0001742998-20-000006.txt : 20201009
0001742998-20-000006.hdr.sgml : 20201009
20201009131107
ACCESSION NUMBER: 0001742998-20-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200930
FILED AS OF DATE: 20201009
DATE AS OF CHANGE: 20201009
EFFECTIVENESS DATE: 20201009
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FNY Investment Advisers, LLC
CENTRAL INDEX KEY: 0001742998
IRS NUMBER: 301042656
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18846
FILM NUMBER: 201232728
BUSINESS ADDRESS:
STREET 1: 90 PARK AVENUE, 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
BUSINESS PHONE: 2123316461
MAIL ADDRESS:
STREET 1: 90 PARK AVENUE, 5TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10016
13F-HR
1
primary_doc.xml
13F-HR
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true
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0001742998
XXXXXXXX
09-30-2020
09-30-2020
FNY Investment Advisers, LLC
90 PARK AVENUE, 5TH FLOOR
NEW YORK
NY
10016
13F HOLDINGS REPORT
028-18846
N
Shawn Fischman
General Counsel & CCO
212-331-6872
Shawn Fischman
New York
NY
10-09-2020
1
524
236901
false
1
0001589689
MYDA Advisors LLC
INFORMATION TABLE
2
FNYIA.xml
FNYIAQ32020
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277
12000
SH
SOLE
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0
0
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SPONSORED ADR
90138A103
0
10
SH
Call
SOLE
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0
0
3D SYSTEMS ORD
COM
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6
1402
SH
Call
SOLE
1402
0
0
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COM
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130
229555
SH
SOLE
229555
0
0
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254
10000
SH
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0
0
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COM
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208024
SH
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0
0
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0
2
SH
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2
0
0
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75
SH
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75
0
0
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31
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0
0
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144
SH
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144
0
0
AEGON ADR
COM
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SH
SOLE
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0
0
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COM
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788
SH
SOLE
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SH
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0
0
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COM
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2200
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13067
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14
50
SH
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SOLE
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0
0
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200
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SOLE
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0
0
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300
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0
0
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SH
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30000
0
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COM
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0
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SH
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6500
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0
0
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73793
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SOLE
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SOLE
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0
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580
23500
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3600
SH
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15100
SH
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0
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SH
SOLE
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0
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100
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SOLE
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0
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1225
SH
SOLE
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0
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COM
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SH
SOLE
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0
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25000
SH
SOLE
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0
0
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60289
SH
SOLE
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0
0
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COM
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16393
SH
SOLE
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COM
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124
SH
Call
SOLE
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0
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COM
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620
43593
SH
SOLE
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0
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COM
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20
SH
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SH
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301
0
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2350
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SH
SOLE
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0
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11880
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SOLE
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COM
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100
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0
0
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26
SH
Call
SOLE
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0
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COM
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0
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300
SH
SOLE
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0
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17300
SH
SOLE
17300
0
0
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300
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SH
SOLE
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562
20000
SH
SOLE
20000
0
0
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COM
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4
150
SH
Put
SOLE
150
0
0
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523
35000
SH
SOLE
35000
0
0
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SH
SOLE
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0
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BED BATH AND BEYOND ORD
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120
SH
Call
DFND
120
0
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BEL FUSE CL B ORD
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1340
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SOLE
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SH
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BHP GROUP ADR REP 2 ORD
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612
14350
SH
SOLE
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3501
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SOLE
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SH
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0
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BOEING ORD
COM
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SH
SOLE
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0
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BOINGO WIRELESS ORD (NMS)
COM
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0
50
SH
Call
SOLE
50
0
0
BORGWARNER ORD
COM
099724106
1
43
SH
SOLE
43
0
0
BOWX ACQUISITION UNT
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513
50000
SH
SOLE
50000
0
0
BRILLIANT ACQUISITION RTS
COM
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11000
SH
SOLE
11000
0
0
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COM
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286
127309
SH
SOLE
127309
0
0
BRISTOL MYERS SQUIBB ORD
COM
110122108
150
2500
SH
SOLE
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0
0
BRITISH AMERICAN TOBACCO ADR REP ORD
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361
10000
SH
SOLE
10000
0
0
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COM
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6
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SH
SOLE
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0
0
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COM
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3
300
SH
SOLE
300
0
0
BROWN FORMAN CL A ORD
COM
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129
1880
SH
SOLE
1880
0
0
BYRNA TECHNOLOGIES ORD
COM
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3054763
SH
SOLE
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0
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15385
SH
SOLE
15385
0
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CAESARS ENTERTAINMENT ORD
COM
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54
967
SH
Call
SOLE
967
0
0
CALAMP ORD (NMS)
COM
128126109
0
100
SH
Call
SOLE
100
0
0
CANON ADR REP ORD
SPONSORED ADR
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33
2000
SH
SOLE
2000
0
0
CANOPY GROWTH ORD
COM
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0
14
SH
Call
SOLE
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0
0
CANSORTIUM EQY WRT EXP 03/21/2021 ON TIUM/U CF
COM
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39000
SH
SOLE
39000
0
0
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COM
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COM
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177
11700
SH
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3000
SH
SOLE
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0
0
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COM
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194
10200
SH
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CC NEUBERGER PRINCIPAL HLDG UNT
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100
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0
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8550
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0
0
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300
SH
SOLE
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0
0
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COM
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SH
SOLE
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0
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COM
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29
2000
SH
SOLE
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0
0
CELLECTAR BIOSCIENCES ORD
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SH
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CENTRAL GARDEN AND PET CL A ORD
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SH
SOLE
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0
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CHEVRON ORD
COM
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150
SH
SOLE
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0
0
CHINA INDUSTRIAL GROUP ORD
COM
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SH
SOLE
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CHINA LIFE INSURNCE ADR REP 5 H ORD
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249
22000
SH
SOLE
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SOLE
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SOLE
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0
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0
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254
25000
SH
SOLE
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SH
SOLE
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0
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SOLE
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0
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SH
SOLE
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0
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COM
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13
900
SH
SOLE
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0
0
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COM
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31
800
SH
SOLE
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0
0
CITIGROUP ORD
COM
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0
1
SH
SOLE
1
0
0
CITIGROUP ORD
COM
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8
200
SH
Call
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0
0
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COM
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799
322500
SH
SOLE
322500
0
0
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COM
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SOLE
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34
1400
SH
SOLE
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0
0
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251
25000
SH
SOLE
25000
0
0
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COM
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457
42000
SH
SOLE
42000
0
0
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100
SH
SOLE
100
0
0
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COM
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2926
310003
SH
SOLE
310003
0
0
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COM
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7
830
SH
Call
SOLE
830
0
0
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400
SH
SOLE
400
0
0
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342
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SH
SOLE
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0
0
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COM
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0
10
SH
Call
SOLE
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0
0
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94
2050
SH
SOLE
2050
0
0
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COM
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6
150
SH
SOLE
150
0
0
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0
2
SH
Call
SOLE
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0
0
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COM
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157
20000
SH
SOLE
20000
0
0
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595
58600
SH
SOLE
58600
0
0
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COM
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100
SH
SOLE
100
0
0
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COM
224633107
166
25857
SH
SOLE
25857
0
0
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225401108
53
5387
SH
SOLE
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0
CREE ORD
COM
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329
5175
SH
SOLE
5175
0
0
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176
17584
SH
SOLE
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0
0
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100
SH
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0
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COM
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468
78089
SH
SOLE
78089
0
0
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360
10000
SH
SOLE
10000
0
0
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COM
22717L101
7
1400
SH
SOLE
1400
0
0
CRONOS GROUP ORD
COM
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0
108
SH
Call
SOLE
108
0
0
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137
1000
SH
SOLE
1000
0
0
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354
48800
SH
SOLE
48800
0
0
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81
57500
SH
SOLE
57500
0
0
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COM
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2
1000
SH
SOLE
1000
0
0
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COM
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740
7250
SH
DFND
7250
0
0
DATADOG CL A ORD
COM
23804L103
4
40
SH
Call
DFND
40
0
0
DAVITA ORD
COM
23918K108
2
29
SH
SOLE
29
0
0
DBV TECHNOLOGIES ADR REP 0.5 ORD
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23306J101
53
30944
SH
SOLE
30944
0
0
DELTA AIR LINES ORD
COM
247361702
155
5078
SH
SOLE
5078
0
0
DERMTECH INC
COM
24984K113
1
2500
SH
SOLE
2500
0
0
DEUTSCHE BANK N ORD
COM
D18190898
1680
200000
SH
SOLE
200000
0
0
DIREXION BRAZIL BULL 2X SHARES ETF
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25460G708
0
5
SH
SOLE
5
0
0
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321
25164
SH
SOLE
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0
0
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172
800
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SOLE
800
0
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12
135
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SOLE
135
0
0
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44
760
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0
0
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100
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18
350
SH
SOLE
350
0
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SH
SOLE
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0
0
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0
2
SH
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0
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ELANCO ANIMAL HEALTH CVR
COM
284CVR016
2
100
SH
SOLE
100
0
0
ELECTRAMECCANICA VEHS ORD
COM
284849205
0
300
SH
SOLE
300
0
0
ELIXINOL GLOBAL ORD
COM
Q34632101
8
78600
SH
SOLE
78600
0
0
ENERGY SELECT SECTOR SPDR ETF
COM
81369Y506
89
3000
SH
SOLE
3000
0
0
ENERTECK ORD
COM
29275X104
0
7500
SH
SOLE
7500
0
0
ENI ADR
COM
26874R108
543
35000
SH
SOLE
35000
0
0
ENTERGY MISSISSIPP MRTGAG 4.9 BONDS
COM
29364N108
25
1000
SH
SOLE
1000
0
0
EOG RESOURCES ORD
COM
26875P101
14
400
SH
SOLE
400
0
0
EQUINOR ADR REP ORD
SPONSORED ADR
29446M102
3133
222898
SH
SOLE
222898
0
0
EQUITY DISTRIBUTION ACQUISITION UNT
COM
29465E205
3
330
SH
SOLE
330
0
0
ERICSSON SPON ADR REP 1 CL B ORD
SPONSORED ADR
294821608
1633
150000
SH
SOLE
150000
0
0
ESSEX PROPERTY REIT ORD
COM
297178105
6
30
SH
SOLE
30
0
0
ETSY ORD
COM
29786A106
206
1700
SH
SOLE
1700
0
0
EURONAV NV
COM
B38564108
30
3500
SH
SOLE
3500
0
0
EXECUTIVE NETWORK PARTNERING UNT
COM
30158L209
123
4900
SH
SOLE
4900
0
0
EXPERIENCE INVESTMENT CL A ORD
COM
30217C109
51
5169
SH
SOLE
5169
0
0
EXXON MOBIL ORD
COM
30231G102
120
3500
SH
SOLE
3500
0
0
FACEBOOK CL A ORD
COM
30303M102
5
20
SH
SOLE
20
0
0
FACEBOOK CL A ORD
COM
30303M102
23
88
SH
Call
SOLE
88
0
0
FALCON CAPITAL ACQ UNT
COM
30606L207
308
30000
SH
SOLE
30000
0
0
FANNIE MAE NON CUMULATIVE H PFD
COM
313586885
8
600
SH
SOLE
600
0
0
FASTLY CL A ORD
COM
31188V100
74
800
SH
SOLE
800
0
0
FEDERAL NATIONAL MORTGAGE ORD
COM
313586109
0
200
SH
SOLE
200
0
0
FEDERL HOME LOAN MRTG 5.57 PERP PRF
COM
313400673
157
22359
SH
SOLE
22359
0
0
FIAT CHRYSLER AUTOMOBILES ORD
COM
N31738102
1686
137995
SH
SOLE
137995
0
0
FINSERV ACQUISITION CL A ORD
COM
318085107
2
276
SH
SOLE
276
0
0
FINTECH ACQUISITION CL A ORD
COM
31811A101
5880
570333
SH
SOLE
570333
0
0
FINTECH ACQUISITION UNT
COM
31811A309
8
800
SH
SOLE
800
0
0
FIRST NBC BANK HOLDING ORD
COM
32115D106
0
8519
SH
SOLE
8519
0
0
FIRST SOLAR ORD
COM
336433107
6
100
SH
SOLE
100
0
0
FITBIT CL A ORD
COM
33812L102
12
1800
SH
SOLE
1800
0
0
FIVE9 ORD
COM
338307101
1
10
SH
SOLE
10
0
0
FLUIDIGM ORD
COM
34385P108
163
22000
SH
SOLE
22000
0
0
FLYING EAGLE ACQUISITION CL A ORD
COM
34407Y103
185
15290
SH
SOLE
15290
0
0
FOLEY TRASIMENE ACQ CL A ORD
COM
34431F104
106
10300
SH
SOLE
10300
0
0
FOLEY TRASIMENE ACQUISI CL A RED UNT
COM
34431F203
169
15000
SH
SOLE
15000
0
0
FORTERRA ORD
COM
34960W106
606
51272
SH
SOLE
51272
0
0
FORTIVE ORD
COM
34959J108
1306
20500
SH
SOLE
20500
0
0
FORTIVE ORD
COM
34959J108
9
150
SH
Call
SOLE
150
0
0
FORTRESS VALUE ACQUISITION CL A ORD
COM
34962V106
96
7100
SH
SOLE
7100
0
0
FORUM MERGER II CL A ORD
COM
34986F103
472
20000
SH
SOLE
20000
0
0
FORUM MERGER III UNT
COM
349885202
679
65000
SH
SOLE
65000
0
0
FOX CL A ORD
COM
35137L105
8
300
SH
SOLE
300
0
0
FOX FACTORY HOLDING ORD
COM
35138V102
0
12
SH
Call
SOLE
12
0
0
FRONTLINE ORD
COM
G3682E192
233
35968
SH
SOLE
35968
0
0
FTAC OLYMPUS ACQUISITION UNT
COM
G37288118
1
100
SH
SOLE
100
0
0
FTE NETWORKS ORD
COM
30283R402
5
4000
SH
SOLE
4000
0
0
FUELCELL ENERGY ORD
COM
35952H601
1
800
SH
SOLE
800
0
0
G1 THERAPEUTICS ORD
COM
3621LQ109
4
400
SH
SOLE
400
0
0
GAMESTOP CL A ORD
COM
36467W109
209
20551
SH
DFND
20551
0
0
GARRETT MOTION ORD
COM
366505105
232
67500
SH
SOLE
67500
0
0
GENERAL DYNAMICS ORD
COM
369550108
1
10
SH
SOLE
10
0
0
GENERAL ELECTRIC ORD
COM
369604103
0
100
SH
SOLE
100
0
0
GENERAL MOTORS ORD
COM
37045V100
5
190
SH
Call
SOLE
190
0
0
GENIUS BRANDS INTERNATIONAL ORD
COM
37229T301
1
1100
SH
SOLE
1100
0
0
GENIUS PRODUCTS ORD
COM
37229R305
0
122
SH
SOLE
122
0
0
GENMAB ADR
COM
372303206
259
7089
SH
SOLE
7089
0
0
GENOCEA BIOSCIENCES ORD
COM
372427401
458
200000
SH
SOLE
200000
0
0
GENWORTH FINANCIAL CL A ORD
COM
37247D106
8
2400
SH
SOLE
2400
0
0
GERDAU SA ADR REPSG 1 PRF
SPONSORED ADR
373737105
2
600
SH
SOLE
600
0
0
GIGCAPITAL2 ORD
COM
375036100
50
5000
SH
SOLE
5000
0
0
GLU MOBILE ORD
COM
379890106
7
1000
SH
SOLE
1000
0
0
GODADDY CL A ORD
COM
380237107
15
200
SH
SOLE
200
0
0
GOL LINHAS AAREAS INT ADS REP 02 PRF
COM
38045R206
12
2000
SH
SOLE
2000
0
0
GOL LINHAS AAREAS INT ADS REP 02 PRF
COM
38045R206
0
90
SH
Put
SOLE
90
0
0
GOLD FIELDS ADR REP 1 ORD
SPONSORED ADR
38059T106
477
38841
SH
SOLE
38841
0
0
GOLDFIELD ORD
COM
381370105
164
38913
SH
SOLE
38913
0
0
GOLDMAN SACHS DS RPT 1/1000 SR A PRF
COM
38143Y665
6
300
SH
SOLE
300
0
0
GORES HOLDINGS IV CL A ORD
COM
382865103
59
5790
SH
SOLE
5790
0
0
GORES HOLDINGS IV UNT
COM
382865202
2
200
SH
SOLE
200
0
0
GORES HOLDINGS V UNT
COM
382864205
1
100
SH
SOLE
100
0
0
GORES METROPOULOS CL A ORD
COM
382872109
4883
427669
SH
SOLE
427669
0
0
GORES METROPOULOS UNT
COM
382872208
1
100
SH
SOLE
100
0
0
GRAYSCALE BITCOIN ORD
COM
389637109
117
10700
SH
SOLE
10700
0
0
GRAYSCALE ETHEREUM CLASSIC ORD
COM
38963Q107
2
400
SH
SOLE
400
0
0
GREAT AJAX ORD
COM
38983D300
21
2600
SH
SOLE
2600
0
0
GREEN GROWTH BRANDS ORD
COM
39305B105
24
997000
SH
SOLE
997000
0
0
GREEN THUMB INDUSTRIES ORD
COM
39342L108
1717
132596
SH
SOLE
132596
0
0
GREENLANE HOLDINGS CL A ORD
COM
395330103
1037
463259
SH
SOLE
463259
0
0
GREENVISION ACQUISITION ORD
COM
39678G103
6
600
SH
SOLE
600
0
0
GREIF CL B ORD
COM
397624206
417
10565
SH
SOLE
10565
0
0
GRIFOLS ADR REP ONE NON VTG CL B ORD
SPONSORED ADR
398438408
1566
90310
SH
SOLE
90310
0
0
GRUBHUB ORD
COM
400110102
28351
391975
SH
SOLE
391975
0
0
GRUPO AEROPORTUA ADR REP 10 SR B ORD
SPONSORED ADR
40051E202
382
3300
SH
SOLE
3300
0
0
GRUPO SUPERVIELLE ADR REP 5 CL B ORD
SPONSORED ADR
40054A108
8
4900
SH
SOLE
4900
0
0
GS ACQUISITION HOLDINGS UNT
COM
36258Q204
12
1125
SH
SOLE
1125
0
0
GTY TECHNOLOGY HOLDINGS ORD
COM
362409104
0
100
SH
SOLE
100
0
0
GUANGSHEN RAIL ADR REP 50 CL H ORD
SPONSORED ADR
40065W107
29
3520
SH
SOLE
3520
0
0
GW PHARMACEUTICALS ADR REP 12 ORD
SPONSORED ADR
36197T103
33
346
SH
SOLE
346
0
0
GX ACQUISITON CL A ORD
COM
36251A107
5125
488134
SH
SOLE
488134
0
0
GX ACQUISITON UNT
COM
36251A206
15
1420
SH
SOLE
1420
0
0
HARMONY GOLD MNG ADR REP 1 ORD
SPONSORED ADR
413216300
1891
358870
SH
SOLE
358870
0
0
HAYMAKER ACQUISITION CL A ORD
COM
42087L101
615
61552
SH
SOLE
61552
0
0
HAYMAKER ACQUISITION UNT
COM
42087L200
1
100
SH
SOLE
100
0
0
HEALTHCARE MERGER CL A ORD
COM
42227L102
2345
231075
SH
SOLE
231075
0
0
HEICO ORD
COM
422806109
33
321
SH
SOLE
321
0
0
HENNESSY CAPITAL ACQUISITION CORP IV
COM
42589C104
1234
110811
SH
SOLE
110811
0
0
HERMAN MILLER ORD
COM
600544100
467
15500
SH
SOLE
15500
0
0
HEWLETT PACKARD ENTERPRISE ORD
COM
42824C109
313
33500
SH
SOLE
33500
0
0
HILTON GRAND VACATIONS ORD
COM
43283X105
104
5000
SH
SOLE
5000
0
0
HOVNANIAN ENTERPRISES CL A ORD
COM
442487401
6
200
SH
SOLE
200
0
0
HUDSON EXECUTIVE INVESTMENT UNT
COM
443761200
129
12500
SH
SOLE
12500
0
0
HYCROFT MINING HOLDING CL A ORD
COM
44862P109
3
350
SH
SOLE
350
0
0
HYLIION HOLDINGS CL A ORD
COM
449109107
5775
115910
SH
SOLE
115910
0
0
HYLIION HOLDINGS CL A ORD
COM
449109107
24
500
SH
Put
SOLE
500
0
0
IMMERSION ORD
COM
452521107
70
10000
SH
SOLE
10000
0
0
IMMUNOMEDICS ORD
COM
452907108
3818
44908
SH
SOLE
44908
0
0
INFLARX ORD
COM
N44821101
1491
350000
SH
SOLE
350000
0
0
ING GROEP ADR REP 1 ORD
SPONSORED ADR
456837103
354
50000
SH
SOLE
50000
0
0
INGLES MARKETS CL A ORD
COM
457030104
133
3500
SH
SOLE
3500
0
0
INMUNE BIO ORD
COM
45782T105
37
3600
SH
SOLE
3600
0
0
INOVIO PHARMACEUTICALS ORD
COM
45773H201
1
90
SH
SOLE
90
0
0
INPHI ORD
COM
45772F107
19
175
SH
SOLE
175
0
0
INPHONIC ORD (OTC)
COM
45772G105
0
14472
SH
SOLE
14472
0
0
INSEEGO ORD
COM
45782B104
2648
256614
SH
SOLE
256614
0
0
INSURANCE ACQUISITION CL A ORD
COM
457867109
1643
139149
SH
SOLE
139149
0
0
INTERNATIONAL BUSINESS MACHINES ORD
COM
459200101
7
62
SH
SOLE
62
0
0
INTERNATIONAL BUSINESS MACHINES ORD
COM
459200101
0
1
SH
Call
SOLE
1
0
0
INVSC QQQ TRUST SRS 1 ETF
COM
46090E103
5
20
SH
Call
SOLE
20
0
0
INVSC QQQ TRUST SRS 1 ETF
COM
46090E103
98
356
SH
Put
SOLE
356
0
0
IOVANCE BIOTHERAPEUTICS ORD
COM
462260100
1069
32500
SH
SOLE
32500
0
0
ISHARES CHINA LARGE CAP ETF
COM
464287184
210
5000
SH
SOLE
5000
0
0
ISHARES CHINA LARGE CAP ETF
COM
464287184
12
300
SH
Call
SOLE
300
0
0
ISHARES MSCI EMERGING MARKETS ETF
COM
464287234
4
100
SH
Put
SOLE
100
0
0
ISHARES SILVER TRUST ETF
COM
46428Q109
1
60
SH
Call
DFND
60
0
0
JAWS ACQUISITION CL A ORD
COM
G50744104
236
22700
SH
SOLE
22700
0
0
JAWS ACQUISITION UNT
COM
G50744120
166
15000
SH
SOLE
15000
0
0
JD.COM ADR REP 2 CL A ORD
SPONSORED ADR
47215P106
2268
29233
SH
SOLE
29233
0
0
JPMORGAN CHASE ORD
COM
46625H100
243
2530
SH
SOLE
2530
0
0
JUMIA TECHNOLOGIES ADR REP 2 ORD
SPONSORED ADR
48138M105
11
1500
SH
SOLE
1500
0
0
JUNIPER INDUSTRIAL HOLDINGS CL A ORD
COM
48205G106
283
27150
SH
SOLE
27150
0
0
JUST ENERGY GROUP ORD
COM
48213W408
0
100
SH
SOLE
100
0
0
KALEYRA ORD
COM
483379103
124
16458
SH
SOLE
16458
0
0
KANSAS CITY SOUTHERN ORD
COM
485170302
273
1510
SH
SOLE
1510
0
0
KENSINGTON CAPITAL ACQ CL A ORD
COM
490073103
636
38000
SH
SOLE
38000
0
0
KIRKLAND LAKE GOLD ORD
COM
49741E100
48
1000
SH
SOLE
1000
0
0
KRATOS DEFENSE AND SECURITY SOLS ORD (NMS)
COM
50077B207
1
75
SH
Call
SOLE
75
0
0
KROGER ORD
COM
501044101
135
4000
SH
SOLE
4000
0
0
KRYSTAL BIOTECH ORD
COM
501147102
479
11148
SH
SOLE
11148
0
0
LAM RESEARCH ORD
COM
512807108
19
60
SH
SOLE
60
0
0
LANDCADIA HOLDINGS II CL A ORD
COM
51476X105
144
10070
SH
SOLE
10070
0
0
LANDCADIA HOLDINGS II UNT
COM
51476X204
12
800
SH
SOLE
800
0
0
LAZYDAYS HOLDINGS ORD
COM
52110H100
458
36123
SH
SOLE
36123
0
0
LEGACY ACQUISITION CL A ORD
COM
524643103
1
130
SH
SOLE
130
0
0
LENNAR CL A ORD
COM
526057104
115
1410
SH
SOLE
1410
0
0
LENNAR CL B ORD
COM
526057302
43
660
SH
SOLE
660
0
0
LEVI STRAUSS CL A ORD
COM
52736R102
21
1600
SH
SOLE
1600
0
0
LGL SYSTEMS ACQUISITION CL A ORD
COM
50201G106
0
10
SH
SOLE
10
0
0
LGL SYSTEMS ACQUISITION UNT
COM
50201G205
2
276
SH
SOLE
276
0
0
LIBERTY HEALTH SCIENCES ORD
COM
530562107
146
400000
SH
SOLE
400000
0
0
LIBERTY MEDIA FORMULA ONE SRS A ORD
COM
531229870
16
500
SH
SOLE
500
0
0
LIBRTY MEDIA LRTY SIRIUSXM SRS C ORD
COM
531229607
24
750
SH
SOLE
750
0
0
LIVENT ORD
COM
53814L108
0
97
SH
SOLE
97
0
0
LIVONGO HEALTH ORD
COM
539183103
33
240
SH
SOLE
240
0
0
LLOYDS BANKING GROUP ADR 4 ORD
SPONSORED ADR
539439109
5293
4072020
SH
SOLE
4072020
0
0
LMP AUTOMOTIVE HOLDINGS ORD
COM
53952P101
1769
65194
SH
SOLE
65194
0
0
LOGICBIO THERAPEUTICS ORD
COM
54142F102
56
6200
SH
SOLE
6200
0
0
LOGITECH N ORD
COM
H50430232
1167
15100
SH
SOLE
15100
0
0
LONGWEI PETROLEUM INVEST HOLDING ORD
COM
543354104
0
5000
SH
SOLE
5000
0
0
LUCKIN COFFEE ADR REP 8 ORD
SPONSORED ADR
54951L109
1
400
SH
SOLE
400
0
0
MACQUARIE INFRASTRUCTURE ORD
COM
55608B105
134
5000
SH
SOLE
5000
0
0
MAGNITE ORD
COM
55955D100
1158
166860
SH
SOLE
166860
0
0
MAIDEN HOLDINGS LTD
COM
560292302
280
14131
SH
SOLE
14131
0
0
MALACCA STRAITS ACQUISITION COMP UNT
COM
G5859B125
8
900
SH
SOLE
900
0
0
MARVELL TECHNOLOGY GROUP ORD
COM
G5876H105
27
701
SH
SOLE
701
0
0
MAXAR TECHNOLOGIES ORD
COM
57778K105
1709
68564
SH
SOLE
68564
0
0
MERCADOLIBRE ORD
COM
58733R102
20
19
SH
SOLE
19
0
0
MERSANA THERAPEUTICS ORD
COM
59045L106
3720
199800
SH
SOLE
199800
0
0
MESOBLAST ADR REP 5 ORD
SPONSORED ADR
590717104
642
34600
SH
SOLE
34600
0
0
METACRINE ORD
COM
59101E103
4
400
SH
SOLE
400
0
0
MGM RESORTS INTERNATIONAL ORD
COM
552953101
4
200
SH
SOLE
200
0
0
MICROSOFT ORD
COM
594918104
45
215
SH
SOLE
215
0
0
MILLICOM INTERNATIONAL CELLULAR ORD
COM
L6388F110
1749
57783
SH
SOLE
57783
0
0
MOMENTA PHARMACEUTICALS ORD (NMS)
COM
60877T100
5
100
SH
Call
SOLE
100
0
0
MONEYGRAM INTERNATIONAL ORD
COM
60935Y208
0
200
SH
SOLE
200
0
0
MOTUS GI HOLDINGS ORD
COM
62014P108
0
300
SH
SOLE
300
0
0
MSC INDUSTRIAL CL A ORD
COM
553530106
11
180
SH
SOLE
180
0
0
MUSTANG BIO ORD
COM
62818Q104
945
300000
SH
SOLE
300000
0
0
NANO DIMENSION 1 ADR REP ORD
SPONSORED ADR
63008G203
0
100
SH
SOLE
100
0
0
NANTKWEST ORD
COM
63016Q102
41
6000
SH
SOLE
6000
0
0
NATIONAL RETAIL PROPERTIES REIT ORD
COM
637417106
3
112
SH
SOLE
112
0
0
NESCO HOLDINGS ORD
COM
64083J104
0
100
SH
SOLE
100
0
0
NETEASE ADR
COM
64110W102
185
2036
SH
SOLE
2036
0
0
NETFIN ACQUISITION CL A ORD
COM
G6455A107
1785
172200
SH
SOLE
172200
0
0
NETFLIX ORD
COM
64110L106
27
55
SH
SOLE
55
0
0
NEUBASE THERAPEUTICS ORD
COM
64132K102
113
15000
SH
SOLE
15000
0
0
NEUROTROPE ORD
COM
64129T207
27
25000
SH
SOLE
25000
0
0
NEVRO ORD
COM
64157F103
1253
9000
SH
SOLE
9000
0
0
NEW PROVIDENCE ACQUISITION CL A ORD
COM
64822P106
1167
115965
SH
SOLE
115965
0
0
NEW PROVIDENCE ACQUISITION UNT
COM
64822P205
3
332
SH
SOLE
332
0
0
NIKOLA ORD
COM
654110105
1
50
SH
SOLE
50
0
0
NIO ADS REP 1 CL A ORD
COM
62914V106
190
9000
SH
DFND
9000
0
0
NIPPON TELEGRPH SPON ADR REP ORD
SPONSORED ADR
654624105
44
2177
SH
SOLE
2177
0
0
NORWEGIAN CRUISE LINE HOLDINGS ORD
COM
G66721104
342
20000
SH
SOLE
20000
0
0
NOVARTIS ADR REPSG 1 ORD
SPONSORED ADR
66987V109
434
5000
SH
SOLE
5000
0
0
NOVO NORDISK ADR REPSG 1 ORD
SPONSORED ADR
670100205
1270
18300
SH
SOLE
18300
0
0
NUANCE COMMUNICATIONS ORD
COM
67020Y100
497
15000
SH
SOLE
15000
0
0
NUTANIX CL A ORD
COM
67059N108
190
8600
SH
SOLE
8600
0
0
NXP SEMICONDUCTORS ORD
COM
N6596X109
14
120
SH
SOLE
120
0
0
OAKTREE ACQUISITION CL A ORD
COM
G67145105
3539
301256
SH
SOLE
301256
0
0
OAKTREE ACQUISITION CL A RED UNT
COM
G67145121
2
200
SH
SOLE
200
0
0
OCCIDENTAL PETROLEUM ORD
COM
674599105
3
300
SH
SOLE
300
0
0
OCCIDENTAL PETROLEUM ORD
COM
674599105
2
250
SH
Call
SOLE
250
0
0
ON DECK CAPITAL ORD
COM
682163100
22
14000
SH
SOLE
14000
0
0
ONESPAWORLD HOLDINGS LTD
COM
P73684105
0
300
SH
SOLE
300
0
0
ORISUN ACQUISITION ORD
COM
68632T109
3
297
SH
SOLE
297
0
0
ORPHAZYME A S ADR
COM
687305102
96
9300
SH
SOLE
9300
0
0
PERSHING SQUARE TONTINE HLD CL A ORD
COM
71531R109
509
22453
SH
DFND
22453
0
0
PETROCHINA ADR REPSNTG 100 H ORD
SPONSORED ADR
71646E100
382
13000
SH
SOLE
13000
0
0
PETROLEO BRASILEIRO ADR REPSTG 2 ORD
SPONSORED ADR
71654V408
9
1300
SH
SOLE
1300
0
0
PFIZER ORD
COM
717081103
2
62
SH
Call
SOLE
62
0
0
PINDUODUO ADR REP 4 ORD
SPONSORED ADR
722304102
137
1852
SH
SOLE
1852
0
0
PINTEREST CL A ORD
COM
72352L106
273
6600
SH
SOLE
6600
0
0
PIVOTAL INVESTMENT CL A ORD
COM
72582K100
115
10000
SH
SOLE
10000
0
0
PJSC LUKOIL SPONSORED ADR
COM
69343P105
5
100
SH
SOLE
100
0
0
PMV CONSUMER ACQUISITION UNT
COM
693486201
3
400
SH
SOLE
400
0
0
PRIME IMPACT ACQUISITION I UNT
COM
G61074111
6
600
SH
SOLE
600
0
0
PRIMO WATER ORD
COM
74167P108
710
50000
SH
SOLE
50000
0
0
PROPTECH ACQUISITION CL A ORD
COM
74349F101
2
200
SH
SOLE
200
0
0
PRUDENTIAL ADR REPSTG 2 ORD
SPONSORED ADR
74435K204
179
6294
SH
SOLE
6294
0
0
QORVO ORD
COM
74736K101
20
160
SH
SOLE
160
0
0
QUOTIENT ORD
COM
G73268107
137
26700
SH
SOLE
26700
0
0
QURATE RETAIL 8 0 PRF
COM
74915M308
8865
90000
SH
SOLE
90000
0
0
RAVEN INDUSTRIES ORD
COM
754212108
6
288
SH
SOLE
288
0
0
REINVENT TECHNOLOGY PARTNERS UNT
COM
G7483N111
1
100
SH
SOLE
100
0
0
RELX ADR REP ORD
SPONSORED ADR
759530108
36
1622
SH
SOLE
1622
0
0
REPLAY ACQUISITION ORD
COM
G75130107
20
2008
SH
SOLE
2008
0
0
REPLAY ACQUISITION UNT
COM
G75130123
75
7100
SH
SOLE
7100
0
0
RESMED ORD
COM
761152107
10
64
SH
SOLE
64
0
0
REWALK ROBOTICS LTD
COM
M8216Q200
0
120
SH
SOLE
120
0
0
RMG ACQUISITION CL A ORD
COM
749641106
2302
215396
SH
SOLE
215396
0
0
ROYAL CARIBBEAN GROUP ORD
COM
V7780T103
3
55
SH
Put
SOLE
55
0
0
ROYAL DUTCH SHELL ADR REP 2 CL A ORD
SPONSORED ADR
780259206
594
23600
SH
SOLE
23600
0
0
ROYAL DUTCH SHELL ADR REP 2 CL B ORD
SPONSORED ADR
780259107
16
700
SH
SOLE
700
0
0
RUSH ENTERPRISES CL B ORD
COM
781846308
148
3357
SH
SOLE
3357
0
0
SALESFORCE.COM ORD
COM
79466L302
1825
7265
SH
SOLE
7265
0
0
SANOFI ADR REP 1 1/2 ORD
SPONSORED ADR
80105N105
8
165
SH
Call
SOLE
165
0
0
SAP ADR REP 1 ORD
SPONSORED ADR
803054204
152
976
SH
SOLE
976
0
0
SASOL ADR REP 1 ORD
SPONSORED ADR
803866300
1461
192279
SH
SOLE
192279
0
0
SCULLY ROYALTY ORD
COM
G7T96K107
145
29613
SH
SOLE
29613
0
0
SEQUANS COMMUNICATIONS ADR REP 4 ORD
SPONSORED ADR
817323207
1462
244985
SH
SOLE
244985
0
0
SIBANYE STILLWATER ADR REP 4 ORD
SPONSORED ADR
82575P107
1850
166100
SH
SOLE
166100
0
0
SILVER SPIKE ACQUISITION CL A ORD
COM
G8136L106
773
76331
SH
SOLE
76331
0
0
SILVER SPIKE ACQUISITION UNT
COM
G8136L122
6
600
SH
SOLE
600
0
0
SKYLINE CHAMPION ORD
COM
830830105
1245
46512
SH
SOLE
46512
0
0
SLACK TECHNOLOGIES CL A ORD
COM
83088V102
32
1200
SH
SOLE
1200
0
0
SOCIAL CAPITAL HEDOSOPH RED UNT
COM
G8251K123
103
7500
SH
SOLE
7500
0
0
SOCIAL CAPITAL HEDOSOPHIA HOLDINGS CORP III
COM
G8251K107
829
66600
SH
SOLE
66600
0
0
SOCIAL CAPITAL HEDOSPH HLD CL A ORD
COM
G8250T109
2671
140674
SH
SOLE
140674
0
0
SOFTBANK GROUP UNSPONSORED ADR
COM
83404D109
362
11800
SH
SOLE
11800
0
0
SOFTWARE ACQUISITION GROUP CL A ORD
COM
83406B101
1229
123405
SH
SOLE
123405
0
0
SOLIGENIX ORD
COM
834223307
160
89500
SH
SOLE
89500
0
0
SONOS ORD
COM
83570H108
1819
119879
SH
SOLE
119879
0
0
SONY ADR REP 1 ORD
SPONSORED ADR
835699307
0
1
SH
SOLE
1
0
0
SOUTH MOUNTAIN MERGER CL A ORD
COM
838884104
837
80164
SH
SOLE
80164
0
0
SOUTH MOUNTAIN MERGER UNT
COM
838884203
0
17
SH
SOLE
17
0
0
SPARTAN ENERGY ACQUISITION CL A ORD
COM
846784106
1219
84591
SH
SOLE
84591
0
0
SPDR GOLD SHARES ETF
COM
78463V107
17
100
SH
SOLE
100
0
0
SPDR GOLD SHARES ETF
COM
78463V107
315
1780
SH
Call
SOLE
1780
0
0
SPDR S&P 500 ETF
COM
78462F103
0
1
SH
Call
DFND
1
0
0
SPDR S&P 500 ETF
COM
78462F103
74
222
SH
Put
DFND
222
0
0
SPDR S&P OIL & GAS EXPL & PROD ETF
COM
78468R556
29
701
SH
Call
SOLE
701
0
0
SPDR S&P REGIONAL BANKING ETF
COM
78464A698
1366
38300
SH
SOLE
38300
0
0
SPLUNK ORD
COM
848637104
22
120
SH
SOLE
120
0
0
SPORTSMANS WAREHOUSE HOLDINGS ORD
COM
84920Y106
2203
154013
SH
SOLE
154013
0
0
SPROTT PHYSICAL SILVER ETV
COM
85207K107
422
51114
SH
SOLE
51114
0
0
SQUARE CL A ORD
COM
852234103
108
670
SH
SOLE
670
0
0
STABLE ROAD ACQUISITION CL A ORD
COM
85236Q109
904
89701
SH
SOLE
89701
0
0
STAR BULK CARRIERS ORD
COM
Y8162K204
17
2500
SH
SOLE
2500
0
0
STMICROELECTRONICS ADR
COM
861012102
276
9000
SH
SOLE
9000
0
0
STRATASYS ORD
COM
M85548101
56
4554
SH
SOLE
4554
0
0
SUBVERSIVE CPTL ACQUSTN WRT 08/26/2024
COM
864296116
30
50000
SH
SOLE
50000
0
0
SUBVERSIVE REAL EST ACQN REIT RTS
COM
864298112
32
50500
SH
SOLE
50500
0
0
SUMO LOGIC ORD
COM
86646P103
14
688
SH
SOLE
688
0
0
SUNDIAL GROWERS ORD
COM
86730L109
9
38000
SH
SOLE
38000
0
0
SUNNOVA ENERGY INTERNATIONAL ORD
COM
86745K104
60
2000
SH
SOLE
2000
0
0
SURO CAPITAL ORD
COM
86887Q109
0
84
SH
Call
SOLE
84
0
0
SUSTAINABLE OPPORT ACQ CL A ORD
COM
G8598Y109
3
300
SH
SOLE
300
0
0
SUSTAINABLE OPPORTUNITI UNT
COM
G8598Y125
7
700
SH
SOLE
700
0
0
SWITCHBACK ENERGY ACQUISITI CL A ORD
COM
87105M102
2913
186731
SH
SOLE
186731
0
0
SWITCHBACK ENERGY ACQUISITI UNT
COM
87105M201
8
505
SH
SOLE
505
0
0
TAIWAN SEMICONDUCTOR MNFTG ADR 5 ORD
SPONSORED ADR
874039100
20
250
SH
SOLE
250
0
0
TAKEDA PHARMA ADR REP 0.5 ORD
SPONSORED ADR
874060205
913
51200
SH
SOLE
51200
0
0
TARGET ORD
COM
87612E106
417
2650
SH
SOLE
2650
0
0
TATA MOTORS ADR REPSG 5 ORD (NYS)
COM
876568502
1
200
SH
Put
SOLE
200
0
0
TAUBMAN CNTR REIT ORD
COM
876664103
5
180
SH
SOLE
180
0
0
TECHNIPFMC ORD
COM
G87110105
66
10600
SH
SOLE
10600
0
0
TEGNA ORD
COM
87901J105
1
160
SH
SOLE
160
0
0
TEKLA LIFE SCIENCES INVESTORS CF
COM
87911K100
0
6
SH
SOLE
6
0
0
TELADOC HEALTH ORD
COM
87918A105
0
3
SH
Call
SOLE
3
0
0
TELIA COMPANY ADR
COM
87960M205
4
554
SH
SOLE
554
0
0
TENARIS ADR REP 2 ORD
SPONSORED ADR
88031M109
2124
215700
SH
SOLE
215700
0
0
TERRASCEND ORD
COM
88105E108
172
40000
SH
SOLE
40000
0
0
THUNDER BRIDGE ACQUISITION II LTD
COM
G8857S116
550
54000
SH
SOLE
54000
0
0
TIANRONG INTERNET PRODUCTS SER ORD
COM
886307107
0
200
SH
SOLE
200
0
0
TIDELANDS OIL AND GAS ORD
COM
886405109
0
526323
SH
SOLE
526323
0
0
TILRAY CL 2 ORD
COM
88688T100
4
1000
SH
SOLE
1000
0
0
TILRAY CL 2 ORD
COM
88688T100
0
70
SH
Call
SOLE
70
0
0
TORTOISE ACQUISITION II UNT
COM
G89554110
2
200
SH
SOLE
200
0
0
TORTOISE PIPELINE AND ENERGY CF
COM
89148H207
0
1
SH
SOLE
1
0
0
TRILLIUM THERAPEUTICS ORD
COM
89620X506
284
20000
SH
SOLE
20000
0
0
TRIMBLE ORD
COM
896239100
43
888
SH
SOLE
888
0
0
TRINE ACQUISITION CL A ORD
COM
89628U108
3053
282710
SH
SOLE
282710
0
0
TRINE ACQUISITION CL A RED UNT
COM
89628U207
23
1970
SH
SOLE
1970
0
0
TRITON INTL 6 875 SRS D RED PRP PRF
COM
G9078F206
55
2300
SH
SOLE
2300
0
0
TRULIEVE CANNABIS CORP
COM
89788C104
1458
78836
SH
SOLE
78836
0
0
TSAKOS ENRG NVGT CM RD PRP SRS F PRF
COM
G9108L165
48
2439
SH
SOLE
2439
0
0
TURKCELL ILETISIM ADR REP 2.5 ORD
SPONSORED ADR
900111204
340
71170
SH
SOLE
71170
0
0
TURNING POINT BRANDS ORD
COM
90041L105
8
309
SH
SOLE
309
0
0
TUSCAN HOLDINGS CORP II
COM
90070A103
3
362
SH
SOLE
362
0
0
TUSCAN HOLDINGS ORD
COM
90069K104
514
50550
SH
SOLE
50550
0
0
TUSCAN HOLDINGS UNT
COM
90069K203
5
500
SH
SOLE
500
0
0
TWC TECH HLDG II UNT
COM
90117G204
1
100
SH
SOLE
100
0
0
TWILIO CL A ORD
COM
90138F102
370
1500
SH
SOLE
1500
0
0
TWITTER ORD
COM
90184L102
22
501
SH
SOLE
501
0
0
TWITTER ORD
COM
90184L102
0
4
SH
Call
SOLE
4
0
0
UNITED AIRLINES HOLDINGS ORD
COM
910047109
73
2115
SH
SOLE
2115
0
0
UNITED STATES OIL ETF (PSE)
COM
91232N207
12
450
SH
Call
SOLE
450
0
0
URSTADT BIDDLE CL A REIT ORD
COM
917286205
92
10000
SH
SOLE
10000
0
0
US STEEL ORD
COM
912909108
32
4400
SH
SOLE
4400
0
0
USA TECHNOLOGIES ORD
COM
90328S500
574
65665
SH
SOLE
65665
0
0
VANECK VECTORS GOLD MINERS ETF
COM
92189F106
98
2521
SH
SOLE
2521
0
0
VANECK VECTORS SEMICONDUCTOR ETF
COM
92189F676
8
50
SH
Put
SOLE
50
0
0
VARIAN MEDICAL SYSTEMS ORD
COM
92220P105
27
160
SH
SOLE
160
0
0
VBI VACCINES ORD
COM
91822J103
54
19000
SH
SOLE
19000
0
0
VESPER HEALTHCARE ACQ UNT
COM
92538T203
2
200
SH
SOLE
200
0
0
VIEWRAY ORD
COM
92672L107
35
10000
SH
SOLE
10000
0
0
VIKING THERAPEUTICS ORD
COM
92686J106
1
220
SH
SOLE
220
0
0
VILLAGE FARMS INTERNATIONAL ORD
COM
92707Y108
69
15175
SH
SOLE
15175
0
0
VILLAGE FARMS INTERNATIONAL ORD
COM
92707Y108
0
34
SH
Call
SOLE
34
0
0
VINCE HOLDING ORD
COM
92719W207
676
125000
SH
SOLE
125000
0
0
VIRGIN GALACTIC HOLDINGS CL A ORD
COM
92766K106
9
500
SH
SOLE
500
0
0
VIRTUSA ORD
COM
92827P102
983
20000
SH
SOLE
20000
0
0
VISA CL A ORD
COM
92826C839
10
55
SH
SOLE
55
0
0
VISTA OIL GAS ADR REP SRS A ORD
SPONSORED ADR
92837L109
360
160157
SH
SOLE
160157
0
0
VISTA OUTDOOR ORD
COM
928377100
265
13165
SH
SOLE
13165
0
0
VISTRA ORD
COM
92840M102
471
25000
SH
SOLE
25000
0
0
VITRU ORD
COM
G9440D103
184
14233
SH
SOLE
14233
0
0
WALGREEN BOOTS ALLIANCE ORD
COM
931427108
3
100
SH
SOLE
100
0
0
WALMART ORD
COM
931142103
48
350
SH
SOLE
350
0
0
WESCO INTERL 1000 DS RP 1 SRS A PRF
COM
95082P303
406
14500
SH
SOLE
14500
0
0
WESTERN DIGITAL ORD
COM
958102105
529
14496
SH
SOLE
14496
0
0
WESTERN DIGITAL ORD
COM
958102105
0
14
SH
Call
SOLE
14
0
0
WESTPAC BANKING ADR REP 1 ORD
SPONSORED ADR
961214301
0
3
SH
SOLE
3
0
0
WHOLE EARTH BRANDS CL A ORD
COM
96684W100
2
240
SH
SOLE
240
0
0
WISDOMTREE JAPAN HEDGED EQUITY ETF
COM
97717W851
1
40
SH
Put
SOLE
40
0
0
XEROX HOLDINGS ORD
COM
98421M106
1
100
SH
SOLE
100
0
0
XP CL A ORD
COM
G98239109
41
1000
SH
SOLE
1000
0
0
XPENG ADR
COM
98422D105
90
4500
SH
DFND
4500
0
0
XPERI HOLDING ORD
COM
98390M103
639
55626
SH
SOLE
55626
0
0
YALLA GROUP ADR REP CL A ORD
SPONSORED ADR
98459U103
3
500
SH
SOLE
500
0
0
ZILLOW GROUP CL C ORD
COM
98954M200
15
150
SH
SOLE
150
0
0
ZOGENIX ORD
COM
98978L204
242
13500
SH
SOLE
13500
0
0