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20019374Parsed

DTom Malinowski · House · ptr · filed Aug 26, 2021

Official filing metadata

Filer (as printed): Hon. Tom Malinowski
Office (as printed): NJ07
Chamber: House
Filing type: ptr
Filing date: Aug 26, 2021
Filing year: 2021
Document format: pdf

Processing (ours)

Status: Parsed
Rows parsed: 134
Parser version: house_pdf_v1
Fetched: Sep 9, 2026
Parsed: Sep 9, 2026
Internal id: 2346

row 25: stray text in ['cap']: gfedc; row 54: stray text in ['cap']: gfedc; row 84: stray text in ['cap']: gfedc; row 103: stray text in ['cap']: gfedc

Reading this page

The left half of each row below is the text exactly as it appears in the official document. The right half is our normalized interpretation: matched ticker, typed transaction, parsed dates and dollar range.

When the two disagree, the official document wins. Rows flagged for review are kept, never discarded, and the raw text is never edited.

Rows · 134

Left: official, as printed · Right: normalized

Raw filing rows beside their normalized interpretation
Official · as printed in the filing									Normalized · our interpretation
#	Owner	Asset	Ticker	Type	Tx date	Notified	Amount	Conf.	Ticker	Type	Owner	Tx date	Amount	Class	Flags
1	—	8x8 Inc (EgHT) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	03/18/2019	04/01/2019	$15,001 - $50,000	1.00	EGHT0.95	PartialPartial sale	Self	Mar 18, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
2	—	8x8 Inc (EgHT) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	08/16/2019	09/01/2019	$1,001 - $15,000	1.00	EGHT0.95	PartialPartial sale	Self	Aug 16, 2019	$1,001 - $15,000mid $8K	Stock	modelled
3	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Option.	AMRC	S (partial)	10/16/2020	11/01/2020	$1,001 - $15,000	1.00	AMRC0.98	PartialPartial sale	Self	Oct 16, 2020	$1,001 - $15,000mid $8K	Stock	modelled
4	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	AMRC	P	11/10/2020	12/01/2020	$1,001 - $15,000	1.00	AMRC0.98	BuyBuy	Self	Nov 10, 2020	$1,001 - $15,000mid $8K	Stock	modelled
5	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	AMRC	P	12/18/2020	01/01/2021	$1,001 - $15,000	1.00	AMRC0.98	BuyBuy	Self	Dec 18, 2020	$1,001 - $15,000mid $8K	Stock	modelled
6	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	AMRC	P	12/29/2020	01/01/2021	$1,001 - $15,000	1.00	AMRC0.98	BuyBuy	Self	Dec 29, 2020	$1,001 - $15,000mid $8K	Stock	modelled
7	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	AMRC	S (partial)	01/07/2021	02/01/2021	$1,001 - $15,000	1.00	AMRC0.98	PartialPartial sale	Self	Jan 7, 2021	$1,001 - $15,000mid $8K	Stock	modelled
8	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	AMRC	S (partial)	01/08/2021	02/01/2021	$15,001 - $50,000	1.00	AMRC0.98	PartialPartial sale	Self	Jan 8, 2021	$15,001 - $50,000mid $32.5K	Stock	modelled
9	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	AMRC	P	03/09/2021	04/01/2021	$15,001 - $50,000	1.00	AMRC0.98	BuyBuy	Self	Mar 9, 2021	$15,001 - $50,000mid $32.5K	Stock	modelled
10	—	Ameresco, Inc. Class A (AMRC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Option.	AMRC	S (partial)	11/10/2020	11/01/2020	$1,001 - $15,000	1.00	AMRC0.98	PartialPartial sale	Self	Nov 10, 2020	$1,001 - $15,000mid $8K	Stock	modelled
11	—	Anika Therapeutics Inc. (ANIK) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase.	ANIK	P	02/27/2020	03/01/2020	$1,001 - $15,000	1.00	ANIK0.98	BuyBuy	Self	Feb 27, 2020	$1,001 - $15,000mid $8K	Stock	modelled
12	—	Anika Therapeutics Inc. (ANIK) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase.	ANIK	P	02/28/2020	03/01/2020	$1,001 - $15,000	1.00	ANIK0.98	BuyBuy	Self	Feb 28, 2020	$1,001 - $15,000mid $8K	Stock	modelled
13	—	Anika Therapeutics Inc. (ANIK) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	ANIK	S (partial)	10/29/2019	11/01/2019	$1,001 - $15,000	1.00	ANIK0.98	PartialPartial sale	Self	Oct 29, 2019	$1,001 - $15,000mid $8K	Stock	modelled
14	—	Anika Therapeutics Inc. (ANIK) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	ANIK	S (partial)	01/28/2020	02/01/2020	$1,001 - $15,000	1.00	ANIK0.98	PartialPartial sale	Self	Jan 28, 2020	$1,001 - $15,000mid $8K	Stock	modelled
15	—	Anika Therapeutics Inc. (ANIK) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	ANIK	S (partial)	07/29/2019	08/01/2019	$1,001 - $15,000	1.00	ANIK0.98	PartialPartial sale	Self	Jul 29, 2019	$1,001 - $15,000mid $8K	Stock	modelled
16	—	Anika Therapeutics Inc. (ANIK) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase.	ANIK	P	08/01/2019	09/01/2019	$50,001 - $100,000	1.00	ANIK0.98	BuyBuy	Self	Aug 1, 2019	$50,001 - $100,000mid $75K	Stock	modelled
17	—	Apollo Endosurgery, Inc. (APEN) [ST] other: F IlINg S TATuS : New	APEN	P	10/30/2020	11/01/2020	$1,001 - $15,000	1.00	—0.60	BuyBuy	Self	Oct 30, 2020	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
18	—	BellRing Brands, Inc. Class A (BRBR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	BRBR	P	12/17/2019	01/01/2019	$15,001 - $50,000	1.00	BRBR0.98	BuyBuy	Self	Dec 17, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
19	—	BellRing Brands, Inc. Class A (BRBR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	BRBR	S (partial)	10/23/2019	11/01/2019	$1,001 - $15,000	1.00	BRBR0.98	PartialPartial sale	Self	Oct 23, 2019	$1,001 - $15,000mid $8K	Stock	modelled
20	—	BellRing Brands, Inc. Class A (BRBR) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	BRBR	S (partial)	10/24/2019	11/01/2019	$1,001 - $15,000	1.00	BRBR0.98	PartialPartial sale	Self	Oct 24, 2019	$1,001 - $15,000mid $8K	Stock	modelled
21	—	Biolife Solutions Inc. NEW (BlFSD) [ST] other: F IlINg S TATuS : New	—	P	06/19/2020	07/01/2020	$1,001 - $15,000	1.00	BLFS0.95	BuyBuy	Self	Jun 19, 2020	$1,001 - $15,000mid $8K	Stock	modelled
22	—	Blackline, Inc. (Bl) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	—	S (partial)	01/15/2021	03/01/2021	$15,001 - $50,000	1.00	BL0.95	PartialPartial sale	Self	Jan 15, 2021	$15,001 - $50,000mid $32.5K	Stock	modelled
23	—	Blackline, Inc. (Bl) [ST] other: F IlINg S TATuS : Amended	—	P	07/05/2019	08/01/2019	$1,001 - $15,000	1.00	BL0.95	BuyBuy	Self	Jul 5, 2019	$1,001 - $15,000mid $8K	Stock	modelled
24	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	CDNA	S (partial)	01/06/2021	02/01/2021	$15,001 - $50,000	1.00	CDNA0.98	PartialPartial sale	Self	Jan 6, 2021	$15,001 - $50,000mid $32.5K	Stock	modelled
25	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	CDNA	S (partial)	01/08/2021	02/01/2021	$1,001 - $15,000	0.70	CDNA0.98	PartialPartial sale	Self	Jan 8, 2021	$1,001 - $15,000mid $8K	Stock	Reviewmodelled
26	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	CDNA	S (partial)	01/11/2021	02/01/2021	$1,001 - $15,000	1.00	CDNA0.98	PartialPartial sale	Self	Jan 11, 2021	$1,001 - $15,000mid $8K	Stock	modelled
27	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	CDNA	P	12/29/2020	01/01/2021	$1,001 - $15,000	1.00	CDNA0.98	BuyBuy	Self	Dec 29, 2020	$1,001 - $15,000mid $8K	Stock	modelled
28	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	CDNA	P	12/23/2020	01/01/2021	$1,001 - $15,000	1.00	CDNA0.98	BuyBuy	Self	Dec 23, 2020	$1,001 - $15,000mid $8K	Stock	modelled
29	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Option.	CDNA	S (partial)	10/09/2020	11/01/2020	$1,001 - $15,000	1.00	CDNA0.98	PartialPartial sale	Self	Oct 9, 2020	$1,001 - $15,000mid $8K	Stock	modelled
30	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	CDNA	P	11/16/2020	12/01/2020	$1,001 - $15,000	1.00	CDNA0.98	BuyBuy	Self	Nov 16, 2020	$1,001 - $15,000mid $8K	Stock	modelled
31	—	CareDx, Inc. (CDNA) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Call Closing Transaction.	CDNA	P	12/07/2020	01/01/2021	$1,001 - $15,000	1.00	CDNA0.98	BuyBuy	Self	Dec 7, 2020	$1,001 - $15,000mid $8K	Stock	modelled
32	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	P	11/13/2020	12/01/2020	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Nov 13, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
33	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	P	11/13/2020	12/01/2020	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Nov 13, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
34	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	S	07/27/2020	08/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Jul 27, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
35	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : Amended	—	P	01/25/2019	02/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Jan 25, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
36	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	P	10/21/2019	11/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 21, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
37	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	P	10/22/2019	11/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 22, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
38	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	P	10/15/2019	11/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 15, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
39	—	Castlight Health, Inc. Class B (CSlT) [ST] other: F IlINg S TATuS : New	—	P	10/16/2019	11/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 16, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
40	—	CC Neuberger Principal Holdings I Class A Ordinary Shares (PCPl) [ST] other: F IlINg S TATuS : New	—	P	12/21/2020	01/01/2021	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Dec 21, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
41	—	CC Neuberger Principal Holdings I Class A Ordinary Shares (PCPl) [ST] other: F IlINg S TATuS : Amended	—	P	01/28/2021	02/01/2021	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Jan 28, 2021	$1,001 - $15,000mid $8K	Stock	not modelled
42	—	CC Neuberger Principal Holdings I units, each consisting of one Class A ordinary share and one-fourth of one Redeemable Warrant (PCPl.u) [ST] other: F IlINg S TATuS : New	—	P	01/05/2021	02/01/2021	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Jan 5, 2021	$1,001 - $15,000mid $8K	Stock	not modelled
43	—	Celcuity Inc. (CElC) [ST] other: F IlINg S TATuS : New	—	P	06/22/2020	07/01/2020	$1,001 - $15,000	1.00	CELC0.95	BuyBuy	Self	Jun 22, 2020	$1,001 - $15,000mid $8K	Stock	modelled
44	—	Celcuity Inc. (CElC) [ST] other: F IlINg S TATuS : New	—	P	06/23/2020	07/01/2020	$1,001 - $15,000	1.00	CELC0.95	BuyBuy	Self	Jun 23, 2020	$1,001 - $15,000mid $8K	Stock	modelled
45	—	Chembio Diagnostics, Inc. (CEMI) [ST] other: F IlINg S TATuS : Amended	CEMI	S	03/24/2020	04/01/2020	$1,001 - $15,000	1.00	—0.90	SellSell	Self	Mar 24, 2020	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
46	—	CM life Sciences, Inc. - Class A (CMlF) [ST] other: F IlINg S TATuS : Amended	—	P	10/14/2020	11/01/2020	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 14, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
47	—	CM life Sciences, Inc. - unit (CMlFu) [ST] other: F IlINg S TATuS : New	—	P	10/15/2020	11/01/2020	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 15, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
48	—	CM life Sciences, Inc. - unit (CMlFu) [ST] other: F IlINg S TATuS : New	—	P	10/16/2020	11/01/2020	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Oct 16, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
49	—	CNFinance Holdings limited American Depositary Shares, each representing twenty (CNF) [ST] other: F IlINg S TATuS : Amended	CNF	P	12/30/2020	01/01/2021	$1,001 - $15,000	1.00	CNF0.98	BuyBuy	Self	Dec 30, 2020	$1,001 - $15,000mid $8K	Stock	modelled
50	—	CNFinance Holdings limited American Depositary Shares, each representing twenty (CNF) [ST] other: F IlINg S TATuS : New	CNF	P	01/06/2021	02/01/2021	$1,001 - $15,000	1.00	CNF0.98	BuyBuy	Self	Jan 6, 2021	$1,001 - $15,000mid $8K	Stock	modelled
51	—	CNFinance Holdings limited American Depositary Shares, each representing twenty (CNF) [ST] other: F IlINg S TATuS : New	CNF	P	01/04/2021	02/01/2021	$1,001 - $15,000	1.00	CNF0.98	BuyBuy	Self	Jan 4, 2021	$1,001 - $15,000mid $8K	Stock	modelled
52	—	Colgate-Palmolive Company (Cl) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	01/29/2019	02/01/2019	$1,001 - $15,000	1.00	CL0.95	PartialPartial sale	Self	Jan 29, 2019	$1,001 - $15,000mid $8K	Stock	modelled
53	—	Colgate-Palmolive Company (Cl) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	04/30/2019	05/01/2019	$1,001 - $15,000	1.00	CL0.95	PartialPartial sale	Self	Apr 30, 2019	$1,001 - $15,000mid $8K	Stock	modelled
54	—	Dave & Buster's Entertainment, Inc. (PlAY) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	—	P	08/09/2019	09/01/2019	$15,001 - $50,000	0.70	PLAY0.95	BuyBuy	Self	Aug 9, 2019	$15,001 - $50,000mid $32.5K	Stock	Reviewmodelled
55	—	Dave & Buster's Entertainment, Inc. (PlAY) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	—	S (partial)	04/05/2019	05/01/2019	$1,001 - $15,000	1.00	PLAY0.95	PartialPartial sale	Self	Apr 5, 2019	$1,001 - $15,000mid $8K	Stock	modelled
56	—	DermTech, Inc. (DMTK) [ST] other: F IlINg S TATuS : New	DMTK	P	01/11/2021	02/01/2021	$1,001 - $15,000	1.00	—0.60	BuyBuy	Self	Jan 11, 2021	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
57	—	Domo, Inc. - Class B (DOMO) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	DOMO	P	03/06/2019	04/01/2019	$15,001 - $50,000	1.00	DOMO0.98	BuyBuy	Self	Mar 6, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
58	—	Domo, Inc. - Class B (DOMO) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	DOMO	P	03/20/2019	04/01/2019	$15,001 - $50,000	1.00	DOMO0.98	BuyBuy	Self	Mar 20, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
59	—	DoorDash, Inc. Class A (DASH) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase.	DASH	P	01/15/2021	02/01/2021	$15,001 - $50,000	1.00	DASH0.98	BuyBuy	Self	Jan 15, 2021	$15,001 - $50,000mid $32.5K	Stock	modelled
60	—	DoorDash, Inc. Class A (DASH) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	DASH	S (partial)	12/22/2020	01/01/2021	$1,001 - $15,000	1.00	DASH0.98	PartialPartial sale	Self	Dec 22, 2020	$1,001 - $15,000mid $8K	Stock	modelled
61	—	Equinix, Inc. (EQIX) [ST] other: F IlINg S TATuS : Amended	EQIX	S (partial)	06/19/2019	07/01/2019	$1,001 - $15,000	1.00	EQIX0.98	PartialPartial sale	Self	Jun 19, 2019	$1,001 - $15,000mid $8K	Stock	modelled
62	—	Everbridge, Inc. (EVBg) [ST] other: F IlINg S TATuS : Amended	—	S	03/26/2019	04/01/2019	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Mar 26, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
63	—	Everbridge, Inc. (EVBg) [ST] other: F IlINg S TATuS : Amended	—	S	01/24/2020	02/01/2020	$15,001 - $50,000	1.00	—0.00	SellSell	Self	Jan 24, 2020	$15,001 - $50,000mid $32.5K	Stock	not modelled
64	—	Everbridge, Inc. (EVBg) [ST] other: F IlINg S TATuS : New	—	S	03/13/2020	04/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Mar 13, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
65	—	Everbridge, Inc. (EVBg) [ST] other: F IlINg S TATuS : New	—	S	03/20/2020	04/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Mar 20, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
66	—	Five9, Inc. (FIVN) [ST] other: F IlINg S TATuS : Amended	FIVN	S	01/24/2020	02/01/2020	$1,001 - $15,000	1.00	FIVN0.98	SellSell	Self	Jan 24, 2020	$1,001 - $15,000mid $8K	Stock	modelled
67	—	Five9, Inc. (FIVN) [ST] other: F IlINg S TATuS : New	FIVN	S	01/27/2020	02/01/2020	$1,001 - $15,000	1.00	FIVN0.98	SellSell	Self	Jan 27, 2020	$1,001 - $15,000mid $8K	Stock	modelled
68	—	Flexion Therapeutics, Inc. (FlXN) [ST] other: F IlINg S TATuS : New	—	P	03/26/2019	04/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Mar 26, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
69	—	Flexion Therapeutics, Inc. (FlXN) [ST] other: F IlINg S TATuS : Amended	—	S	05/11/2020	06/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	May 11, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
70	—	Flexion Therapeutics, Inc. (FlXN) [ST] other: F IlINg S TATuS : New	—	S	05/12/2020	06/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	May 12, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
71	—	general Finance Corporation (gFN) [ST] other: F IlINg S TATuS : Amended	—	S	11/20/2020	12/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Nov 20, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
72	—	general Finance Corporation (gFN) [ST] other: F IlINg S TATuS : New	—	S	11/30/2020	12/01/2020	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Nov 30, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
73	—	general Finance Corporation (gFN) [ST] other: F IlINg S TATuS : New	—	S	12/02/2020	01/01/2021	$1,001 - $15,000	1.00	—0.00	SellSell	Self	Dec 2, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
74	—	general Finance Corporation (gFN) [ST] other: F IlINg S TATuS : New	—	P	12/03/2020	01/01/2021	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Dec 3, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
75	—	Heron Therapeutics, Inc. (APPAD) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	APPAD	S (partial)	12/30/2020	01/01/2021	$1,001 - $15,000	1.00	HRTX0.95	PartialPartial sale	Self	Dec 30, 2020	$1,001 - $15,000mid $8K	Stock	Reviewmodelled
76	—	Hormel Foods Corporation (HRl) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase.	—	P	03/03/2020	04/01/2020	$15,001 - $50,000	1.00	HRL0.95	BuyBuy	Self	Mar 3, 2020	$15,001 - $50,000mid $32.5K	Stock	modelled
77	—	Hormel Foods Corporation (HRl) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	07/01/2019	08/01/2019	$15,001 - $50,000	1.00	HRL0.95	PartialPartial sale	Self	Jul 1, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
78	—	Instructure Holdings, Inc. (INST) [ST] other: F IlINg S TATuS : New	INST	S	01/06/2020	02/01/2020	$15,001 - $50,000	1.00	—0.60	SellSell	Self	Jan 6, 2020	$15,001 - $50,000mid $32.5K	Stock	Reviewnot modelled
79	—	J.M. Smucker Company (SJM) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	SJM	S (partial)	11/15/2019	12/01/2019	$1,001 - $15,000	1.00	SJM0.98	PartialPartial sale	Self	Nov 15, 2019	$1,001 - $15,000mid $8K	Stock	modelled
80	—	J.M. Smucker Company (SJM) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	SJM	S (partial)	08/29/2019	09/01/2019	$1,001 - $15,000	1.00	SJM0.98	PartialPartial sale	Self	Aug 29, 2019	$1,001 - $15,000mid $8K	Stock	modelled
81	—	J.M. Smucker Company (SJM) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	SJM	S (partial)	02/28/2019	03/01/2019	$15,001 - $50,000	1.00	SJM0.98	PartialPartial sale	Self	Feb 28, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
82	—	Kellogg Company (K) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	K	S (partial)	02/11/2019	03/01/2019	$15,001 - $50,000	1.00	—0.60	PartialPartial sale	Self	Feb 11, 2019	$15,001 - $50,000mid $32.5K	Stock	Reviewnot modelled
83	—	Kellogg Company (K) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	K	S (partial)	06/27/2019	07/01/2019	$1,001 - $15,000	1.00	—0.60	PartialPartial sale	Self	Jun 27, 2019	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
84	—	Kellogg Company (K) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	K	S (partial)	07/08/2019	08/01/2019	$1,001 - $15,000	0.70	—0.60	PartialPartial sale	Self	Jul 8, 2019	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
85	—	Kellogg Company (K) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	K	S (partial)	10/29/2019	11/01/2019	$15,001 - $50,000	1.00	—0.60	PartialPartial sale	Self	Oct 29, 2019	$15,001 - $50,000mid $32.5K	Stock	Reviewnot modelled
86	—	Macerich Company (MAC) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	MAC	P	05/31/2019	06/01/2019	$1,001 - $15,000	1.00	MAC0.98	BuyBuy	Self	May 31, 2019	$1,001 - $15,000mid $8K	Stock	modelled
87	—	Merck & Company, Inc. Common Stock (MRK) [ST] other: F IlINg S TATuS : Amended	MRK	P	08/26/2020	09/01/2020	$15,001 - $50,000	1.00	MRK0.98	BuyBuy	Self	Aug 26, 2020	$15,001 - $50,000mid $32.5K	Stock	modelled
88	—	Meridian Bioscience Inc. (VIVO) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	VIVO	S (partial)	09/16/2020	10/01/2020	$1,001 - $15,000	1.00	VIVO0.95	PartialPartial sale	Self	Sep 16, 2020	$1,001 - $15,000mid $8K	Stock	Reviewmodelled
89	—	MicroStrategy Incorporated - Class A (MSTR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	MSTR	P	08/16/2019	09/01/2019	$1,001 - $15,000	1.00	MSTR0.98	BuyBuy	Self	Aug 16, 2019	$1,001 - $15,000mid $8K	Stock	modelled
90	—	MicroStrategy Incorporated - Class A (MSTR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	MSTR	S (partial)	07/11/2019	08/01/2019	$1,001 - $15,000	1.00	MSTR0.98	PartialPartial sale	Self	Jul 11, 2019	$1,001 - $15,000mid $8K	Stock	modelled
91	—	Navigator Holdings ltd. Ordinary Shares (NVIgF) [ST] other: F IlINg S TATuS : New	—	P	06/03/2020	07/01/2020	$1,001 - $15,000	1.00	NVGS0.95	BuyBuy	Self	Jun 3, 2020	$1,001 - $15,000mid $8K	Stock	modelled
92	—	New Relic, Inc. (NEWR) [ST] other: F IlINg S TATuS : Amended	NEWR	P	12/17/2019	01/01/2020	$1,001 - $15,000	1.00	—0.60	BuyBuy	Self	Dec 17, 2019	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
93	—	Norwegian Cruise line Holdings ltd. Ordinary Shares (NClH) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	—	S (partial)	02/04/2019	03/01/2019	$1,001 - $15,000	1.00	NCLH0.95	PartialPartial sale	Self	Feb 4, 2019	$1,001 - $15,000mid $8K	Stock	modelled
94	—	Onto Innovation Inc. (ONTO) [ST] other: F IlINg S TATuS : New	ONTO	S	04/30/2020	05/01/2020	$1,001 - $15,000	1.00	ONTO0.98	SellSell	Self	Apr 30, 2020	$1,001 - $15,000mid $8K	Stock	modelled
95	—	OraSure Technologies, Inc. (OSuR) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	10/08/2020	11/01/2020	$1,001 - $15,000	1.00	OSUR0.95	PartialPartial sale	Self	Oct 8, 2020	$1,001 - $15,000mid $8K	Stock	modelled
96	—	Pacira BioSciences, Inc. (PCRX) [ST] other: F IlINg S TATuS : Amended	PCRX	P	01/25/2021	02/01/2021	$1,001 - $15,000	1.00	PCRX0.98	BuyBuy	Self	Jan 25, 2021	$1,001 - $15,000mid $8K	Stock	modelled
97	—	Pacira BioSciences, Inc. (PCRX) [ST] other: F IlINg S TATuS : Amended	PCRX	P	05/31/2019	06/01/2019	$15,001 - $50,000	1.00	PCRX0.98	BuyBuy	Self	May 31, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
98	—	Peloton Interactive, Inc. (PTON) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	PTON	P	11/21/2019	12/01/2019	$15,001 - $50,000	1.00	PTON0.98	BuyBuy	Self	Nov 21, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
99	—	Peloton Interactive, Inc. (PTON) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	PTON	S (partial)	10/01/2019	11/01/2019	$15,001 - $50,000	1.00	PTON0.98	PartialPartial sale	Self	Oct 1, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
100	—	Peloton Interactive, Inc. (PTON) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	PTON	S (partial)	10/24/2019	11/01/2019	$1,001 - $15,000	1.00	PTON0.98	PartialPartial sale	Self	Oct 24, 2019	$1,001 - $15,000mid $8K	Stock	modelled
101	—	Pepsico, Inc. (PEP) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	PEP	S (partial)	07/12/2019	08/01/2019	$15,001 - $50,000	1.00	PEP0.98	PartialPartial sale	Self	Jul 12, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
102	—	Pool Corporation (POOl) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	—	S (partial)	07/22/2019	08/01/2019	$15,001 - $50,000	1.00	POOL0.95	PartialPartial sale	Self	Jul 22, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
103	—	Pool Corporation (POOl) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	—	P	10/17/2019	11/01/2019	$15,001 - $50,000	0.70	POOL0.95	BuyBuy	Self	Oct 17, 2019	$15,001 - $50,000mid $32.5K	Stock	Reviewmodelled
104	—	Post Holdings, Inc. (POST) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	POST	S (partial)	11/29/2019	12/01/2019	$15,001 - $50,000	1.00	POST0.98	PartialPartial sale	Self	Nov 29, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
105	—	Post Holdings, Inc. (POST) [ST] other: F IlINg S TATuS : New	POST	S (partial)	01/28/2019	02/01/2019	$1,001 - $15,000	1.00	POST0.98	PartialPartial sale	Self	Jan 28, 2019	$1,001 - $15,000mid $8K	Stock	modelled
106	—	Post Holdings, Inc. (POST) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	POST	S (partial)	02/05/2019	03/01/2019	$1,001 - $15,000	1.00	POST0.98	PartialPartial sale	Self	Feb 5, 2019	$1,001 - $15,000mid $8K	Stock	modelled
107	—	Profound Medical Corp. - common stock (PROF) [ST] other: F IlINg S TATuS : New	PROF	P	01/14/2020	02/01/2020	$1,001 - $15,000	1.00	PROF0.98	BuyBuy	Self	Jan 14, 2020	$1,001 - $15,000mid $8K	Stock	modelled
108	—	Profound Medical Corp. - common stock (PROF) [ST] other: F IlINg S TATuS : New	PROF	P	01/27/2020	02/01/2020	$1,001 - $15,000	1.00	PROF0.98	BuyBuy	Self	Jan 27, 2020	$1,001 - $15,000mid $8K	Stock	modelled
109	—	Regency Centers Corporation (REg) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	—	P	11/29/2019	12/01/2019	$15,001 - $50,000	1.00	REG0.95	BuyBuy	Self	Nov 29, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
110	—	Regency Centers Corporation (REg) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	—	S (partial)	10/29/2019	11/01/2019	$15,001 - $50,000	1.00	REG0.95	PartialPartial sale	Self	Oct 29, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
111	—	Regency Centers Corporation (REg) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	—	P	03/25/2020	04/01/2020	$15,001 - $50,000	1.00	REG0.95	BuyBuy	Self	Mar 25, 2020	$15,001 - $50,000mid $32.5K	Stock	modelled
112	—	Restaurant Brands International Inc. Common Shares (QSR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	QSR	P	10/30/2019	11/01/2019	$1,001 - $15,000	1.00	QSR0.98	BuyBuy	Self	Oct 30, 2019	$1,001 - $15,000mid $8K	Stock	modelled
113	—	Restaurant Brands International Inc. Common Shares (QSR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	QSR	S (partial)	05/02/2019	06/01/2019	$15,001 - $50,000	1.00	QSR0.98	PartialPartial sale	Self	May 2, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
114	—	Restaurant Brands International Inc. Common Shares (QSR) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	QSR	P	10/04/2019	11/01/2019	$15,001 - $50,000	1.00	QSR0.98	BuyBuy	Self	Oct 4, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
115	—	Simon Property group, Inc. (SPg) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	—	P	01/23/2019	02/01/2019	$1,001 - $15,000	1.00	SPG0.95	BuyBuy	Self	Jan 23, 2019	$1,001 - $15,000mid $8K	Stock	modelled
116	—	Tabula Rasa HealthCare, Inc. (TRHC) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	TRHC	P	11/13/2019	12/01/2019	$1,001 - $15,000	1.00	—0.60	BuyBuy	Self	Nov 13, 2019	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
117	—	Tabula Rasa HealthCare, Inc. (TRHC) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	TRHC	S (partial)	11/12/2019	12/01/2019	$1,001 - $15,000	1.00	—0.60	PartialPartial sale	Self	Nov 12, 2019	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
118	—	Talend S.A. - American Depositary Shares (TlND) [ST] other: F IlINg S TATuS : New	—	P	01/27/2020	02/01/2020	$15,001 - $50,000	1.00	—0.00	BuyBuy	Self	Jan 27, 2020	$15,001 - $50,000mid $32.5K	Stock	not modelled
119	—	Tanger Factory Outlet Centers, Inc. (SKT) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	SKT	P	06/04/2019	07/01/2019	$15,001 - $50,000	1.00	SKT0.98	BuyBuy	Self	Jun 4, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
120	—	Tapestry, Inc. (TPR) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Sale.	TPR	S (partial)	09/24/2019	10/01/2019	$15,001 - $50,000	1.00	TPR0.98	PartialPartial sale	Self	Sep 24, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
121	—	Taubman Centers, Inc. (TCO) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase. Capital gains Exceed $200.	TCO	P	02/12/2020	03/01/2020	$1,001 - $15,000	1.00	—0.60	BuyBuy	Self	Feb 12, 2020	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
122	—	Tesla, Inc. (TSlA) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	—	P	05/07/2019	06/01/2019	$15,001 - $50,000	1.00	TSLA0.95	BuyBuy	Self	May 7, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
123	—	Tesla, Inc. (TSlA) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	—	S (partial)	04/08/2019	05/01/2019	$15,001 - $50,000	1.00	TSLA0.95	PartialPartial sale	Self	Apr 8, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
124	—	Tesla, Inc. (TSlA) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Sale.	—	S (partial)	04/25/2019	05/01/2019	$1,001 - $15,000	1.00	TSLA0.95	PartialPartial sale	Self	Apr 25, 2019	$1,001 - $15,000mid $8K	Stock	modelled
125	—	TFF Pharmaceuticals, Inc. (TFFP) [ST] other: F IlINg S TATuS : New	TFFP	P	06/11/2020	07/01/2020	$1,001 - $15,000	1.00	—0.60	BuyBuy	Self	Jun 11, 2020	$1,001 - $15,000mid $8K	Stock	Reviewnot modelled
126	—	Viomi Technology Co., ltd - American Depositary Shares (VIOT) [ST] other: F IlINg S TATuS : Amended D ESCRIPTION : Short Cover Purchase.	VIOT	P	04/02/2019	05/01/2019	$1,001 - $15,000	1.00	VIOT0.98	BuyBuy	Self	Apr 2, 2019	$1,001 - $15,000mid $8K	Stock	modelled
127	—	Viomi Technology Co., ltd - American Depositary Shares (VIOT) [ST] other: F IlINg S TATuS : New D ESCRIPTION : Short Cover Purchase.	VIOT	P	04/08/2019	05/01/2019	$1,001 - $15,000	1.00	VIOT0.98	BuyBuy	Self	Apr 8, 2019	$1,001 - $15,000mid $8K	Stock	modelled
128	—	Yext, Inc. (YEXT) [ST] other: F IlINg S TATuS : New	YEXT	P	02/19/2019	03/01/2019	$15,001 - $50,000	1.00	YEXT0.98	BuyBuy	Self	Feb 19, 2019	$15,001 - $50,000mid $32.5K	Stock	modelled
129	—	Yext, Inc. (YEXT) [ST] other: F IlINg S TATuS : Amended	YEXT	P	06/04/2019	07/01/2019	$1,001 - $15,000	1.00	YEXT0.98	BuyBuy	Self	Jun 4, 2019	$1,001 - $15,000mid $8K	Stock	modelled
130	—	Yext, Inc. (YEXT) [ST] other: F IlINg S TATuS : New	YEXT	P	11/14/2019	12/01/2019	$1,001 - $15,000	1.00	YEXT0.98	BuyBuy	Self	Nov 14, 2019	$1,001 - $15,000mid $8K	Stock	modelled
131	—	Yext, Inc. (YEXT) [ST] other: F IlINg S TATuS : Amended	YEXT	P	12/08/2020	01/01/2021	$1,001 - $15,000	1.00	YEXT0.98	BuyBuy	Self	Dec 8, 2020	$1,001 - $15,000mid $8K	Stock	modelled
132	—	Zuora, Inc. Class A (ZuO) [ST] other: F IlINg S TATuS : New	—	P	11/14/2019	12/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Nov 14, 2019	$1,001 - $15,000mid $8K	Stock	not modelled
133	—	Zuora, Inc. Class A (ZuO) [ST] other: F IlINg S TATuS : New	—	P	01/27/2020	02/01/2020	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Jan 27, 2020	$1,001 - $15,000mid $8K	Stock	not modelled
134	—	Zuora, Inc. Class A (ZuO) [ST] other: F IlINg S TATuS : Amended	—	P	11/13/2019	12/01/2019	$1,001 - $15,000	1.00	—0.00	BuyBuy	Self	Nov 13, 2019	$1,001 - $15,000mid $8K	Stock	not modelled