S-11/12/2020-22335|11/12/2020|Common Stock|Suspend|11/13/2020|Montage Resources Corporation|MR|Pending before the Open Subject to effectiveness of the Merger DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: E Trading to be suspended on November 13, 2020 Pending before the Open|61179L100|N|NYSE|Common stock|||||||||| S-11/12/2020-22336|11/12/2020|Common Stock|NewListing|11/13/2020|Aspirational Consumer Lifestyle Corp.|ASPL|Effective before the Open DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: C To be admitted to the list and to trading on November 13, 2020.|G05436103|N|NYSE|Class A Ordinary Shares|||||||||| S-11/12/2020-22337|11/12/2020|Warrant|NewListing|11/13/2020|Aspirational Consumer Lifestyle Corp.|ASPL WS|Effective before the Open DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: C To be admitted to the list and to trading on November 13, 2020.|G05436111|N|NYSE|Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50|||||||||| S-11/12/2020-22338|11/12/2020|ETF|Suspend|11/13/2020|Collaborative Investment Series Trust|TBND|Effective before the Open Trading to be suspended on November 13, 2020 Effective before the Open|19423L854|N|NYSE ARCA|Tactical Income ETF|TBND.NV|TBND.SO|TBND.EU|TBND.TC|TBND.IV||||| S-11/12/2020-22339|11/12/2020|Common Stock|AdmitExDistWI|11/13/2020|Pfizer Inc|PFE WI|Effective before the Open DMM Firm: GTS SECURITIES LLC Post: 8 Panel: T Issue to be trading in two markets, "Regular Way" and "Ex-Distribution" markets beginning on November 13, 2020|717081129|N|NYSE|Common Stock|||||||||| S-11/12/2020-22340|11/12/2020|Unit|IPO|11/13/2020|dMY Technology Group, Inc. III|DMYI U|Pending before the Open Subject to effectiveness of the 1933 Act, 1934 Act and Pricing DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: I|233278209|N|NYSE|Units, each consisting of one share of Class A common stock and one-fourth of one redeemable warrant|||||||||| S-11/12/2020-22341|11/12/2020|Unit|IPO|11/13/2020|Kingswood Acquisition Corp.|KWAC U|Pending before the Open Subject to effectiveness of the 1933 Act, 1934 Act and Pricing DMM Firm: GTS SECURITIES LLC Post: 8 Panel: 8Q|496861204|N|NYSE|Units, each consisting of one share of Class A Common Stock and three-fourths of one redeemable warrant|||||||||| S-11/12/2020-22342|11/12/2020|ETF|NewListing|11/13/2020|Listed Funds Trust|CBSE|Effective before the Open To be admitted to the list and to trading on November 13, 2020.|53656F631|N|NYSE ARCA|Changebridge Capital Sustainable Equity ETF|CBSE.NV|CBSE.SO|CBSE.EU|CBSE.TC|-||||| S-11/12/2020-22343|11/12/2020|ETF|NewListing|11/13/2020|Listed Funds Trust|CBLS|Effective before the Open To be admitted to the list and to trading on November 13, 2020.|53656F649|N|NYSE ARCA|Changebridge Capital Long/Short Equity ETF|CBLS.NV|CBLS.SO|CBLS.EU|CBLS.TC|-||||| S-11/12/2020-22344|11/12/2020|Common Stock|NewListing|11/16/2020|Peridot Acquisition Corp.|PDAC|Effective before the Open DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: T To be admitted to the list and to trading on November 16, 2020.|G7008A115|N|NYSE|Class A Ordinary Shares|||||||||| S-11/12/2020-22345|11/12/2020|Warrant|NewListing|11/16/2020|Peridot Acquisition Corp.|PDAC WS|Effective before the Open DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: T To be admitted to the list and to trading on November 16, 2020.|G7008A107|N|NYSE|Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50|||||||||| S-11/12/2020-22346|11/12/2020|Structured Product|Suspend|11/16/2020|American Financial Group, Inc.|AFGH|Effective before the Open DMM Firm: GTS SECURITIES LLC Post: 8 Panel: F Trading to be suspended on November 16, 2020 Effective before the Open|025932708|N|NYSE|6.000% Subordinated Debentures due 2055|||||||||| S-11/12/2020-22347|11/12/2020|Common Stock|SuspendVol|11/16/2020|Canopy Growth Corporation|CGC|Effective before the Open DMM Firm: GTS SECURITIES LLC Post: 8 Panel: B Trading to be suspended on November 16, 2020 Effective before the Open|138035100|N|NYSE|Common Shares, no par value|||||||||| S-11/12/2020-22348|11/12/2020|Warrant|AdmitWI|11/16/2020|LGL Group Inc (The)|LGL WS WI|Effective before the Open DMM Firm: BRENDAN E. CRYAN AND COMPANY, LLC To be admitted to trading in a "When-Issued" market on November 16, 2020.|50186A132|N|NYSE AMERICAN|Warrants to purchase Common Stock (expiring November 16, 2025)|||||||||| S-11/12/2020-22349|11/12/2020|Common Stock|ReverseStockSplit|11/17/2020|Ra Medical Systems, Inc.|RMED|Pending before the Open Subject to effectiveness of Amendment to Certificate of Incorporation DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: C New Issue CUSIP: 74933X203 Trading under the New CUSIP to begin at the market open on November 17, 2020 following the reverse stock split.|74933X104|N|NYSE|Common Stock|||||||||| S-11/12/2020-22350|11/12/2020|ADS Common|ChngUlyStck|11/17/2020|Daqo New Energy Corp.|DQ|Effective before the Open DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: N Current Ratio: 1 ADS : 25 Ordinary Shares Underlying Issue Name: American Depositary Shares (each representing 25 Ordinary Shares) New Ratio: 1 ADS : 5 Ordinary Shares New Issue Name: American Depositary Shares (each representing 5 Ordinary Shares) Exchange Of Shares: Not Required Each American Depositary Shares (each representing 25 Ordinary Shares) will be deemed to represent American Depositary Shares (each representing 5 Ordinary Shares) on an ADS for ADS basis on November 17, 2020.|23703Q203|Y|NYSE|American Depositary Shares (each representing 25 Ordinary Shares)|||||||||| S-11/12/2020-22351|11/12/2020|Common Stock|NewListing|11/17/2020|CI Financial Corp.|CIXX|Pending before the Open Subject to effectiveness of the 1934 Act To be admitted to the list and to trading on November 17, 2020.|125491100|Y|NYSE|Common Shares|||||||||| S-11/12/2020-22352|11/12/2020|Common Stock|IPO|11/17/2020|Aspire Real Estate Investors, Inc.|ASPI|Pending before the Open Subject to effectiveness of the 1933 Act, 1934 Act and Pricing DMM Firm: CITADEL SECURITIES LLC Post: 5 Panel: N|04538A100|N|NYSE|Common Stock||||||||||