 90070A103 5641 575000 SH SOLE 575000 0 0 TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1069 100000 SH SOLE 100000 0 0 Netfin Acquisition Corp SHS CL A G6455A107 5243 535000 SH SOLE 535000 0 0 Trident Acquisitions Corp UNIT 05/09/2023 89615T205 2463 232800 SH SOLE 232800 0 0 Tenzing Acquisition Corp UNIT 08/24/2024 G8708A124 713 65021 SH SOLE 65021 0 0 Allegro Merger Corp COM 01749N103 838 82725 SH SOLE 82725 0 0 Megalith Financial Acquisition Corp UNIT 09/30/2025 58518F208 2612 249700 SH SOLE 249700 0 0 Tottenham Acquisition I Ltd SHS G8959N106 4122 400000 SH SOLE 400000 0 0 Tottenham Acquisition I Ltd Rights RIGHT 06/05/2020 G8959N122 42 175000 SH SOLE 175000 0 0 Megalith Financial Acquisition Corp CL A COM 58518F109 9253 910300 SH SOLE 910300 0 0 Arya Sciences Acquisition Corp UNIT 10/04/2023 G3165V117 117 10700 SH SOLE 10700 0 0 Cf Finance Acquisition Corp COM CL A 12528N107 8100 800000 SH SOLE 800000 0 0 Dd3 Acquisition Corp SHS G2692M103 858 84548 SH SOLE 84548 0 0 Schultze Special Purpose Acquisition Corp COM 80821R109 1999 200000 SH SOLE 200000 0 0 Tuscan Holdings Corp COM 90069K104 4325 441334 SH SOLE 441334 0 0 Tuscan Holdings Corp II UNIT 04/01/2026 90070A202 1005 100000 SH SOLE 100000 0 0 Gigcapital2 Inc Rights RIGHT 02/28/2026 375036126 148 500000 SH SOLE 500000 0 0 Edtechx Holdings Acquisition Corp COM 28138X103 3805 374845 SH SOLE 374845 0 0 Tenzing Acquisition Corp ORD SHS G8708A116 2019 195065 SH SOLE 195065 0 0 Allegro Merger Corp UNIT 12/31/2023 01749N301 291 27575 SH SOLE 27575 0 0 Twelve Seas Investment Co Rights RIGHT 12/22/2019 G9145A131 35 100000 SH SOLE 100000 0 0 Twelve Seas Investment Co SHS G9145A107 1024 100000 SH SOLE 100000 0 0 Tottenham Acquisition I Ltd UNIT 05/06/2025 G8959N130 263 25000 SH SOLE 25000 0 0 Tkk Symphony Acquisition Corporation UNIT 08/15/2023 G88950111 759 66500 SH SOLE 66500 0 0 Edtechx Holdings Acquisition Corp UNIT 12/31/2025 28138X202 1293 124882 SH SOLE 124882 0 0 Alberton Acquisition Corp UNIT 04/22/2020 G35006116 1319 125000 SH SOLE 125000 0 0 Alberton Acquisition Corp RIGHT 10/04/2020 G35006132 114 375000 SH SOLE 375000 0 0 Alberton Acquisition Corp ORD SHS G35006108 4349 424300 SH SOLE 424300 0 0 Allegro Merger Corp Rights RIGHT 12/31/2023 01749N129 23 82725 SH SOLE 82725 0 0 Tkk Symphony Acquisition Corporation Rights RIGHT 02/20/2020 G88950137 48 199500 SH SOLE 199500 0 0 DermTech Inc COM 24984K105 84 15000 SH SOLE 15000 0 0 Allied Esports Entertainment Inc COM 019170109 79 15020 SH SOLE 15020 0 0 Andina Acquisition Corp Iii UNIT 09/24/2020 G04415116 1628 155000 SH SOLE 155000 0 0 Monocle Acquisition Corp UNIT 99/99/9999 609754205 1697 162500 SH SOLE 162500 0 0 Wealthbridge Acquisition Ltd UNIT 99/99/9999 G4887W102 1302 125000 SH SOLE 125000 0 0 Wealthbridge Acquisition Ltd Rights RIGHT 11/02/2023 G4887W136 139 631453 SH SOLE 631453 0 0 Arya Sciences Acquisition Corp SHS CL A G3165V109 435 42200 SH SOLE 42200 0 0 Andina Acquisition Corp Iii SHS G04415108 4645 465000 SH SOLE 465000 0 0 8i Enterprises Acquisition Corp Rights RIGHT 10/29/2020 G2956M120 130 300000 SH SOLE 300000 0 0 Proficient Alpha Acquisition Corp Rights RIGHT 04/30/2026 74317H121 24 125000 SH SOLE 125000 0 0 Proficient Alpha Acquisition Corp COM 74317H105 1239 125000 SH SOLE 125000 0 0 Orisun Acquisition Corp UNIT 99/99/9999 68632T208 4196 419631 SH SOLE 419631 0 0 Health Sciences Acquisitions Corp COM 42227C102 4328 436264 SH SOLE 436264 0 0 Proficient Alpha Acquisition Corp UNIT 04/30/2026 74317H204 1998 199777 SH SOLE 199777 0 0 8i Enterprises Acquisition Corp SHS G2956M104 3597 360091 SH SOLE 360091 0 0 Monocle Acquisition Corp COM 609754106 4875 487500 SH SOLE 487500 0 0 Wealthbridge Acquisition Ltd SHS G4887W110 3788 375000 SH SOLE 375000 0 0 Health Sciences Acquisitions Corp UNIT 04/01/2024 42227C201 1073 100000 SH SOLE 100000 0 0 KBL Merger Corp IV Rights RIGHT 09/09/2019 48242A120 73 403792 SH SOLE 403792 0 0 Andina Acquisition Corp Iii Rights RIGHT 07/31/2020 G04415132 139 464700 SH SOLE 464700 0 0 ContraFect Corp COM 212326102 22 62294 SH SOLE 62294 0 0 Brown-Forman Corp Class A CL A 115637100 2091 35000 SH SOLE 35000 0 0 News Corp CL A 65249B109 947 68033 SH SOLE 68033 0 0 ASA Gold & Precious Metals Limited SHS G3156P103 144 12015 SH SOLE 12015 0 0 Lennar Corp Class B CL B 526057302 480 10808 SH SOLE 10808 0 0 Unilever NV N Y SHS NEW 904784709 1961 32660 SH SOLE 32660 0 0 Central Garden & Pet Co COM 153527106 1214 41549 SH SOLE 41549 0 0 Liberty Global PLC SHS CL C G5480U120 985 41412 SH SOLE 41412 0 0 Liberty Media Corp-Liberty Formula one COM A SIRIUSXM 531229409 3307 79552 SH SOLE 79552 0 0 Liberty Media Corp Series A COM SER A FRMLA 531229870 1041 26300 SH SOLE 26300 0 0 CBS Corp CL A 124857103 623 14367 SH SOLE 14367 0 0 SunCoke Energy Inc COM 86722A103 107 19000 SH SOLE 19000 0 0 Madison Square Garden Co CL A 55825T103 781 2963 SH SOLE 2963 0 0 Hertz Global Holdings Inc COM 42806J106 143 10311 SH SOLE 10311 0 0 Amplify Energy Corp COM 03212B103 62 10010 SH SOLE 10010 0 0 Dell Technologies Inc CL C 24703L202 1836 35409 SH SOLE 35409 0 0 Masimo Corp COM 574795100 238 1600 SH SOLE 1600 0 0 Woodward Inc COM 980745103 223 2068 SH SOLE 2068 0 0 Hanesbrands Inc COM 410345102 498 32522 SH SOLE 32522 0 0 Synthetic Biologics Inc COM NEW 87164U201 27 60000 SH SOLE 60000 0 0 IZEA Worldwide Inc COM 46604H105 16 61500 SH SOLE 61500 0 0 Tonix Pharmaceuticals Holding Corp COM NEW 890260508 7 16670 SH SOLE 16670 0 0 Smiledirectclub Inc CL A COM 83192H106 807 58132 SH SOLE 58132 0 0 Creative Realities Inc COM NEW 22530J200 35 20100 SH SOLE 20100 0 0 Lyft Inc CL A COM 55087P104 289 7078 SH SOLE 7078 0 0 Vbi Vaccines Inc COM NEW 91822J103 47 100000 SH SOLE 100000 0 0 Roku Inc COM CL A 77543R102 691 6793 SH SOLE 6793 0 0 BlackBerry Ltd COM 09228F103 469 89419 SH SOLE 89419 0 0 Forescout Technologies Inc COM 34553D101 1660 43764 SH SOLE 43764 0 0 Bandwidth Inc COM CL A 05988J103 1709 26244 SH SOLE 26244 0 0 Peloton Interactive Inc CL A COM 70614W100 339 13516 SH SOLE 13516 0 0 Ciena Corp COM NEW 171779309 1544 39355 SH SOLE 39355 0 0 Rambus Inc COM 750917106 2456 187112 SH SOLE 187112 0 0 AU Optronics Corp SPONSORED ADR 002255107 32 13143 SH SOLE 13143 0 0 Coherent Inc COM 192479103 311 2026 SH SOLE 2026 0 0 Vulcan Materials Co COM 929160109 343 2269 SH SOLE 2269 0 0 NXP Semiconductors NV COM N6596X109 4121 37768 SH SOLE 37768 0 0 Tower Semiconductor Ltd SHS NEW M87915274 2025 105262 SH SOLE 105262 0 0 Western Digital Corp COM 958102105 586 9820 SH SOLE 9820 0 0 Rush Enterprises Inc Class A CL A 781846209 1252 32442 SH SOLE 32442 0 0 Inphi Corp COM 45772F107 3018 49435 SH SOLE 49435 0 0 CommScope Holding Company Inc COM 20337X109 1389 118147 SH SOLE 118147 0 0 Arista Networks Inc COM 040413106 757 3167 SH SOLE 3167 0 0 Alibaba Group Holding Ltd SPONSORED ADS 01609W102 2324 13900 SH SOLE 13900 0 0 Perspecta Inc COM 715347100 342 13076 SH SOLE 13076 0 0 Ameren Corp COM 023608102 551 6885 SH SOLE 6885 0 0 Colgate-Palmolive Co COM 194162103 302 4105 SH SOLE 4105 0 0 Regions Financial Corp COM 7591EP100 198 12494 SH SOLE 12494 0 0 Williams Companies Inc COM 969457100 334 13869 SH SOLE 13869 0 0 Aon PLC SHS CL A G0408V102 3795 19603 SH SOLE 19603 0 0 Diamondback Energy Inc COM 25278X109 311 3457 SH SOLE 3457 0 0 CITIZENS FINANCIAL GROUP INC COM 174610105 474 13413 SH SOLE 13413 0 0 Kontoor Brands Inc COM 50050N103 468 13323 SH SOLE 13323 0 0 Merck & Co Inc COM 58933Y105 2638 31339 SH SOLE 31339 0 0 General Dynamics Corp COM 369550108 1308 7156 SH SOLE 7156 0 0 Humana Inc COM 444859102 430 1683 SH SOLE 1683 0 0 Huntington Bancshares Inc COM 446150104 264 18517 SH SOLE 18517 0 0 Starbucks Corp COM 855244109 315 3562 SH SOLE 3562 0 0 T. Rowe Price Group Inc COM 74144T108 222 1943 SH SOLE 1943 0 0 United Technologies Corp COM 913017109 4245 31095 SH SOLE 31095 0 0 Verisign Inc COM 92343E102 237 1259 SH SOLE 1259 0 0 Discover Financial Services COM 254709108 222 2742 SH SOLE 2742 0 0 Lowe's Companies Inc COM 548661107 428 3891 SH SOLE 3891 0 0 American Electric Power Company Inc COM 025537101 936 9992 SH SOLE 9992 0 0 Becton Dickinson and Co COM 075887109 3480 13758 SH SOLE 13758 0 0 Wynn Resorts Ltd COM 983134107 352 3236 SH SOLE 3236 0 0 FirstEnergy Corp COM 337932107 2070 42929 SH SOLE 42929 0 0 Public Storage COM 74460D109 778 3172 SH SOLE 3172 0 0 Southern Co COM 842587107 747 12089 SH SOLE 12089 0 0 Duke Energy Corp COM NEW 26441C204 1629 16996 SH SOLE 16996 0 0 Freeport-McMoRan Inc CL B 35671D857 115 12019 SH SOLE 12019 0 0 Salesforce.com Inc COM 79466L302 1524 10268 SH SOLE 10268 0 0 Synopsys Inc COM 871607107 2508 18270 SH SOLE 18270 0 0 Berkshire Hathaway Inc CL B NEW 084670702 1113 5350 SH SOLE 5350 0 0 Target Corp COM 87612E106 301 2816 SH SOLE 2816 0 0 McKesson Corp COM 58155Q103 308 2251 SH SOLE 2251 0 0 Stryker Corp COM 863667101 207 959 SH SOLE 959 0 0 American Water Works Company Inc COM 030420103 872 7021 SH SOLE 7021 0 0 Royal Caribbean Cruises Ltd COM V7780T103 1535 14169 SH SOLE 14169 0 0 Verisk Analytics Inc COM 92345Y106 510 3224 SH SOLE 3224 0 0 Entergy Corp COM 29364G103 415 3537 SH SOLE 3537 0 0 Xcel Energy Inc COM 98389B100 236 3644 SH SOLE 3644 0 0 Medtronic PLC SHS G5960L103 1629 14994 SH SOLE 14994 0 0 Boston Scientific Corp COM 101137107 254 6253 SH SOLE 6253 0 0 Global Payments Inc COM 37940X102 9094 57194 SH SOLE 57194 0 0 Fiserv Inc COM 337738108 9295 89730 SH SOLE 89730 0 0 Arconic Inc COM 03965L100 1173 45112 SH SOLE 45112 0 0 Fleetcor Technologies Inc COM 339041105 1159 4042 SH SOLE 4042 0 0 Union Pacific Corp COM 907818108 267 1647 SH SOLE 1647 0 0 Amazon.Com Inc COM 023135106 2071 1193 SH SOLE 1193 0 0 Metlife Inc COM 59156R108 668 14158 SH SOLE 14158 0 0 Analog Devices Inc COM 032654105 1057 9464 SH SOLE 9464 0 0 Exelon Corp COM 30161N101 1162 24050 SH SOLE 24050 0 0 Automatic Data Processing Inc COM 053015103 5379 33321 SH SOLE 33321 0 0 Consolidated Edison Inc COM 209115104 311 3293 SH SOLE 3293 0 0 S&P Global Inc COM 78409V104 846 3455 SH SOLE 3455 0 0 PPL Corp COM 69351T106 434 13787 SH SOLE 13787 0 0 Fifth Third Bancorp COM 316773100 362 13229 SH SOLE 13229 0 0 UnitedHealth Group Inc COM 91324P102 3755 17277 SH SOLE 17277 0 0 Advanced Micro Devices Inc COM 007903107 2652 91482 SH SOLE 91482 0 0 Fidelity National Information Services Inc COM 31620M106 8653 65181 SH SOLE 65181 0 0 Walt Disney Co COM DISNEY 254687106 5131 39372 SH SOLE 39372 0 0 Microsoft Corp COM 594918104 8794 63254 SH SOLE 63254 0 0 Visa Inc COM CL A 92826C839 5073 29490 SH SOLE 29490 0 0 MasterCard Inc CL A 57636Q104 1966 7239 SH SOLE 7239 0 0 Biogen Idec Inc COM 09062X103 1882 8085 SH SOLE 8085 0 0 Apple Inc COM 037833100 2605 11633 SH SOLE 11633 0 0 Texas Instruments Inc COM 882508104 1924 14889 SH SOLE 14889 0 0 Xilinx Inc COM 983919101 432 4506 SH SOLE 4506 0 0 ALPHABET INC CAP STK CL A 02079K305 16076 13165 SH SOLE 13165 0 0 Dominion Energy Inc COM 25746U109 1355 16715 SH SOLE 16715 0 0 IAMGOLD Corp COM 450913108 36 10450 SH SOLE 10450 0 0 FedEx Corp COM 31428X106 700 4806 SH SOLE 4806 0 0 Facebook Inc CL A 30303M102 3883 21802 SH SOLE 21802 0 0 Toll Brothers Inc COM 889478103 266 6483 SH SOLE 6483 0 0 AbbVie Inc COM 00287Y109 1066 14073 SH SOLE 14073 0 0 QTS Realty Trust Inc COM CL A 74736A103 1322 25713 SH SOLE 25713 0 0 Cars.com Inc COM 14575E105 841 93647 SH SOLE 93647 0 0 Broadcom Inc COM 11135F101 205 744 SH SOLE 744 0 0 Domo Inc COM CL B 257554105 339 21212 SH SOLE 21212 0 0 Lions Gate Entertainment Corp CL A VTG 535919401 926 100094 SH SOLE 100094 0 0 Micron Technology Inc COM 595112103 1550 36166 SH SOLE 36166 0 0 Electronic Arts Inc COM 285512109 398 4072 SH SOLE 4072 0 0 Citigroup Inc COM NEW 172967424 366 5298 SH SOLE 5298 0 0 Nautilus Inc COM 63910B102 23 17125 SH SOLE 17125 0 0 Callon Petroleum Co COM 13123X102 6393 1473118 SH SOLE 1473118 0 0 Build-A-Bear Workshop Inc COM 120076104 44 13940 SH SOLE 13940 0 0 Centene Corp COM 15135B101 1505 34784 SH SOLE 34784 0 0 Colfax Corp COM 194014106 484 16669 SH SOLE 16669 0 0 Nokia OYJ SPONSORED ADR 654902204 2242 443007 SH SOLE 443007 0 0 Cloudera Inc COM 18914U100 447 50499 SH SOLE 50499 0 0 Ribbon Communications Inc COM 762544104 883 151167 SH SOLE 151167 0 0 Avaya Holdings Corp COM 05351X101 291 28493 SH SOLE 28493 0 0 Acacia Research Corp ACACIA TCH COM 003881307 755 281734 SH SOLE 281734 0 0 ServiceSource International Inc COM 81763U100 46 52597 SH SOLE 52597 0 0 Endurance International Group Holdings Inc COM 29272B105 84 22513 SH SOLE 22513 0 0 Harte Hanks Inc COM 416196202 47 15531 SH SOLE 15531 0 0 Extreme Networks Inc COM 30226D106 737 101254 SH SOLE 101254 0 0 Harmonic Inc COM 413160102 232 35299 SH SOLE 35299 0 0 Calix Inc COM 13100M509 225 35272 SH SOLE 35272 0 0 iShares 0-5 Year High Yield Corporate Bond ETF 0-5YR HI YL CP 46434V407 1146 24650 SH SOLE 24650 0 0 iShares Preferred and Income Securities ETF PFD AND INCM SEC 464288687 972 25889 SH SOLE 25889 0 0 LVS 10/04/2019 CALL 58 CALL 517834907 1155 200 SH Call SOLE 200 0 0 LVS 10/11/2019 CALL 57 CALL 517834907 578 100 SH Call SOLE 100 0 0 GLD 10/11/2019 CALL 138.5 CALL 78463V907 1389 100 SH Call SOLE 100 0 0 DELL 01/15/2021 CALL 40 CALL 24703L902 674 130 SH Call SOLE 130 0 0 GOOG 01/15/2021 CALL 1000 CALL 02079K907 2194 18 SH Call SOLE 18 0 0 NEWM 10/18/2019 CALL 12.5 CALL 64704V906 308 350 SH Call SOLE 350 0 0 AMZN 01/15/2021 CALL 1700 CALL 023135906 1215 7 SH Call SOLE 7 0 0 GOOG 01/17/2020 CALL 1110 CALL 02079K907 1585 13 SH Call SOLE 13 0 0 SPY 10/18/2019 CALL 301 CALL 78462F903 2226 75 SH Call SOLE 75 0 0 GME 10/18/2019 CALL 6 CALL 36467W909 331 600 SH Call SOLE 600 0 0 TLT 01/15/2021 CALL 200 CALL 464287902 1860 130 SH Call SOLE 130 0 0 TLT 01/15/2021 CALL 150 CALL 464287902 1860 130 SH Call SOLE 130 0 0 TLT 01/15/2021 CALL 170 CALL 464287902 1860 130 SH Call SOLE 130 0 0 BG 10/18/2019 CALL 60 CALL G16962905 379 67 SH Call SOLE 67 0 0 GOOG 10/04/2019 CALL 1227.5 CALL 02079K907 244 2 SH Call SOLE 2 0 0 SLDB 10/18/2019 CALL 12.5 CALL 83422E905 337 326 SH Call SOLE 326 0 0 CCXI 11/15/2019 CALL 10 CALL 16383L906 283 417 SH Call SOLE 417 0 0 ASND 10/18/2019 CALL 150 CALL 04351P901 665 69 SH Call SOLE 69 0 0 PRTA 12/20/2019 CALL 11 CALL G72800908 397 507 SH Call SOLE 507 0 0 INCY 01/17/2020 CALL 95 CALL 45337C902 1195 161 SH Call SOLE 161 0 0 AMRN 01/17/2020 CALL 21 CALL 023111906 435 287 SH Call SOLE 287 0 0 BHVN 01/17/2020 CALL 50 CALL G11196905 1197 287 SH Call SOLE 287 0 0 GBT 01/17/2020 CALL 70 CALL 37890U908 927 191 SH Call SOLE 191 0 0 PIRS 10/18/2019 CALL 5 CALL 720795903 314 921 SH Call SOLE 921 0 0 IMMU 01/17/2020 CALL 25 CALL 452907908 859 648 SH Call SOLE 648 0 0 BLUE 11/15/2019 CALL 115 CALL 09609G900 881 96 SH Call SOLE 96 0 0 SLDB 10/18/2019 CALL 7.5 CALL 83422E905 243 235 SH Call SOLE 235 0 0 GOSS 11/15/2019 CALL 25 CALL 38341P902 1199 714 SH Call SOLE 714 0 0 ITCI 02/21/2020 CALL 12.5 CALL 46116X901 267 357 SH Call SOLE 357 0 0 MDY 12/20/2019 CALL 370 CALL 78467Y907 3771 107 SH Call SOLE 107 0 0 SUPN 12/20/2019 CALL 31 CALL 868459908 1201 437 SH Call SOLE 437 0 0 AMRN 12/20/2019 CALL 16 CALL 023111906 531 350 SH Call SOLE 350 0 0 KALA 01/17/2020 CALL 5 CALL 483119903 250 658 SH Call SOLE 658 0 0 GBT 01/17/2020 CALL 60 CALL 37890U908 1189 245 SH Call SOLE 245 0 0 ZGNX 01/17/2020 CALL 50 CALL 98978L904 368 92 SH Call SOLE 92 0 0 AXSM 12/20/2019 CALL 40 CALL 05464T904 1063 525 SH Call SOLE 525 0 0 RETA 12/20/2019 CALL 100 CALL 75615P903 699 87 SH Call SOLE 87 0 0 GOSS 11/15/2019 CALL 20 CALL 38341P902 440 262 SH Call SOLE 262 0 0 INSM 01/17/2020 CALL 18 CALL 457669907 677 384 SH Call SOLE 384 0 0 SAGE 11/15/2019 CALL 160 CALL 78667J908 2694 192 SH Call SOLE 192 0 0 MRTX 11/15/2019 CALL 105 CALL 60468T905 2002 257 SH Call SOLE 257 0 0 ALNY 12/20/2019 CALL 85 CALL 02043Q907 1544 192 SH Call SOLE 192 0 0 BLUE 11/15/2019 CALL 100 CALL 09609G900 881 96 SH Call SOLE 96 0 0 BGNE 12/20/2019 CALL 135 CALL 07725L902 2351 192 SH Call SOLE 192 0 0 IMMU 01/15/2021 CALL 20 CALL 452907908 509 384 SH Call SOLE 384 0 0 BHVN 01/17/2020 CALL 75 CALL G11196905 1602 384 SH Call SOLE 384 0 0 WVE 01/17/2020 CALL 35 CALL Y95308905 1897 924 SH Call SOLE 924 0 0 ASND 01/17/2020 CALL 170 CALL 04351P901 1300 135 SH Call SOLE 135 0 0 MRTX 10/18/2019 CALL 110 CALL 60468T905 678 87 SH Call SOLE 87 0 0 MGNX 01/17/2020 CALL 17.5 CALL 556099909 336 263 SH Call SOLE 263 0 0 ITCI 01/17/2020 CALL 10 CALL 46116X901 502 672 SH Call SOLE 672 0 0 MRTX 11/15/2019 CALL 120 CALL 60468T905 530 68 SH Call SOLE 68 0 0 MRK 11/15/2019 CALL 85 CALL 58933Y905 1616 192 SH Call SOLE 192 0 0 GOLD 11/15/2019 CALL 22 CALL 067901908 832 480 SH Call SOLE 480 0 0 HL 01/17/2020 CALL 3.5 CALL 422704906 440 2500 SH Call SOLE 2500 0 0 MSG 11/15/2019 CALL 300 CALL 55825T903 3030 115 SH Call SOLE 115 0 0 MXIM 10/18/2019 CALL 65 CALL 57772K901 1905 329 SH Call SOLE 329 0 0 ST 10/18/2019 CALL 55 CALL G8060N902 931 186 SH Call SOLE 186 0 0 XLNX 10/04/2019 CALL 115 CALL 983919901 2388 249 SH Call SOLE 249 0 0 ADBE 11/15/2019 CALL 310 CALL 00724F901 3370 122 SH Call SOLE 122 0 0 LAMR 11/15/2019 CALL 85 CALL 512816909 1917 234 SH Call SOLE 234 0 0 AMZN 11/15/2019 CALL 1875 CALL 023135906 6249 36 SH Call SOLE 36 0 0 BABA 10/18/2019 CALL 170 CALL 01609W902 1990 119 SH Call SOLE 119 0 0 BKI 10/18/2019 CALL 65 CALL 09215C905 1233 202 SH Call SOLE 202 0 0 AMCX 10/18/2019 CALL 55 CALL 00164V903 305 62 SH Call SOLE 62 0 0 DISCA 10/18/2019 CALL 30 CALL 25470F904 282 106 SH Call SOLE 106 0 0 AVY 10/18/2019 CALL 125 CALL 053611909 636 56 SH Call SOLE 56 0 0 CHKP 10/18/2019 CALL 115 CALL M22465904 1205 110 SH Call SOLE 110 0 0 TEL 10/18/2019 CALL 100 CALL H84989904 1193 128 SH Call SOLE 128 0 0 SSNC 11/15/2019 CALL 55 CALL 78467J900 1459 283 SH Call SOLE 283 0 0 AMZN 11/15/2019 CALL 2050 CALL 023135906 43051 248 SH Call SOLE 248 0 0 FOXA 10/18/2019 CALL 35 CALL 35137L905 618 196 SH Call SOLE 196 0 0 XLNX 10/04/2019 CALL 105 CALL 983919901 3222 336 SH Call SOLE 336 0 0 ACN 10/18/2019 CALL 202.5 CALL G1151C901 1231 64 SH Call SOLE 64 0 0 AMZN 11/15/2019 CALL 1830 CALL 023135906 5555 32 SH Call SOLE 32 0 0 DELL 10/18/2019 CALL 60 CALL 24703L902 519 100 SH Call SOLE 100 0 0 LYFT 10/18/2019 CALL 40 CALL 55087P904 204 50 SH Call SOLE 50 0 0 ROKU 10/04/2019 CALL 100 CALL 77543R902 509 50 SH Call SOLE 50 0 0 QQQ 10/04/2019 CALL 185 CALL 46090E903 944 50 SH Call SOLE 50 0 0 SPY 10/18/2019 PUT 290 PUT 78462F953 3561 120 SH Put SOLE 120 0 0 SPY 10/18/2019 PUT 292 PUT 78462F953 7419 250 SH Put SOLE 250 0 0 SPY 10/04/2019 PUT 298 PUT 78462F953 2968 100 SH Put SOLE 100 0 0 AAPL 01/15/2021 PUT 90 PUT 037833950 4479 200 SH Put SOLE 200 0 0 HPT 12/20/2019 PUT 22 PUT 81761L952 1290 500 SH Put SOLE 500 0 0 PCG 01/17/2020 PUT 5 PUT 69331C958 750 750 SH Put SOLE 750 0 0 PCG 01/17/2020 PUT 10 PUT 69331C958 3340 3340 SH Put SOLE 3340 0 0 QQQ 10/04/2019 PUT 184 PUT 46090E953 1152 61 SH Put SOLE 61 0 0 AMZN 10/04/2019 PUT 1700 PUT 023135956 347 2 SH Put SOLE 2 0 0 KBE 12/20/2019 PUT 40 PUT 78464A957 2805 650 SH Put SOLE 650 0 0 KRE 12/20/2019 PUT 50 PUT 78464A958 3431 650 SH Put SOLE 650 0 0 SPY 10/25/2019 PUT 285 PUT 78462F953 742 25 SH Put SOLE 25 0 0 ARQL 01/17/2020 PUT 7.5 PUT 04269E957 413 576 SH Put SOLE 576 0 0 CRSP 12/20/2019 PUT 40 PUT H17182958 1976 482 SH Put SOLE 482 0 0 ICPT 01/17/2020 PUT 80 PUT 45845P958 1188 179 SH Put SOLE 179 0 0 ANAB 01/17/2020 PUT 50 PUT 032724956 430 123 SH Put SOLE 123 0 0 KPTI 02/21/2020 PUT 7.5 PUT 48576U956 343 357 SH Put SOLE 357 0 0 FGEN 12/20/2019 PUT 30 PUT 31572Q958 392 106 SH Put SOLE 106 0 0 SLDB 10/18/2019 PUT 5 PUT 83422E955 359 347 SH Put SOLE 347 0 0 NBIX 11/15/2019 PUT 95 PUT 64125C959 1730 192 SH Put SOLE 192 0 0 GTHX 10/18/2019 PUT 30 PUT 3621LQ959 656 288 SH Put SOLE 288 0 0 BLUE 01/17/2020 PUT 90 PUT 09609G950 459 50 SH Put SOLE 50 0 0 GWPH 01/17/2020 PUT 125 PUT 36197T953 495 43 SH Put SOLE 43 0 0 CVM 01/17/2020 PUT 5 PUT 150837957 469 525 SH Put SOLE 525 0 0 SRPT 08/21/2020 PUT 120 PUT 803607950 550 73 SH Put SOLE 73 0 0 ITCI 02/21/2020 PUT 5 PUT 46116X951 275 368 SH Put SOLE 368 0 0 ICPT 02/21/2020 PUT 70 PUT 45845P958 2960 446 SH Put SOLE 446 0 0 ITCI 01/17/2020 PUT 5 PUT 46116X951 287 384 SH Put SOLE 384 0 0 CARA 01/17/2020 PUT 17.5 PUT 140755959 702 384 SH Put SOLE 384 0 0 BGNE 01/17/2020 PUT 105 PUT 07725L952 1763 144 SH Put SOLE 144 0 0 MRTX 11/15/2019 PUT 80 PUT 60468T955 1496 192 SH Put SOLE 192 0 0 JAZZ 10/18/2019 PUT 130 PUT G50871955 730 57 SH Put SOLE 57 0 0 GOSS 10/18/2019 PUT 17.5 PUT 38341P952 888 529 SH Put SOLE 529 0 0 TCMD 10/18/2019 PUT 40 PUT 87357P950 550 130 SH Put SOLE 130 0 0 ANAB 12/20/2019 PUT 45 PUT 032724956 917 262 SH Put SOLE 262 0 0 ANAB 01/17/2020 PUT 40 PUT 032724956 941 269 SH Put SOLE 269 0 0 IONS 04/17/2020 PUT 60 PUT 462222950 1570 262 SH Put SOLE 262 0 0 MDGL 01/17/2020 PUT 75 PUT 558868955 1647 191 SH Put SOLE 191 0 0 CRSP 01/15/2021 PUT 20 PUT H17182958 922 225 SH Put SOLE 225 0 0 RETA 12/20/2019 PUT 60 PUT 75615P953 474 59 SH Put SOLE 59 0 0 SAGE 01/17/2020 PUT 120 PUT 78667J958 2694 192 SH Put SOLE 192 0 0 MDCO 10/18/2019 PUT 15 PUT 584688955 3845 769 SH Put SOLE 769 0 0 TLT 12/20/2019 PUT 130 PUT 464287952 8127 568 SH Put SOLE 568 0 0 QQQ 11/15/2019 PUT 140 PUT 46090E953 28963 1534 SH Put SOLE 1534 0 0 V 11/01/2019 PUT 170 PUT 92826C959 3681 214 SH Put SOLE 214 0 0 NXPI 10/18/2019 PUT 101 PUT N6596X959 2597 238 SH Put SOLE 238 0 0 VRSK 10/18/2019 PUT 155 PUT 92345Y956 459 29 SH Put SOLE 29 0 0 VRSK 10/18/2019 PUT 150 PUT 92345Y956 459 29 SH Put SOLE 29 0 0 DNKN 10/18/2019 PUT 80 PUT 265504950 317 40 SH Put SOLE 40 0 0 HBI 10/18/2019 PUT 17 PUT 410345952 230 150 SH Put SOLE 150 0 0 Wheeler Real Estate Invt TR CV PFD SER B 963025309 399 33575 SH SOLE 33575 0 0 Wheeler Real Estate Invt TR PFD CNV SER D 963025606 610 42987 SH SOLE 42987 0 0 Forum Merger Ii Corp Wts $11.5 Exp.09/30/25 *W EXP 09/30/202 34986F111 428 42250 SH SOLE 42250 0 0 Vectoiq Acquisition Corp Wts $11.5 Exp. 06/11/23 *W EXP 05/11/202 92243N111 654 64000 SH SOLE 64000 0 0 Haymaker Acquisition Corp Ii Wts $ 11.5 Exp. 10/31/2026 *W EXP 10/31/202 42087L119 1198 120975 SH SOLE 120975 0 0 Hennessy Capital Acquisition Corp. Wts $ 11.50 Exp 09/25/25 *W EXP 09/05/202 42589C112 101 10000 SH SOLE 10000 0 0 Far Point Acquisition Corp Wts $ 11.5 Exp. 06/01/2025 *W EXP 06/01/202 30734W117 305 29822 SH SOLE 29822 0 0 Gores Metropoulos Inc Wts $ 11.5 Exp 03/25/2024 *W EXP 01/28/202 382872117 441 43683 SH SOLE 43683 0 0 Collier Creek Holdings Wts $ 11.50 Exp 11/26/2023 *W EXP 99/99/999 G22707114 560 55000 SH SOLE 55000 0 0 Trinity Merger Corp Wts $ 11.5 Exp 05/31/2023 *W EXP 05/11/202 89653L114 179 17135 SH SOLE 17135 0 0 Gores Holdings III Inc Wts $ 11.50 Exp 09/11/2023 *W EXP 09/11/202 38286G117 445 44044 SH SOLE 44044 0 0 GS Acquisition Holdings Corp Wts $ 11.50 Exp 07/30/2023 *W EXP 06/12/202 36255F110 838 82145 SH SOLE 82145 0 0 DermTech Equity Warrant Exp 29 Aug 2024 *W EXP 08/29/202 24984K113 1534 274000 SH SOLE 274000 0 0 KBL Merger Corp IV *W EXP 01/15/202 48242A112 2860 271727 SH SOLE 271727 0 0 Arya Sciences Acquisition Corp Wts 11.50 Exp 11/02/2023 *W EXP 10/10/202 G3165V125 165 16050 SH SOLE 16050 0 0 Alberton Acquisition Corp Wts$ 11.5 Exp.11/21/23 *W EXP 04/26/202 G35006124 3844 375000 SH SOLE 375000 0 0 Allegro Merger Corp Wts$ 11.5 Exp.01/06/25 *W EXP 01/06/202 01749N111 838 82725 SH SOLE 82725 0 0 Edtechx Holdings Acquisition Corp Wts $11.50 Exp. 12/31/2025 *W EXP 12/31/202 28138X111 4053 399345 SH SOLE 399345 0 0 Twelve Seas Investment Co Wts $11.5 Exp.7/13/2023 *W EXP 12/22/202 G9145A115 1024 100000 SH SOLE 100000 0 0 Tenzing Acquisition Corp Wts$ 11.5 Exp.08/23/2025 *W EXP 02/23/202 G8708A108 2019 195065 SH SOLE 195065 0 0 Dd3 Acquisition Corp Wts $11.5 Exp.10/23/2023 *W EXP 10/20/202 G2692M111 3291 324250 SH SOLE 324250 0 0 Schultze Special Purpose Acq Corp Wts$ 11.5 Exp. 12/31/2023 *W EXP 12/31/202 80821R117 2070 200000 SH SOLE 200000 0 0 Cf Finance Acquisition Corp Wts $11.5 Exp 04/30/25 *W EXP 04/30/202 12528N115 3746 370000 SH SOLE 370000 0 0 Tkk Symphony Acquisition Corp Wts $11.50 Exp. 08/20/2023 *W EXP 02/20/202 G88950129 2027 199500 SH SOLE 199500 0 0 Tottenham Acquisition I Ltd Wts $ 11.50 Exp. 06/05/25 *W EXP 05/06/202 G8959N114 773 75000 SH SOLE 75000 0 0 Trident Acquisitions Corp Wts $11.5 Exp. 06/13/2021 *W EXP 05/09/202 89615T114 9214 885923 SH SOLE 885923 0 0 Gigcapital2 Inc Wts $ 11.50 Exp. 07/01/2024 *W EXP 02/28/202 375036118 6881 700000 SH SOLE 700000 0 0 Tuscan Holdings Corp II Wts $ 11.5 Exp. 07/16/2025 *W EXP 04/01/202 90070A111 2820 287500 SH SOLE 287500 0 0 Tuscan Holdings Corp Wts $11.5 Exp. 04/01/26 *W EXP 04/01/202 90069K112 6650 678615 SH SOLE 678615 0 0 Netfin Acquisition Corp Wts $ 11.50 Exp 08/01/24 *W EXP 08/01/202 G6455A115 4753 485000 SH SOLE 485000 0 0 Gigcapital Inc Wts $ 11.50 Exp. 01/17/2023 *W EXP 06/08/202 37518N122 371 35805 SH SOLE 35805 0 0 Union Acquisition Corp Wts $11.5 Exp.7/01/25 *W EXP 03/14/202 G1117K106 620 96160 SH SOLE 96160 0 0 Opes Acquisition Corp Wts $11.5 Exp 01/15/2023 *W EXP 03/13/202 68373P118 726 70000 SH SOLE 70000 0 0 Big Rock Partners Acquisition Corp Wts $11.50 Exp.12/01/22 *W EXP 12/01/202 089482111 361 34163 SH SOLE 34163 0 0 Monocle Acquisition Corp Wts $11.5 Exp.06/12/24 *W EXP 12/06/202 609754114 1375 137500 SH SOLE 137500 0 0 8i Enterprises Acquisition Corp Wts $11.50 Exp.10/01/25 *W EXP 10/29/202 G2956M112 1188 118900 SH SOLE 118900 0 0 Health Sciences Acquisitions Corp Wts.$11.5 Exp.04/01/2024 *W EXP 04/01/202 42227C110 4328 436264 SH SOLE 436264 0 0 Andina Acquisition Corp Iii Wts $11.5 Exp. 03/06/24 *W EXP 07/31/202 G04415124 4645 465000 SH SOLE 465000 0 0 Wealthbridge Acquisition Ltd Wts$ 11.5 Exp.03/01/24 *W EXP 01/31/202 G4887W128 8838 875000 SH SOLE 875000 0 0 Flexshopper Inc Wts $ 1.25 Exp. 09/28/2023 *W EXP 09/28/202 33939J113 24 15829 SH SOLE 15829 0 0 Creative Realities Inc Wts$0.0 Exp.11/19/2023 *W EXP 11/09/202 22530J119 22 12500 SH SOLE 12500 0 0