| Fund | Previous Shares | Current Shares ▲▼ | Change in Shares ▲▼ | Previous Portfolio Weightage (%) | Current Portfolio Weightage (%) ▲▼ | Change in Weight (%) ▲▼ | Type |
|---|---|---|---|---|---|---|---|
| PenderFund Capital Management Ltd. | 0 | 696,000 | +696,000 | 0.00 | 1.97 | +1.97 | buy |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | 1,278,668 | 1,884,655 | +605,987 | 0.02 | 0.02 | -0.00 | buy |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | 0 | 466,950 | +466,950 | 0.00 | 0.01 | +0.01 | buy |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | 0 | 73,617 | +73,617 | 0.00 | 0.00 | +0.00 | buy |
| SIMPLEX TRADING, LLC | 109,848 | 176,761 | +66,913 | 0.04 | 0.05 | +0.01 | buy |
| Verde Servicos Internacionais S.A. | 0 | 65,000 | +65,000 | 0.00 | 0.23 | +0.23 | buy |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | 0 | 60,887 | +60,887 | 0.00 | 0.00 | +0.00 | buy |
| Point72 Asset Management, L.P. | 0 | 50,000 | +50,000 | 0.00 | 0.00 | +0.00 | buy |
| Point72 Asset Management, L.P. | 0 | 50,000 | +50,000 | 0.00 | 0.00 | +0.00 | buy |
| FLOW TRADERS U.S. LLC | 25,764 | 74,078 | +48,314 | 0.02 | 0.05 | +0.04 | buy |
| FLOW TRADERS U.S. LLC | 26,324 | 69,344 | +43,020 | 0.02 | 0.06 | +0.04 | buy |
| LPL Financial LLC | 108,837 | 141,966 | +33,129 | 0.00 | 0.00 | +0.00 | buy |
| CITADEL ADVISORS LLC | 172,413 | 203,723 | +31,310 | 0.00 | 0.00 | -0.00 | buy |
| Verity Asset Management, Inc. | 0 | 24,621 | +24,621 | 0.00 | 0.21 | +0.21 | buy |
| PEAK6 LLC | 0 | 22,413 | +22,413 | 0.00 | 0.01 | +0.01 | buy |
| FLOW TRADERS U.S. LLC | 0 | 22,409 | +22,409 | 0.00 | 0.02 | +0.02 | buy |
| Baker Avenue Asset Management, LP | 0 | 20,200 | +20,200 | 0.00 | 0.01 | +0.01 | buy |
| Rockefeller Capital Management L.P. | 10,258 | 27,711 | +17,453 | 0.00 | 0.00 | +0.00 | buy |
| FLOW TRADERS U.S. LLC | 0 | 17,070 | +17,070 | 0.00 | 0.01 | +0.01 | buy |
| Baker Avenue Asset Management, LP | 0 | 15,800 | +15,800 | 0.00 | 0.01 | +0.01 | buy |
| Formidable Asset Management, LLC | 0 | 14,790 | +14,790 | 0.00 | 0.06 | +0.06 | buy |
| HRT FINANCIAL LP | 0 | 12,715 | +12,715 | 0.00 | 0.00 | +0.00 | buy |
| JANE STREET GROUP, LLC | 15,974 | 28,633 | +12,659 | 0.00 | 0.00 | +0.00 | buy |
| TWO SIGMA SECURITIES, LLC | 0 | 12,075 | +12,075 | 0.00 | 0.03 | +0.03 | buy |
| SIMPLEX TRADING, LLC | 3,575 | 9,915 | +6,340 | 0.00 | 0.01 | +0.00 | buy |
| Dynamic Technology Lab Private Ltd | 12,100 | 18,079 | +5,979 | 0.04 | 0.07 | +0.03 | buy |
| Sigma Planning Corp | 22,348 | 28,012 | +5,664 | 0.01 | 0.02 | +0.00 | buy |
| NewEdge Advisors, LLC | 0 | 5,000 | +5,000 | 0.00 | 0.00 | +0.00 | buy |
| VAN DEN BERG MANAGEMENT I, INC | 0 | 4,900 | +4,900 | 0.00 | 0.02 | +0.02 | buy |
| OSAIC HOLDINGS, INC. | 0 | 4,433 | +4,433 | 0.00 | 0.00 | +0.00 | buy |
| Geneos Wealth Management Inc. | 0 | 4,300 | +4,300 | 0.00 | 0.00 | +0.00 | buy |
| VAN DEN BERG MANAGEMENT I, INC | 0 | 4,000 | +4,000 | 0.00 | 0.01 | +0.01 | buy |
| Collaborative Wealth Managment Inc. | 1,942 | 5,483 | +3,541 | 0.02 | 0.05 | +0.03 | buy |
| Geneos Wealth Management Inc. | 20,825 | 23,175 | +2,350 | 0.01 | 0.01 | -0.00 | buy |
| Revisor Wealth Management LLC | 21,447 | 23,756 | +2,309 | 0.14 | 0.13 | -0.01 | buy |
| NewEdge Advisors, LLC | 0 | 2,200 | +2,200 | 0.00 | 0.00 | +0.00 | buy |
| Steward Partners Investment Advisory, LLC | 7,532 | 9,732 | +2,200 | 0.00 | 0.00 | +0.00 | buy |
| VAN DEN BERG MANAGEMENT I, INC | 0 | 2,000 | +2,000 | 0.00 | 0.01 | +0.01 | buy |
| Moors & Cabot, Inc. | 9,250 | 10,775 | +1,525 | 0.01 | 0.01 | -0.00 | buy |
| Collaborative Wealth Managment Inc. | 2,206 | 3,288 | +1,082 | 0.02 | 0.02 | +0.00 | buy |
| Vermillion Wealth Management, Inc. | 0 | 596 | +596 | 0.00 | 0.00 | +0.00 | buy |
| Larson Financial Group LLC | 0 | 594 | +594 | 0.00 | 0.00 | +0.00 | buy |
| Ameritas Advisory Services, LLC | 0 | 522 | +522 | 0.00 | 0.00 | +0.00 | buy |
| Investors Research Corp | 0 | 425 | +425 | 0.00 | 0.00 | +0.00 | buy |
| Investors Research Corp | 0 | 350 | +350 | 0.00 | 0.00 | +0.00 | buy |
| Larson Financial Group LLC | 237 | 446 | +209 | 0.00 | 0.00 | +0.00 | buy |
| Lloyd Advisory Services, LLC. | 0 | 160 | +160 | 0.00 | 0.00 | +0.00 | buy |
| Geneos Wealth Management Inc. | 2,375 | 2,500 | +125 | 0.00 | 0.00 | -0.00 | buy |
| Blueprint Investment Partners LLC | 13,357 | 13,457 | +100 | 0.03 | 0.02 | -0.01 | buy |
| Ameritas Advisory Services, LLC | 0 | 36 | +36 | 0.00 | 0.00 | +0.00 | buy |
| SWAN Capital LLC | 0 | 30 | +30 | 0.00 | 0.00 | +0.00 | buy |
| Mirae Asset Global Investments Co., Ltd. | 60,000 | 60,000 | 0 | 0.00 | 0.00 | -0.00 | hold |
| PenderFund Capital Management Ltd. | 804,300 | 804,300 | 0 | 2.32 | 1.73 | -0.59 | hold |
| PenderFund Capital Management Ltd. | 100,000 | 100,000 | 0 | 0.38 | 0.31 | -0.07 | hold |
| Strategic Wealth Partners, Ltd. | 20 | 20 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Steward Partners Investment Advisory, LLC | 964 | 964 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Rockefeller Capital Management L.P. | 273 | 273 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Geneos Wealth Management Inc. | 30 | 30 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Golden State Wealth Management, LLC | 984 | 984 | 0 | 0.00 | 0.00 | -0.00 | hold |
| Golden State Wealth Management, LLC | 772 | 772 | 0 | 0.00 | 0.00 | -0.00 | hold |
| SWAN Capital LLC | 100 | 75 | -25 | 0.00 | 0.00 | -0.00 | sell |
| BNP PARIBAS FINANCIAL MARKETS | 55 | 0 | -55 | 0.00 | 0.00 | -0.00 | sell |
| NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO | 76 | 0 | -76 | 0.00 | 0.00 | -0.00 | sell |
| Sound Income Strategies, LLC | 90 | 0 | -90 | 0.00 | 0.00 | -0.00 | sell |
| EQUITEC PROPRIETARY MARKETS, LLC | 200 | 100 | -100 | 0.01 | 0.00 | -0.01 | sell |
| MAI Capital Management | 241 | 0 | -241 | 0.00 | 0.00 | -0.00 | sell |
| MAI Capital Management | 261 | 0 | -261 | 0.00 | 0.00 | -0.00 | sell |
| AE Wealth Management LLC | 275 | 0 | -275 | 0.00 | 0.00 | -0.00 | sell |
| MAI Capital Management | 322 | 0 | -322 | 0.00 | 0.00 | -0.00 | sell |
| ROYAL BANK OF CANADA | 100,055 | 99,155 | -900 | 0.00 | 0.00 | -0.00 | sell |
| Game Plan Financial Advisors, LLC | 1,000 | 0 | -1,000 | 0.01 | 0.00 | -0.01 | sell |
| PIN OAK INVESTMENT ADVISORS INC | 1,400 | 0 | -1,400 | 0.02 | 0.00 | -0.02 | sell |
| PRIVATE TRUST CO NA | 3,158 | 0 | -3,158 | 0.01 | 0.00 | -0.01 | sell |
| PRIVATE TRUST CO NA | 4,081 | 0 | -4,081 | 0.01 | 0.00 | -0.01 | sell |
| Pekin Hardy Strauss, Inc. | 26,350 | 21,850 | -4,500 | 0.06 | 0.04 | -0.02 | sell |
| Pekin Hardy Strauss, Inc. | 19,500 | 12,250 | -7,250 | 0.04 | 0.02 | -0.02 | sell |
| HRT FINANCIAL LP | 19,449 | 11,686 | -7,763 | 0.00 | 0.00 | -0.00 | sell |
| Cetera Investment Advisers | 41,318 | 33,102 | -8,216 | 0.00 | 0.00 | -0.00 | sell |
| Verity Asset Management, Inc. | 9,390 | 0 | -9,390 | 0.10 | 0.00 | -0.10 | sell |
| PRELUDE CAPITAL MANAGEMENT, LLC | 10,000 | 0 | -10,000 | 0.01 | 0.00 | -0.01 | sell |
| Mariner, LLC | 10,327 | 0 | -10,327 | 0.00 | 0.00 | -0.00 | sell |
| Tidal Investments LLC | 11,334 | 0 | -11,334 | 0.00 | 0.00 | -0.00 | sell |
| Mariner, LLC | 11,959 | 0 | -11,959 | 0.00 | 0.00 | -0.00 | sell |
| IMC-Chicago, LLC | 40,779 | 28,405 | -12,374 | 0.01 | 0.00 | -0.01 | sell |
| SIMPLEX TRADING, LLC | 12,599 | 0 | -12,599 | 0.01 | 0.00 | -0.01 | sell |
| ENVESTNET ASSET MANAGEMENT INC | 33,598 | 19,396 | -14,202 | 0.00 | 0.00 | -0.00 | sell |
| SIMPLEX TRADING, LLC | 14,743 | 0 | -14,743 | 0.01 | 0.00 | -0.01 | sell |
| SCOTIA CAPITAL INC. | 16,467 | 0 | -16,467 | 0.00 | 0.00 | -0.00 | sell |
| ENVESTNET ASSET MANAGEMENT INC | 34,839 | 18,038 | -16,801 | 0.00 | 0.00 | -0.00 | sell |
| Mutual Advisors, LLC | 18,020 | 0 | -18,020 | 0.01 | 0.00 | -0.01 | sell |
| Mutual Advisors, LLC | 18,833 | 0 | -18,833 | 0.01 | 0.00 | -0.01 | sell |
| SIMPLEX TRADING, LLC | 19,525 | 0 | -19,525 | 0.01 | 0.00 | -0.01 | sell |
| SCOTIA CAPITAL INC. | 21,592 | 0 | -21,592 | 0.00 | 0.00 | -0.00 | sell |
| Wakefield Asset Management LLLP | 21,924 | 0 | -21,924 | 0.14 | 0.00 | -0.14 | sell |
| PRIMORIS WEALTH ADVISORS, LLC | 25,000 | 0 | -25,000 | 0.18 | 0.00 | -0.18 | sell |
| Virtu Financial LLC | 25,087 | 0 | -25,087 | 0.02 | 0.00 | -0.02 | sell |
| CITADEL ADVISORS LLC | 26,274 | 0 | -26,274 | 0.00 | 0.00 | -0.00 | sell |
| Wakefield Asset Management LLLP | 26,877 | 0 | -26,877 | 0.13 | 0.00 | -0.13 | sell |
| LPL Financial LLC | 27,782 | 0 | -27,782 | 0.00 | 0.00 | -0.00 | sell |
| B. Riley Wealth Advisors, Inc. | 31,348 | 0 | -31,348 | 0.05 | 0.00 | -0.05 | sell |