0001742998-21-000006.txt : 20210714 0001742998-21-000006.hdr.sgml : 20210714 20210714101418 ACCESSION NUMBER: 0001742998-21-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210714 DATE AS OF CHANGE: 20210714 EFFECTIVENESS DATE: 20210714 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: 211089433 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 LIVE false true false 0001742998 XXXXXXXX 06-30-2021 06-30-2021 FNY Investment Advisers, LLC

90 PARK AVENUE, 5TH FLOOR NEW YORK NY 10016

13F HOLDINGS REPORT 028-18846 N Shawn Fischman 212-331-6872 Shawn Fischman New York NY 07-14-2021 1 821 250905 false 1 0001589689 MYDA Advisors LLC INFORMATION TABLE 2 FNYIA.xml FNYIAQ22021 22ND CENTURY GROUP ORD COM 90137F103 773 167000 SH SOLE 167000 0 0 22ND CENTURY GROUP ORD COM 90137F103 2 480 SH Call SOLE 480 0 0 23ANDME HOLDING CL A ORD COM 90138Q108 2 200 SH SOLE 200 0 0 26 CAPITAL ACQUISITION UNT COM 90138P209 1 100 SH SOLE 100 0 0 890 5TH AVENUE PARTNERS UNT COM 28250A204 14 1400 SH SOLE 1400 0 0 ABERDEEN ASIA PACIFIC INCOME CF COM 003009107 44 10000 SH SOLE 10000 0 0 ABERDEEN GLOBAL PREMIER PROPERTIE CF COM 00302L108 127 20000 SH SOLE 20000 0 0 ABERDEEN INCOME CREDIT STRAT RTS WI COM 003057122 0 1500 SH SOLE 1500 0 0 ABERDEEN STNDRD GLB INFR INCM NAV CF COM 00326W106 64 3000 SH SOLE 3000 0 0 ABERDEEN TOTAL DYNAMIC DIVIDEND CF COM 00326L100 71 7000 SH SOLE 7000 0 0 ACCELERATE ACQUISITION UNT COM 00439D201 6 681 SH SOLE 681 0 0 ACON S2 ACQUISITION CL A ORD COM G00748106 99 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GROWGENERATION ORD COM 39986L109 0 10 SH Call SOLE 10 0 0 GROWTH CAPITAL ACQUISITION UNT COM 39986V206 100 10000 SH SOLE 10000 0 0 GRUPO FINANCIERO ADR REP 10 CL B ORD SPONSORED ADR 399909100 58 6739 SH SOLE 6739 0 0 GS ACQUISITION HOLDINGS II CL A ORD COM 36258Q105 654 62945 SH SOLE 62945 0 0 GS ACQUISITION HOLDINGS UNT COM 36258Q204 1 100 SH SOLE 100 0 0 HARMONIC ORD COM 413160102 880 103400 SH SOLE 103400 0 0 HEALTH SCIENCES ACQUISITIONS ORD COM G4411D109 51 5000 SH SOLE 5000 0 0 HEALTHCOR CATALIO ACQUISTN CL A ORD COM G44125105 677 68793 SH SOLE 68793 0 0 HEALTHEQUITY ORD COM 42226A107 652 8110 SH SOLE 8110 0 0 HEICO ORD COM 422806109 379 2720 SH SOLE 2720 0 0 HENNESSY CAPITAL INVESTMENT CL A ORD COM 42589T107 3845 380384 SH SOLE 380384 0 0 HERCULES CAPITAL ORD COM 427096508 68 4000 SH SOLE 4000 0 0 HERITAGE SOUTHEAST BANCORPORATIO ORD (PNK) COM 42727V105 51 2000 SH SOLE 2000 0 0 HERSHEY FOODS ORD COM 427866108 17 101 SH Call SOLE 101 0 0 HEXO ORD COM 428304307 24 4200 SH SOLE 4200 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66573W107 1 149 SH Call SOLE 149 0 0 NOVAGOLD RESOURCES ORD COM 66987E206 3 400 SH SOLE 400 0 0 NUANCE COMMUNICATIONS ORD COM 67020Y100 157 2900 SH SOLE 2900 0 0 NUMINUS WELLNESS ORD COM 67054W103 24 33700 SH SOLE 33700 0 0 NUTRIEN ORD COM 67077M108 1109 18300 SH SOLE 18300 0 0 NUTRIEN ORD COM 67077M108 43 716 SH Call SOLE 716 0 0 NUVEEN AMT FREE QLTY MNCPL INCM CF COM 670657105 125 8000 SH SOLE 8000 0 0 NUVEEN CLIFORNIA QULTY MNCPL INCM CF COM 67066Y105 79 5000 SH SOLE 5000 0 0 NUVEEN CREDIT STRATEGIES INCOME CF COM 67073D102 135 20000 SH SOLE 20000 0 0 NUVEEN DOW 30SM DYNAMIC OVRWRT CF COM 67075F105 85 5000 SH SOLE 5000 0 0 NUVEEN FLOATG RATE INCM OPPORTNTY CF COM 6706EN100 292 30000 SH SOLE 30000 0 0 NUVEEN MUNI HIGH INC OPPORTUNITY CF COM 670682103 153 10000 SH SOLE 10000 0 0 NUVEEN MUNICIPAL CREDIT OPPORTUN CF COM 670663103 217 14076 SH SOLE 14076 0 0 NUVEEN NY AMT FREE QLT MNCPL INCM CF COM 670656107 113 8000 SH SOLE 8000 0 0 NUVEEN PREF AND INCM SECURITIES CF COM 67072C105 79 8000 SH SOLE 8000 0 0 NUVEEN PREFERRED AND INCM OPP CF COM 67073B106 79 8000 SH SOLE 8000 0 0 NUVEEN QUALITY MUNICIPAL INCM CF COM 67066V101 144 9000 SH SOLE 9000 0 0 NUVEEN REAL ESTATE INCOME CF COM 67071B108 55 5000 SH SOLE 5000 0 0 NUVEEN SENIOR INCOME CF COM 67067Y104 112 19100 SH SOLE 19100 0 0 NUVEEN SHORT DURATION CREDIT CF COM 67074X107 44 3000 SH SOLE 3000 0 0 NUVEEN TAXABLE MUNICIPAL INCM NAV CF COM 67074C103 81 3500 SH SOLE 3500 0 0 NVIDIA ORD COM 67066G104 2120 2650 SH SOLE 2650 0 0 NVIDIA ORD COM 67066G104 8 10 SH Put SOLE 10 0 0 OAK STREET HEALTH ORD COM 67181A107 49 842 SH SOLE 842 0 0 OAKTREE SPECIALTY LENDING ORD COM 67401P108 66 10000 SH SOLE 10000 0 0 OATLY GROUP ADS REP ORD COM 67421J108 2 100 SH SOLE 100 0 0 ONE CL A ORD COM G7000X105 5 550 SH SOLE 550 0 0 ONE EQUITY PARTNERS OPEN WATER I UNT COM 68237L204 250 25000 SH SOLE 25000 0 0 OPENDOOR TECHNOLOGIES ORD COM 683712103 177 10000 SH SOLE 10000 0 0 ORACLE ORD COM 68389X105 7 100 SH SOLE 100 0 0 ORGANON ORD (NYS) COM 68622V106 8 270 SH Call SOLE 270 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 1001 122163 SH SOLE 122163 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 1 142 SH Call SOLE 142 0 0 ORIGIN MATERIALS CL A ORD COM 68622D106 6 801 SH Put SOLE 801 0 0 ORPHAZYME A S ADR COM 687305102 0 100 SH Put SOLE 100 0 0 OSPREY TECHNOLOGY ACQUISITI CL A ORD COM 68839R104 3966 397000 SH SOLE 397000 0 0 OSPREY TECHNOLOGY ACQUISITI CL A ORD COM 68839R104 8 872 SH Call SOLE 872 0 0 OUSTER INC WRT EXP 10/09/2025 COM 68989M111 64 17616 SH SOLE 17616 0 0 OWL ROCK CAPITAL ORD COM 69121K104 42 3000 SH SOLE 3000 0 0 OXFORD LANE CAPITAL ORD COM 691543102 74 10000 SH SOLE 10000 0 0 PAR TECHNOLOGY ORD COM 698884103 1092 15617 SH SOLE 15617 0 0 PAYONEER GLOBAL ORD COM 70451X104 33 3200 SH SOLE 3200 0 0 PAYONEER GLOBAL ORD COM 70451X104 5 500 SH Call SOLE 500 0 0 PAYONEER GLOBAL ORD COM 70451X104 5 540 SH Put SOLE 540 0 0 PENN NATIONAL GAMING ORD COM 707569109 2 30 SH SOLE 30 0 0 PERIDOT ACQUISITION CL A ORD COM G7008A115 209 17200 SH SOLE 17200 0 0 PERSHING ORD COM G7016V101 109 3000 SH SOLE 3000 0 0 PERSHING SQUARE TONTINE HLD CL A ORD COM 71531R109 15 680 SH SOLE 680 0 0 PETROLEO BRASILEIRO ADR REPSTG 2 ORD SPONSORED ADR 71654V408 2 200 SH SOLE 200 0 0 PFIZER ORD COM 717081103 7 200 SH SOLE 200 0 0 PG&E ORD COM 69331C108 4 400 SH SOLE 400 0 0 PGIM HIGH YIELD BOND CF COM 69346H100 105 6500 SH SOLE 6500 0 0 PIMCO ENRG TCTCL CRT OPPO CF COM 69346N107 125 10000 SH SOLE 10000 0 0 PINDUODUO ADR REP 4 ORD SPONSORED ADR 722304102 190 1500 SH SOLE 1500 0 0 PINE ISLAND ACQ CL A ORD COM 722615101 48 5000 SH SOLE 5000 0 0 PIONEER DIVERSIFIED HIGH INCM CF COM 723653101 75 5000 SH SOLE 5000 0 0 PITNEY BOWES ORD COM 724479100 1183 135000 SH SOLE 135000 0 0 PLANTX LIFE ORD COM 72750P105 18 46950 SH SOLE 46950 0 0 PLAYSTUDIOS CL A ORD COM 72815G108 1 200 SH SOLE 200 0 0 PMV CONSUMER ACQUISITION UNT COM 693486201 6 600 SH SOLE 600 0 0 POWERED BRANDS UNT COM G7209M124 17 1750 SH SOLE 1750 0 0 PRIME IMPACT ACQUISITION I CL A ORD COM G61074103 497 51060 SH SOLE 51060 0 0 PRIME IMPACT ACQUISITION I UNT COM G61074111 6 600 SH SOLE 600 0 0 PRINCIPAL REAL ESTATE INCOME CF COM 74255X104 60 4000 SH SOLE 4000 0 0 PROCTER & GAMBLE ORD COM 742718109 10 75 SH Put SOLE 75 0 0 PROOFPOINT ORD COM 743424103 815 4695 SH SOLE 4695 0 0 PROSHARES SHORT QQQ ETF COM 74347B714 4 400 SH SOLE 400 0 0 PROSHARES SHORT VIX SHORT TERM ETF COM 74347W130 151 2734 SH SOLE 2734 0 0 PROSHARES ULTRA S&P 500 ETF COM 74347R107 50 425 SH SOLE 425 0 0 PROSHARES ULTRA VIX SHORT TERM ETF (BAT) COM 74347Y839 13 500 SH Put SOLE 500 0 0 PROSHARES ULTRASHORT S&P 500 ETF COM 74347B383 2 300 SH SOLE 300 0 0 PROSHRES ULTRASHT 20 PLS YR TRSY ETF COM 74347B201 9 500 SH SOLE 500 0 0 PUBMATIC CL A ORD COM 74467Q103 56 1443 SH SOLE 1443 0 0 PURECYCLE TECHNOLOGIES ORD COM 74623V103 890 37650 SH SOLE 37650 0 0 QORVO ORD COM 74736K101 195 1000 SH SOLE 1000 0 0 QTS REALTY CL A REIT ORD COM 74736A103 773 10000 SH SOLE 10000 0 0 QUALCOMM ORD COM 747525103 643 4500 SH SOLE 4500 0 0 QUANTUM SI CL A ORD COM 74765K105 42 3492 SH SOLE 3492 0 0 QUOTIENT ORD COM G73268107 24 6645 SH SOLE 6645 0 0 QURATE RETAIL 8 0 PRF COM 74915M308 2598 24000 SH SOLE 24000 0 0 REALTY INCOME REIT ORD COM 756109104 1 16 SH SOLE 16 0 0 RECHARGE ACQUISITION CL A ORD COM 756229100 22 2248 SH SOLE 2248 0 0 RECRUITER.COM GROUP ORD COM 75630B303 0 180 SH SOLE 180 0 0 REDBALL ACQUISITION CL A ORD COM G7417R105 205 21000 SH SOLE 21000 0 0 REINVENT TECHNOLOGY PARTNER CL A ORD COM G7483N129 2 300 SH SOLE 300 0 0 REINVENT TECHNOLOGY PARTNERS UNT COM G7483N111 1 125 SH SOLE 125 0 0 REINVENT TECHNOLOGY UNT COM G74847123 1 100 SH SOLE 100 0 0 REKOR SYSTEMS ORD (NMS) COM 759419104 2 235 SH Call SOLE 235 0 0 RESMED ORD COM 761152107 919 3730 SH SOLE 3730 0 0 REVIVE THERAPEUTICS ORD COM 761516103 24 52200 SH SOLE 52200 0 0 REVOLUTION ACCELERATION UNT COM 76156P205 1 100 SH SOLE 100 0 0 REWALK ROBOTICS LTD COM M8216Q200 0 120 SH SOLE 120 0 0 RH ORD COM 74967X103 74 109 SH SOLE 109 0 0 RIOT BLOCKCHAIN ORD COM 767292105 9 250 SH Put SOLE 250 0 0 RIVERNORTH FLEXIBLE MUNICIPAL IN ORD COM 76883H104 82 3500 SH SOLE 3500 0 0 RIVERNORTH OPPORTUNI MUN INC NAV CF COM 76883F108 64 2800 SH SOLE 2800 0 0 RIVERNORTH SPECIALTY FINANCE NAC CF COM 76882B108 49 2500 SH SOLE 2500 0 0 RMG ACQUISITION II CL A ORD COM G76083107 3053 306851 SH SOLE 306851 0 0 RMG ACQUISITION II CL A ORD COM G76083107 7 750 SH Call SOLE 750 0 0 ROBLOX CL A ORD COM 771049103 95 1057 SH SOLE 1057 0 0 ROOT CL A ORD COM 77664L108 4 400 SH SOLE 400 0 0 ROTH CH ACQUISITION II ORD COM 778673103 198 20000 SH SOLE 20000 0 0 ROYAL DUTCH SHELL ADR REP 2 CL A ORD SPONSORED ADR 780259206 1607 39800 SH SOLE 39800 0 0 ROYAL DUTCH SHELL ADR REP 2 CL B ORD SPONSORED ADR 780259107 11 300 SH SOLE 300 0 0 ROYAL GOLD ORD COM 780287108 1 10 SH SOLE 10 0 0 ROYCE MICRO CAPITAL CF COM 780915104 43 3500 SH SOLE 3500 0 0 ROYCE VALUE CF COM 780910105 113 6000 SH SOLE 6000 0 0 RUSH ENTERPRISES CL B ORD COM 781846308 119 3124 SH SOLE 3124 0 0 RYANAIR HOLDINGS ORD COM 783513203 645 5969 SH SOLE 5969 0 0 SABA CAPITAL INCOME OPPORTUNITIES CF COM 78518H103 60 12776 SH SOLE 12776 0 0 SALIENT MIDSTREAM & MLP CF COM 79471V105 59 10000 SH SOLE 10000 0 0 SANDBRIDGE ACQUISITION CL A ORD COM 799793104 11 1200 SH SOLE 1200 0 0 SANDERSON FARMS ORD (NMS) COM 800013104 29 155 SH Call SOLE 155 0 0 SCVX CL A ORD COM G79448208 59 6050 SH SOLE 6050 0 0 SEANERGY MARITIME HOLDINGS ORD COM Y73760301 4 4000 SH SOLE 4000 0 0 SEQUANS COMMUNICATIONS ADR REP 4 ORD SPONSORED ADR 817323207 283 47082 SH SOLE 47082 0 0 SEVEN OAKS ACQUISITION CL A ORD COM 81787X106 1 200 SH SOLE 200 0 0 SIBANYE STILLWATER ADR REP 4 ORD SPONSORED ADR 82575P107 267 15979 SH SOLE 15979 0 0 SIGNET JEWELERS ORD COM G81276100 106 1318 SH SOLE 1318 0 0 SILVERBOX ENGAGED MERGER I UNT COM 82836L200 1 100 SH SOLE 100 0 0 SIMON PROPERTY GROUP ACQUISITION UNT COM 82880R202 31 3137 SH SOLE 3137 0 0 SIXTH STREET SPECIALTY LENDING ORD COM 83012A109 88 4000 SH SOLE 4000 0 0 SKILLSOFT CL A ORD COM 83066P200 320 32500 SH SOLE 32500 0 0 SKILLZ CL A ORD COM 83067L109 1 50 SH SOLE 50 0 0 SKYLINE CHAMPION ORD COM 830830105 1841 34541 SH SOLE 34541 0 0 SLACK TECHNOLOGIES CL A ORD COM 83088V102 5067 114384 SH SOLE 114384 0 0 SLR SENIOR INVESTMENT ORD COM 83416M105 45 3000 SH SOLE 3000 0 0 SMILEDIRECTCLUB CL A ORD COM 83192H106 0 100 SH SOLE 100 0 0 SMITH NEPHEW ADR REP 2 ORD SPONSORED ADR 83175M205 1106 25471 SH SOLE 25471 0 0 SNOWFLAKE CL A ORD COM 833445109 1815 7510 SH SOLE 7510 0 0 SOARING EAGLE ACQUISITION CL A ORD COM G8354H126 11052 1109700 SH SOLE 1109700 0 0 SOARING EAGLE ACQUISITION UNT COM G8354H100 3 300 SH SOLE 300 0 0 SOCIAL CAP HEDOSOP HOLD IV CL A ORD COM G82514103 2 200 SH SOLE 200 0 0 SOCIAL CAP HEDOSOP HOLD VI CL A ORD COM G8251L105 33 3250 SH SOLE 3250 0 0 SOCIAL CAP SUVRETTA HLD II CL A ORD COM G8253U103 1 100 SH SOLE 100 0 0 SOCIAL CAPITAL HEDOSOPHIA VI UNT COM G8251L121 1 100 SH SOLE 100 0 0 SOCIAL LEVERAGE ACQUISI UNT COM 83363K201 8 900 SH SOLE 900 0 0 SOCIETE GENERALE FRANCE SPONSORE ADR (PNK) SPONSORED ADR 83364L109 180 30000 SH SOLE 30000 0 0 SOFI TECHNOLOGIES ORD COM 83406F102 1460 76200 SH SOLE 76200 0 0 SOFI TECHNOLOGIES ORD COM 83406F102 2 150 SH Call SOLE 150 0 0 SOFTWARE ACQUISITION GRP II CL A ORD COM 83407F101 19 2000 SH SOLE 2000 0 0 SONY GROUP ADR REP ORD SPONSORED ADR 835699307 330 3400 SH SOLE 3400 0 0 SPARTAN ACQUISITION CL A ORD COM 846775104 1025 102694 SH SOLE 102694 0 0 SPARTAN ACQUISITION CL A ORD COM 846775104 0 5 SH Put SOLE 5 0 0 SPARTAN ACQUISITION III UNT COM 84677R205 58 5850 SH SOLE 5850 0 0 SPDR GOLD SHARES ETF COM 78463V107 86 520 SH SOLE 520 0 0 SPDR S&P 500 ETF COM 78462F103 487 1140 SH Put SOLE 1140 0 0 SPECIAL OPPORTUNITIES CF COM 84741T104 75 5000 SH SOLE 5000 0 0 SPLASH BEVERAGE GROUP ORD COM 84862C203 378 104400 SH SOLE 104400 0 0 SPORTS ENTERTAINMENT ACQ CL A ORD COM 84918M106 27 2700 SH SOLE 2700 0 0 SPORTS VENTURES ACQUISITION CORP COM G8372A111 4 444 SH SOLE 444 0 0 STABLE ROAD ACQUISITION CL A ORD COM 85236Q109 77 5534 SH SOLE 5534 0 0 STABLE ROAD ACQUISITION CL A ORD COM 85236Q109 9 700 SH Call SOLE 700 0 0 STAR PEAK CL A ORD COM 855179107 0 100 SH SOLE 100 0 0 STARBOARD VALUE ACQUISITION CL A ORD COM 85521J109 3 300 SH SOLE 300 0 0 STEM HLDGS ORD COM 85858U107 20 55234 SH SOLE 55234 0 0 STEM ORD COM 85859N102 187 5200 SH SOLE 5200 0 0 STITCH FIX CL A ORD COM 860897107 180 3000 SH SOLE 3000 0 0 STONECO CL A ORD COM G85158106 0 10 SH SOLE 10 0 0 SUMITOMO MIT ADR REP 1/5TH OF ORD SPONSORED ADR 86562M209 310 45000 SH SOLE 45000 0 0 SUNDIAL GROWERS ORD COM 86730L109 0 630 SH Call SOLE 630 0 0 SUNRUN ORD COM 86771W105 37 675 SH SOLE 675 0 0 SUPERCOM ORD COM M87095119 1 1300 SH SOLE 1300 0 0 SUPERNOVA PARTNERS ACQ CO CL A ORD COM 86846V108 507 51063 SH SOLE 51063 0 0 SUSTAINABLE OPPORT ACQ CL A ORD COM G8598Y109 313 31458 SH SOLE 31458 0 0 SUSTAINABLE OPPORTUNITI UNT COM G8598Y125 1 145 SH SOLE 145 0 0 SVF INVESTMENT CL A ORD COM G8601L102 5 600 SH SOLE 600 0 0 SWITCHBACK II CL A ORD COM G8633T115 0 100 SH SOLE 100 0 0 SYNCHRONOSS TECHNOLOGIES ORD COM 87157B103 628 175000 SH SOLE 175000 0 0 SYNLOGIC ORD COM 87166L100 7 2000 SH SOLE 2000 0 0 TABOOLA.COM ORD (NMS) COM M8744T106 1 113 SH Call SOLE 113 0 0 TABOOLA.COM ORD (NMS) COM M8744T106 1 113 SH Put SOLE 113 0 0 TAILWIND ACQUISITION CL A ORD COM 87403Q102 15 1570 SH SOLE 1570 0 0 TAIWAN LIPOSOME COMPANY ADR COM 874038102 36 6233 SH SOLE 6233 0 0 TAIWAN SEMICONDUCTOR MNFTG ADR 5 ORD SPONSORED ADR 874039100 1 10 SH Call SOLE 10 0 0 TAKEDA PHARMA ADR REP 0.5 ORD SPONSORED ADR 874060205 2770 164610 SH SOLE 164610 0 0 TAL EDUCATION GRP 3 ADR REP CL A ORD SPONSORED ADR 874080104 2 100 SH SOLE 100 0 0 TALEND ADR REP ORD SPONSORED ADR 874224207 656 10000 SH SOLE 10000 0 0 TARONIS FUELS ORD COM 87621P209 29 4361 SH SOLE 4361 0 0 TATTOOED CHEF CL A ORD COM 87663X102 8 400 SH Put SOLE 400 0 0 TCG BDC ORD COM 872280102 26 2000 SH SOLE 2000 0 0 TECHNIP ENERGIES SPNS ADR REP ORD SPONSORED ADR 87854Y109 494 36239 SH SOLE 36239 0 0 TECHNIPFMC ORD COM G87110105 222 24620 SH SOLE 24620 0 0 TECK RESOURCES CL B ORD COM 878742204 69 3020 SH SOLE 3020 0 0 TEKLA HEALTHCARE OPPORTUNITIES CF COM 879105104 46 2000 SH SOLE 2000 0 0 TELKONET ORD (PNK) COM 879604106 3 77000 SH SOLE 77000 0 0 TELLURIAN ORD COM 87968A104 4 1000 SH SOLE 1000 0 0 TEMPLETON DRAGON CF COM 88018T101 47 2000 SH SOLE 2000 0 0 TEMPLETON EMERGING MARKET INCOME CF COM 880192109 111 14000 SH SOLE 14000 0 0 TEMPLETON EMERGING MARKETS CF COM 880191101 49 2500 SH SOLE 2500 0 0 TEMPLETON GLOBAL INCOME CF COM 880198106 112 20000 SH SOLE 20000 0 0 TENARIS ADR REP 2 ORD SPONSORED ADR 88031M109 2061 94134 SH SOLE 94134 0 0 TENCENT MUSC ENT ADR REP 2 CL A ORD SPONSORED ADR 88034P109 304 19700 SH SOLE 19700 0 0 TEVA PHARMA IND ADR REP 1 ORD SPONSORED ADR 881624209 4 500 SH SOLE 500 0 0 TEVA PHARMA IND ADR REP 1 ORD SPONSORED ADR 881624209 4 500 SH Call SOLE 500 0 0 THIMBLE POINT ACQUISITION CL A ORD COM 88408P107 1 200 SH SOLE 200 0 0 THUNDER BRIDGE CAPITAL PARTNERS UNT COM 88605T209 39 4000 SH SOLE 4000 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 TIGA ACQUISITION CL A ORD COM G88672103 5861 584387 SH SOLE 584387 0 0 TILLY'S CL A ORD COM 886885102 287 18000 SH SOLE 18000 0 0 TILRAY CL 2 ORD COM 88688T100 66 3660 SH SOLE 3660 0 0 TILRAY CL 2 ORD COM 88688T100 2 123 SH Call SOLE 123 0 0 TORTOISE ACQUISITION CL A ORD COM G89554102 3069 306000 SH SOLE 306000 0 0 TORTOISE ACQUISITION II UNT COM G89554110 3 300 SH SOLE 300 0 0 TORTOISE ENERGY INFRASTRUCTURE CF COM 89147L886 108 3765 SH SOLE 3765 0 0 TORTOISE MIDSTREAM ENERGY CF COM 89148B200 119 4000 SH SOLE 4000 0 0 TORTOISE PIPELINE AND ENERGY CF COM 89148H207 0 1 SH SOLE 1 0 0 TPG PACE BENEFICIAL FIN CL A ORD COM G8990D125 12 1000 SH SOLE 1000 0 0 TRIP COM GROUP ADR REP ORD SPONSORED ADR 89677Q107 273 7700 SH SOLE 7700 0 0 TRITON INTL 6 875 SRS D RED PRP PRF COM G9078F206 63 2300 SH SOLE 2300 0 0 TSAKOS ENRG NVGT CM RD PRP SRS F PRF COM G9108L165 61 2439 SH SOLE 2439 0 0 TURNING POINT BRANDS ORD COM 90041L105 80 1750 SH SOLE 1750 0 0 TUSCAN HOLDINGS ORD COM 90069K104 5545 406879 SH SOLE 406879 0 0 TUSCAN HOLDINGS ORD COM 90069K104 6 482 SH Call SOLE 482 0 0 TWC TECH HLDG II UNT COM 90117G204 1 100 SH SOLE 100 0 0 TWC TECH HOLDINGS II ORD COM 90117G105 13 1400 SH SOLE 1400 0 0 TZP STRATEGIES ACQUISITION UNT COM G91595127 0 100 SH SOLE 100 0 0 UBER TECHNOLOGIES INC COM 90353T100 2 50 SH SOLE 50 0 0 UNDER ARMOUR CL C ORD COM 904311206 27 1500 SH SOLE 1500 0 0 US CONCRETE ORD COM 90333L201 295 4000 SH SOLE 4000 0 0 US STEEL ORD COM 912909108 494 20600 SH SOLE 20600 0 0 US STEEL ORD COM 912909108 12 500 SH Call SOLE 500 0 0 US STEEL ORD COM 912909108 4 200 SH Put SOLE 200 0 0 UWM HOLDINGS CL A ORD COM 91823B109 1 180 SH SOLE 180 0 0 UWM HOLDINGS CORP COM 91823B117 7 4300 SH SOLE 4300 0 0 VALE ADR REPTG ONE ORD SPONSORED ADR 91912E105 13 600 SH Call SOLE 600 0 0 VANECK VECTORS GOLD MINERS ETF COM 92189F106 373 11000 SH SOLE 11000 0 0 VANECK VECTORS SEMICONDUCTOR ETF COM 92189F676 39 150 SH Put SOLE 150 0 0 VANGUARD FTSE EUROPE ETF COM 922042874 99 1480 SH SOLE 1480 0 0 VBI VACCINES ORD COM 91822J103 209 62683 SH SOLE 62683 0 0 VECTOIQ ACQUISITION II CL A ORD COM 92244F109 147 14701 SH SOLE 14701 0 0 VECTOIQ ACQUISITION II UNT COM 92244F208 217 21144 SH SOLE 21144 0 0 VECTOR ACQUISITION CL A ORD COM G9442R126 2372 217883 SH SOLE 217883 0 0 VELODYNE LIDAR ORD COM 92259F101 53 5000 SH SOLE 5000 0 0 VERB TECHNOLOGY COMPANY ORD COM 92337U104 0 400 SH SOLE 400 0 0 VERTEX PHARMACEUTICALS ORD COM 92532F100 10 50 SH SOLE 50 0 0 VIACOMCBS CL B ORD COM 92556H206 839 18570 SH SOLE 18570 0 0 VIAD ORD COM 92552R406 1557 31250 SH SOLE 31250 0 0 VIKING THERAPEUTICS ORD COM 92686J106 1 180 SH SOLE 180 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 112 10552 SH SOLE 10552 0 0 VILLAGE FARMS INTERNATIONAL ORD COM 92707Y108 0 35 SH Call SOLE 35 0 0 VIMEO ORD COM 92719V100 49 1000 SH SOLE 1000 0 0 VINCE HOLDING ORD COM 92719W207 982 97233 SH SOLE 97233 0 0 VINCO VENTURES ORD COM 927330100 40 10151 SH SOLE 10151 0 0 VIRTUOSO ACQUISITION CL A ORD COM 92837J104 7 800 SH SOLE 800 0 0 VIRTUS ALLIAN ARTIF INTEL TCH OP CF COM 92838Y100 83 3000 SH SOLE 3000 0 0 VIRTUS ALLIANZGI CONV INCM CF COM 92838X102 61 10000 SH SOLE 10000 0 0 VIRTUS ALLIANZGI CONV INCM FD II CF COM 92838U108 107 20000 SH SOLE 20000 0 0 VIRTUS ALLIANZGI DIV INCOME CONV CF COM 92840N100 69 2000 SH SOLE 2000 0 0 VIRTUS ALLIANZGI EQT CONV INCM CF COM 92841M101 60 2000 SH SOLE 2000 0 0 VISTA OIL GAS ADR REP SRS A ORD SPONSORED ADR 92837L109 849 207236 SH SOLE 207236 0 0 VISTAS MEDIA ACQUISITION CL A ORD COM 92840T107 0 100 SH SOLE 100 0 0 VIZIO HOLDING CL A ORD COM 92858V101 343 12700 SH SOLE 12700 0 0 VOYA GLOBAL EQUITY DVD PRM OPPORT CF COM 92912T100 59 10000 SH SOLE 10000 0 0 VPC IMPACT ACQUISITION HOLD CL A ORD COM G9441E100 146 14619 SH SOLE 14619 0 0 VTV THERAPEUTICS CL A ORD COM 918385105 0 100 SH SOLE 100 0 0 VYNE THERAPEUTICS ORD COM 92941V209 0 25 SH SOLE 25 0 0 WALT DISNEY ORD COM 254687106 271 1544 SH SOLE 1544 0 0 WELLS FARGO INCOME OPPORTUNITS CF COM 94987B105 175 20000 SH SOLE 20000 0 0 WELLS FARGO MULTI SECTOR INCOME CF COM 94987D101 44 3500 SH SOLE 3500 0 0 WESCO INTERL 1000 DS RP 1 SRS A PRF COM 95082P303 429 13906 SH SOLE 13906 0 0 WESTERN ASSET EMERGING MRKTS DEBT CF COM 95766A101 84 6000 SH SOLE 6000 0 0 WESTERN ASSET HIGH YLD DFD OPPTY CF COM 95768B107 54 3500 SH SOLE 3500 0 0 WESTERN ASSET INFLATIN LINKD INCM CF COM 95766Q106 78 5623 SH SOLE 5623 0 0 WESTERN ASSET INVSTMNT GRADE INCM CF COM 95766T100 54 3500 SH SOLE 3500 0 0 WESTERN AST INFLTN LINK OPRT INCM CF COM 95766R104 176 13480 SH SOLE 13480 0 0 WESTRN ASST HIGH INCM OPPORTUNITY CF COM 95766K109 79 15000 SH SOLE 15000 0 0 WESTROCK ORD COM 96145D105 50 949 SH SOLE 949 0 0 WILLIS TOWERS WATSON ORD COM G96629103 1053 4580 SH SOLE 4580 0 0 WIZARD BRANDS ORD COM 97750F104 10 4315 SH SOLE 4315 0 0 WM TECHNOLOGY CL A ORD COM 92971A109 679 38025 SH SOLE 38025 0 0 XILINX ORD COM 983919101 1860 12863 SH SOLE 12863 0 0 XL FLEET CL A ORD COM 9837FR100 0 20 SH SOLE 20 0 0 XPENG ADR COM 98422D105 888 20000 SH SOLE 20000 0 0 XPENG ADR COM 98422D105 5 115 SH Call SOLE 115 0 0 XPRESSPA GROUP ORD COM 98420U703 115 75000 SH SOLE 75000 0 0 YANZHOU COAL MNG ADR (PNK) SPONSORED ADR 984846105 135 10000 SH SOLE 10000 0 0 YEXT ORD (NYS) COM 98585N106 0 67 SH Call SOLE 67 0 0 YPF SOCIEDAD ANONIM ADR REP 1 CL D O SPONSORED ADR 984245100 213 45684 SH SOLE 45684 0 0 ZANITE ACQUISITION CL A ORD COM 98907K103 2220 220700 SH SOLE 220700 0 0 ZHANGMEN EDUCATN ADR REP 9 CL A ORD SPONSORED ADR 98955H101 4 375 SH SOLE 375 0 0 ZILLOW GROUP CL A ORD COM 98954M101 23 190 SH SOLE 190 0 0