0001214659-21-001435.txt : 20210208
0001214659-21-001435.hdr.sgml : 20210208
20210208133817
ACCESSION NUMBER: 0001214659-21-001435
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20201231
FILED AS OF DATE: 20210208
DATE AS OF CHANGE: 20210208
EFFECTIVENESS DATE: 20210208
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: NorthRock Partners, LLC
CENTRAL INDEX KEY: 0001632097
IRS NUMBER: 274761668
STATE OF INCORPORATION: MN
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-16755
FILM NUMBER: 21600632
BUSINESS ADDRESS:
STREET 1: 225 SOUTH 6TH STREET
STREET 2: SUITE 1400
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
BUSINESS PHONE: 612-367-8800
MAIL ADDRESS:
STREET 1: 225 SOUTH 6TH STREET
STREET 2: SUITE 1400
CITY: MINNEAPOLIS
STATE: MN
ZIP: 55402
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001632097
XXXXXXXX
12-31-2020
12-31-2020
false
NorthRock Partners, LLC
225 South 6th Street
Suite 1400
Minneapolis
MN
55402
13F HOLDINGS REPORT
028-16755
N
James Lund
Chief Compliance Officer
612-367-8803
/s/James Lund
Minneapolis
MN
02-05-2021
0
233
1014765
INFORMATION TABLE
2
infotable.xml
SPDR S&P 500 ETF TR
TR UNIT
78462F103
181574
485648
SH
SOLE
485648
0
0
SPDR SER TR
PRTFLO S&P500 VL
78464A508
89161
2592639
SH
SOLE
2592639
0
0
SPDR SER TR
PRTFLO S&P500 GW
78464A409
58685
1061408
SH
SOLE
1061408
0
0
APPLE INC
COM
037833100
53439
402733
SH
SOLE
402733
0
0
SPDR SER TR
S&P 400 MDCP VAL
78464A839
53276
959920
SH
SOLE
959920
0
0
SPDR SER TR
S&P 600 SMCP VAL
78464A300
49702
750899
SH
SOLE
750899
0
0
MONDELEZ INTL INC
CL A
609207105
45899
784994
SH
SOLE
784994
0
0
SPDR SER TR
S&P 600 SMCP GRW
78464A201
38730
507138
SH
SOLE
507138
0
0
TARGET CORP
COM
87612E106
36459
206530
SH
SOLE
206530
0
0
SPDR SER TR
S&P 400 MDCP GRW
78464A821
36304
523640
SH
SOLE
523640
0
0
ISHARES TR
RUS 1000 GRW ETF
464287614
31229
129505
SH
SOLE
129505
0
0
PHILIP MORRIS INTL INC
COM
718172109
27292
329650
SH
SOLE
329650
0
0
ISHARES TR
EAFE VALUE ETF
464288877
17138
363099
SH
SOLE
363099
0
0
ALTRIA GROUP INC
COM
02209S103
13610
331950
SH
SOLE
331950
0
0
J P MORGAN EXCHANGE-TRADED F
ULTRA SHRT INC
46641Q837
12548
247062
SH
SOLE
247062
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
11768
60458
SH
SOLE
60458
0
0
ISHARES TR
RUS MD CP GR ETF
464287481
10956
106731
SH
SOLE
106731
0
0
WISDOMTREE TR
EMER MKT HIGH FD
97717W315
10624
254624
SH
SOLE
254624
0
0
OWL ROCK CAPITAL CORPORATION
COM
69121K104
8959
707660
SH
SOLE
707660
0
0
AMERIPRISE FINL INC
COM
03076C106
8055
41452
SH
SOLE
41452
0
0
MICROSOFT CORP
COM
594918104
7227
32493
SH
SOLE
32493
0
0
ABBVIE INC
COM
00287Y109
7102
66280
SH
SOLE
66280
0
0
VANGUARD SPECIALIZED FUNDS
DIV APP ETF
921908844
6763
47905
SH
SOLE
47905
0
0
ISHARES TR
RUS 1000 VAL ETF
464287598
5412
39582
SH
SOLE
39582
0
0
AMAZON COM INC
COM
023135106
5348
1642
SH
SOLE
1642
0
0
ISHARES TR
EAFE GRWTH ETF
464288885
5268
52208
SH
SOLE
52208
0
0
KRAFT HEINZ CO
COM
500754106
4986
143851
SH
SOLE
143851
0
0
FS KKR CAP CORP
COM
302635206
4798
289733
SH
SOLE
289733
0
0
ISHARES TR
MBS ETF
464288588
4591
41609
SH
SOLE
41609
0
0
JOHNSON & JOHNSON
COM
478160104
4482
28479
SH
SOLE
28479
0
0
INTEL CORP
COM
458140100
4476
89848
SH
SOLE
89848
0
0
ISHARES TR
S&P SML 600 GWT
464287887
4473
39175
SH
SOLE
39175
0
0
ALPHABET INC
CAP STK CL A
02079K305
4289
2447
SH
SOLE
2447
0
0
VANGUARD INDEX FDS
EXTEND MKT ETF
922908652
4018
24401
SH
SOLE
24401
0
0
INVESCO QQQ TR
UNIT SER 1
46090E103
3970
12653
SH
SOLE
12653
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
3757
16201
SH
SOLE
16201
0
0
PROCTER AND GAMBLE CO
COM
742718109
3467
24916
SH
SOLE
24916
0
0
TESLA INC
COM
88160R101
3291
4663
SH
SOLE
4663
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
3097
24599
SH
SOLE
24599
0
0
JPMORGAN CHASE & CO
COM
46625H100
3058
24067
SH
SOLE
24067
0
0
AT&T INC
COM
00206R102
2577
89598
SH
SOLE
89598
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
2492
42411
SH
SOLE
42411
0
0
VANGUARD INDEX FDS
GROWTH ETF
922908736
2476
9773
SH
SOLE
9773
0
0
ABBOTT LABS
COM
002824100
2414
22052
SH
SOLE
22052
0
0
DISNEY WALT CO
COM
254687106
2302
12708
SH
SOLE
12708
0
0
BOEING CO
COM
097023105
2248
10503
SH
SOLE
10503
0
0
FS KKR CAP CORP II
COM
35952V303
2186
133293
SH
SOLE
133293
0
0
PEPSICO INC
COM
713448108
2142
14446
SH
SOLE
14446
0
0
SPDR SER TR
S&P DIVID ETF
78464A763
2123
20042
SH
SOLE
20042
0
0
MCDONALDS CORP
COM
580135101
2020
9415
SH
SOLE
9415
0
0
HONEYWELL INTL INC
COM
438516106
1875
8815
SH
SOLE
8815
0
0
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1856
5400
SH
SOLE
5400
0
0
VANGUARD INTL EQUITY INDEX F
ALLWRLD EX US
922042775
1835
31092
SH
SOLE
31092
0
0
PETROS PHARMACEUTICALS INC
COM
71678J100
1694
385031
SH
SOLE
385031
0
0
ALLEGHENY TECHNOLOGIES INC
COM
01741R102
1669
99496
SH
SOLE
99496
0
0
ISHARES TR
DOW JONES US ETF
464287846
1660
17598
SH
SOLE
17598
0
0
SPDR SER TR
S&P 600 SML CAP
78464A813
1605
20178
SH
SOLE
20178
0
0
EDWARDS LIFESCIENCES CORP
COM
28176E108
1583
17351
SH
SOLE
17351
0
0
ARES CAPITAL CORP
COM
04010L103
1561
92401
SH
SOLE
92401
0
0
SPDR S&P MIDCAP 400 ETF TR
UTSER1 S&PDCRP
78467Y107
1500
3573
SH
SOLE
3573
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
1491
4253
SH
SOLE
4253
0
0
SOUTHERN CO
COM
842587107
1477
24044
SH
SOLE
24044
0
0
ILLINOIS TOOL WKS INC
COM
452308109
1452
7121
SH
SOLE
7121
0
0
BAXTER INTL INC
COM
071813109
1369
17059
SH
SOLE
17059
0
0
SCHWAB STRATEGIC TR
1000 INDEX ETF
808524722
1353
36180
SH
SOLE
36180
0
0
MERCK & CO. INC
COM
58933Y105
1323
16174
SH
SOLE
16174
0
0
BANK MONTREAL QUE
COM
063671101
1321
17392
SH
SOLE
17392
0
0
STARBUCKS CORP
COM
855244109
1279
11959
SH
SOLE
11959
0
0
3M CO
COM
88579Y101
1229
7029
SH
SOLE
7029
0
0
HAWKINS INC
COM
420261109
1203
23000
SH
SOLE
23000
0
0
ISHARES TR
CORE S&P500 ETF
464287200
1161
3094
SH
SOLE
3094
0
0
ISHARES TR
SELECT DIVID ETF
464287168
1130
11745
SH
SOLE
11745
0
0
CONSOLIDATED EDISON INC
COM
209115104
1092
15105
SH
SOLE
15105
0
0
ISHARES TR
MSCI USA ESG SLC
464288802
1038
12611
SH
SOLE
12611
0
0
ALPHABET INC
CAP STK CL C
02079K107
1035
591
SH
SOLE
591
0
0
COCA COLA CO
COM
191216100
1028
18744
SH
SOLE
18744
0
0
BK OF AMERICA CORP
COM
060505104
1005
33142
SH
SOLE
33142
0
0
ISHARES TR
US HLTHCARE ETF
464287762
946
3847
SH
SOLE
3847
0
0
NVIDIA CORPORATION
COM
67066G104
926
1773
SH
SOLE
1773
0
0
CISCO SYS INC
COM
17275R102
923
20629
SH
SOLE
20629
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000VAL
92206C714
911
7601
SH
SOLE
7601
0
0
ISHARES TR
CORE HIGH DV ETF
46429B663
894
10201
SH
SOLE
10201
0
0
NETFLIX INC
COM
64110L106
890
1645
SH
SOLE
1645
0
0
PFIZER INC
COM
717081103
876
23794
SH
SOLE
23794
0
0
CHEVRON CORP NEW
COM
166764100
868
10274
SH
SOLE
10274
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
856
9316
SH
SOLE
9316
0
0
AKERS BIOSCIENCES INC
COM
00973E409
846
425000
SH
SOLE
425000
0
0
KELLOGG CO
COM
487836108
839
13486
SH
SOLE
13486
0
0
SPROTT PHYSICAL GOLD & SILVE
TR UNIT
85208R101
837
43280
SH
SOLE
43280
0
0
RAYTHEON TECHNOLOGIES CORP
COM
75513E101
831
11622
SH
SOLE
11622
0
0
NIKE INC
CL B
654106103
812
5737
SH
SOLE
5737
0
0
HOME DEPOT INC
COM
437076102
810
3048
SH
SOLE
3048
0
0
ISHARES TR
CORE MSCI EAFE
46432F842
791
11456
SH
SOLE
11456
0
0
SALLY BEAUTY HLDGS INC
COM
79546E104
776
59475
SH
SOLE
59475
0
0
ISHARES TR
RUS MDCP VAL ETF
464287473
768
7924
SH
SOLE
7924
0
0
COSTCO WHSL CORP NEW
COM
22160K105
753
1999
SH
SOLE
1999
0
0
AON PLC
SHS CL A
G0403H108
742
3510
SH
SOLE
3510
0
0
VANGUARD WHITEHALL FDS
HIGH DIV YLD
921946406
740
8153
SH
SOLE
8153
0
0
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
738
8689
SH
SOLE
8689
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
730
15090
SH
SOLE
15090
0
0
CENTRAL GARDEN & PET CO
CL A NON-VTG
153527205
727
20000
SH
SOLE
20000
0
0
ISHARES TR
RUS MID CAP ETF
464287499
713
10408
SH
SOLE
10408
0
0
ISHARES TR
U.S. MED DVC ETF
464288810
695
2124
SH
SOLE
2124
0
0
ISHARES TR
SP SMCP600VL ETF
464287879
694
8534
SH
SOLE
8534
0
0
VANGUARD WORLD FDS
INF TECH ETF
92204A702
693
1959
SH
SOLE
1959
0
0
WRAP TECHNOLOGIES INC
COM
98212N107
673
139292
SH
SOLE
139292
0
0
ISHARES TR
RUSSELL 2000 ETF
464287655
665
3391
SH
SOLE
3391
0
0
EXXON MOBIL CORP
COM
30231G102
662
16071
SH
SOLE
16071
0
0
ALLSTATE CORP
COM
020002101
641
5832
SH
SOLE
5832
0
0
PAYPAL HLDGS INC
COM
70450Y103
641
2735
SH
SOLE
2735
0
0
ISHARES TR
U.S. TECH ETF
464287721
637
7484
SH
SOLE
7484
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
621
15562
SH
SOLE
15562
0
0
ISHARES INC
CORE MSCI EMKT
46434G103
600
9667
SH
SOLE
9667
0
0
LOWES COS INC
COM
548661107
590
3678
SH
SOLE
3678
0
0
VANGUARD INTL EQUITY INDEX F
FTSE EMR MKT ETF
922042858
590
11776
SH
SOLE
11776
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
581
2495
SH
SOLE
2495
0
0
SCHWAB STRATEGIC TR
US LRG CAP ETF
808524201
580
6379
SH
SOLE
6379
0
0
CATERPILLAR INC
COM
149123101
577
3170
SH
SOLE
3170
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
573
1231
SH
SOLE
1231
0
0
FACEBOOK INC
CL A
30303M102
571
2089
SH
SOLE
2089
0
0
SCHLUMBERGER LTD
COM
806857108
571
26136
SH
SOLE
26136
0
0
GRAPHIC PACKAGING HLDG CO
COM
388689101
538
31740
SH
SOLE
31740
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
530
10605
SH
SOLE
10605
0
0
VANGUARD INDEX FDS
MCAP GR IDXVIP
922908538
515
2430
SH
SOLE
2430
0
0
VANGUARD INDEX FDS
MCAP VL IDXVIP
922908512
515
4327
SH
SOLE
4327
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
507
25859
SH
SOLE
25859
0
0
KIMBERLY-CLARK CORP
COM
494368103
491
3641
SH
SOLE
3641
0
0
QUALCOMM INC
COM
747525103
489
3211
SH
SOLE
3211
0
0
ISHARES TR
INTL SEL DIV ETF
464288448
489
16590
SH
SOLE
16590
0
0
ISHARES TR
NASDAQ BIOTECH
464287556
485
3200
SH
SOLE
3200
0
0
ISHARES TR
MSCI EAFE ETF
464287465
484
6635
SH
SOLE
6635
0
0
NOVARTIS AG
SPONSORED ADR
66987V109
477
5051
SH
SOLE
5051
0
0
ISHARES TR
MODERT ALLOC ETF
464289875
471
10906
SH
SOLE
10906
0
0
UNITED PARCEL SERVICE INC
CL B
911312106
467
2772
SH
SOLE
2772
0
0
VISA INC
COM CL A
92826C839
467
2133
SH
SOLE
2133
0
0
NEXTERA ENERGY INC
COM
65339F101
457
5920
SH
SOLE
5920
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
455
1724
SH
SOLE
1724
0
0
COMCAST CORP NEW
CL A
20030N101
450
8589
SH
SOLE
8589
0
0
BLACKSTONE GROUP INC
COM CL A
09260D107
436
6732
SH
SOLE
6732
0
0
PNC FINL SVCS GROUP INC
COM
693475105
424
2843
SH
SOLE
2843
0
0
ISHARES TR
S&P 500 GRWT ETF
464287309
421
6600
SH
SOLE
6600
0
0
ISHARES TR
S&P 100 ETF
464287101
415
2419
SH
SOLE
2419
0
0
OTTER TAIL CORP
COM
689648103
403
9463
SH
SOLE
9463
0
0
VANGUARD INDEX FDS
SML CP GRW ETF
922908595
400
1496
SH
SOLE
1496
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
399
15326
SH
SOLE
15326
0
0
AMERICAN EXPRESS CO
COM
025816109
397
3283
SH
SOLE
3283
0
0
HALLIBURTON CO
COM
406216101
393
20820
SH
SOLE
20820
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
393
6330
SH
SOLE
6330
0
0
VANGUARD SCOTTSDALE FDS
VNG RUS1000GRW
92206C680
386
1558
SH
SOLE
1558
0
0
MOTOROLA SOLUTIONS INC
COM NEW
620076307
383
2252
SH
SOLE
2252
0
0
CAMPBELL SOUP CO
COM
134429109
371
7673
SH
SOLE
7673
0
0
MASTERCARD INCORPORATED
CL A
57636Q104
365
1023
SH
SOLE
1023
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
365
12377
SH
SOLE
12377
0
0
SHOPIFY INC
CL A
82509L107
359
318
SH
SOLE
318
0
0
GENERAL ELECTRIC CO
COM
369604103
353
32720
SH
SOLE
32720
0
0
SALESFORCE COM INC
COM
79466L302
351
1579
SH
SOLE
1579
0
0
DOCUSIGN INC
COM
256163106
351
1579
SH
SOLE
1579
0
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
348
1
SH
SOLE
1
0
0
DUKE ENERGY CORP NEW
COM NEW
26441C204
343
3750
SH
SOLE
3750
0
0
COLUMBIA ETF TR I
DIVERSIFID FXD
19761L508
340
15400
SH
SOLE
15400
0
0
MERCADOLIBRE INC
COM
58733R102
339
202
SH
SOLE
202
0
0
NETGEAR INC
COM
64111Q104
331
8139
SH
SOLE
8139
0
0
MARSH & MCLENNAN COS INC
COM
571748102
331
2826
SH
SOLE
2826
0
0
STRYKER CORPORATION
COM
863667101
327
1334
SH
SOLE
1334
0
0
SPDR SER TR
PORTFOLI S&P1500
78464A805
327
7085
SH
SOLE
7085
0
0
TRUIST FINL CORP
COM
89832Q109
324
6759
SH
SOLE
6759
0
0
VANGUARD WORLD FDS
HEALTH CAR ETF
92204A504
324
1447
SH
SOLE
1447
0
0
XCEL ENERGY INC
COM
98389B100
320
4796
SH
SOLE
4796
0
0
L3HARRIS TECHNOLOGIES INC
COM
502431109
311
1648
SH
SOLE
1648
0
0
TYSON FOODS INC
CL A
902494103
311
4832
SH
SOLE
4832
0
0
VANGUARD INDEX FDS
SM CP VAL ETF
922908611
307
2155
SH
SOLE
2155
0
0
LOCKHEED MARTIN CORP
COM
539830109
305
860
SH
SOLE
860
0
0
EVERSOURCE ENERGY
COM
30040W108
305
3530
SH
SOLE
3530
0
0
NORWEGIAN CRUISE LINE HLDG L
SHS
G66721104
303
11929
SH
SOLE
11929
0
0
COLGATE PALMOLIVE CO
COM
194162103
303
3539
SH
SOLE
3539
0
0
ORACLE CORP
COM
68389X105
295
4568
SH
SOLE
4568
0
0
SYSCO CORP
COM
871829107
292
3931
SH
SOLE
3931
0
0
MEDTRONIC PLC
SHS
G5960L103
291
2488
SH
SOLE
2488
0
0
WALMART INC
COM
931142103
288
1996
SH
SOLE
1996
0
0
UNION PAC CORP
COM
907818108
287
1379
SH
SOLE
1379
0
0
ACCELERON PHARMA INC
COM
00434H108
281
2200
SH
SOLE
2200
0
0
COSTAR GROUP INC
COM
22160N109
277
300
SH
SOLE
300
0
0
CVS HEALTH CORP
COM
126650100
276
4037
SH
SOLE
4037
0
0
CARRIER GLOBAL CORPORATION
COM
14448C104
262
6933
SH
SOLE
6933
0
0
ISHARES INC
MSCI GBL MIN VOL
464286525
256
2642
SH
SOLE
2642
0
0
PIPER SANDLER COMPANIES
COM
724078100
253
2510
SH
SOLE
2510
0
0
VANGUARD INDEX FDS
SMALL CP ETF
922908751
253
1299
SH
SOLE
1299
0
0
LILLY ELI & CO
COM
532457108
250
1480
SH
SOLE
1480
0
0
SELECT SECTOR SPDR TR
TECHNOLOGY
81369Y803
249
1917
SH
SOLE
1917
0
0
U S GOLD CORP
COM NEW
90291C201
248
15000
SH
SOLE
15000
0
0
DOMINION ENERGY INC
COM
25746U109
246
3275
SH
SOLE
3275
0
0
BALL CORP
COM
058498106
238
2552
SH
SOLE
2552
0
0
DEERE & CO
COM
244199105
233
865
SH
SOLE
865
0
0
AUTOMATIC DATA PROCESSING IN
COM
053015103
231
1310
SH
SOLE
1310
0
0
INVESCO EXCHANGE TRADED FD T
DYNMC LRG GWTH
46137V746
228
3380
SH
SOLE
3380
0
0
ISHARES TR
CORE US AGGBD ET
464287226
228
1930
SH
SOLE
1930
0
0
OTIS WORLDWIDE CORP
COM
68902V107
228
3375
SH
SOLE
3375
0
0
ISHARES TR
U.S. FINLS ETF
464287788
227
3398
SH
SOLE
3398
0
0
ISHARES TR
CORE S&P MCP ETF
464287507
226
984
SH
SOLE
984
0
0
CROWN CASTLE INTL CORP NEW
COM
22822V101
226
1419
SH
SOLE
1419
0
0
GABELLI EQUITY TR INC
COM
362397101
226
36000
SH
SOLE
36000
0
0
CIGNA CORP NEW
COM
125523100
219
1051
SH
SOLE
1051
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
213
5299
SH
SOLE
5299
0
0
CONSTELLATION BRANDS INC
CL A
21036P108
211
962
SH
SOLE
962
0
0
VANGUARD MUN BD FDS
TAX EXEMPT BD
922907746
210
3813
SH
SOLE
3813
0
0
SCHWAB STRATEGIC TR
US LCAP GR ETF
808524300
209
1624
SH
SOLE
1624
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
207
3997
SH
SOLE
3997
0
0
MGE ENERGY INC
COM
55277P104
206
2947
SH
SOLE
2947
0
0
DANAHER CORPORATION
COM
235851102
206
926
SH
SOLE
926
0
0
TEXAS INSTRS INC
COM
882508104
206
1253
SH
SOLE
1253
0
0
WEC ENERGY GROUP INC
COM
92939U106
205
2229
SH
SOLE
2229
0
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
204
3977
SH
SOLE
3977
0
0
ISHARES TR
U.S. BAS MTL ETF
464287838
204
1797
SH
SOLE
1797
0
0
ISHARES TR
CORE S&P TTL STK
464287150
201
2331
SH
SOLE
2331
0
0
STERLING BANCORP DEL
COM
85917A100
199
11095
SH
SOLE
11095
0
0
BLACKBERRY LTD
COM
09228F103
167
25163
SH
SOLE
25163
0
0
LITHIUM AMERS CORP NEW
COM NEW
53680Q207
151
12007
SH
SOLE
12007
0
0
QUMU CORP
COM
749063103
133
16600
SH
SOLE
16600
0
0
KINROSS GOLD CORP
CALL
496902904
110
15000
SH
Call
SOLE
15000
0
0
FORD MTR CO DEL
COM
345370860
102
11642
SH
SOLE
11642
0
0
RAMBUS INC DEL
CALL
750917906
87
5000
SH
Call
SOLE
5000
0
0
RESEARCH FRONTIERS INC
COM
760911107
84
30000
SH
SOLE
30000
0
0
QUALCOMM INC
CALL
747525903
76
500
SH
Call
SOLE
500
0
0
VIACOMCBS INC
CALL
92556H907
75
2000
SH
Call
SOLE
2000
0
0
GENASYS INC
COM
36872P103
65
10000
SH
SOLE
10000
0
0
POLYMET MNG CORP
COM NEW
731916409
62
18675
SH
SOLE
18675
0
0
SMITH MICRO SOFTWARE INC
COM NEW
832154207
54
10000
SH
SOLE
10000
0
0
WESTROCK CO
CALL
96145D905
44
1000
SH
Call
SOLE
1000
0
0
KRAFT HEINZ CO
CALL
500754906
35
1000
SH
Call
SOLE
1000
0
0
CYCLERION THERAPEUTICS INC
COM
23255M105
31
10000
SH
SOLE
10000
0
0
NEW GOLD INC CDA
COM
644535106
29
13153
SH
SOLE
13153
0
0
BLACKBERRY LTD
CALL
09228F903
19
2800
SH
Call
SOLE
2800
0
0
XPRESSPA GROUP INC
COM
98420U703
12
10046
SH
SOLE
10046
0
0