S-01/04/2021-23235|01/04/2021|Right|Suspend|01/04/2021|Bristol-Myers Squibb Company|BMY RT|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: C        Trading to be suspended on January 4, 2021 Effective before the Open|110122157|N|NYSE|Bristol-Myers Squibb Contingent Value Rights||||||||||
S-01/04/2021-23236|01/04/2021|ETF|NewListing|01/04/2021|AIM ETF Products Trust|AZBJ|Effective before the Open        To be admitted to the list and to trading on January 4, 2021.|00888H802|N|NYSE ARCA|AllianzIM U.S. Large Cap Buffer20 Jan ETF|AZBJ.NV|AZBJ.SO|AZBJ.EU|AZBJ.TC|AZBJ.IV|||||
S-01/04/2021-23237|01/04/2021|ETF|NewListing|01/04/2021|AIM ETF Products Trust|AZAJ|Effective before the Open        To be admitted to the list and to trading on January 4, 2021.|00888H703|N|NYSE ARCA|AllianzIM U.S. Large Cap Buffer10 Jan ETF|AZAJ.NV|AZAJ.SO|AZAJ.EU|AZAJ.TC|AZAJ.IV|||||
S-01/04/2021-23238|01/04/2021|Preferred Stock|NewListing|01/05/2021|Alta Equipment Group Inc.|ALTG PRA|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: P        To be admitted to the list and to trading on January 5, 2021.|02128L205|N|NYSE|Depositary Shares (each representing 1/1000th in a share of 10% Series A Cumulative Perpetual Preferred Stock)||||||||||
S-01/04/2021-23239|01/04/2021|Unit|IPO|01/05/2021|Fortress Value Acquisition Corp. III|FVT U|Pending before the Open        Subject to effectiveness of the 1933 Act, 1934 Act and Pricing        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: q|34964G206|N|NYSE|Units, each consisting of one share of Class A common stock and one-fifth of one Warrant||||||||||
S-01/04/2021-23240|01/04/2021|Unit|IPO|01/05/2021|Crucible Acquisition Corporation|CRU U|Pending before the Open        Subject to effectiveness of the 1933 Act, 1934 Act and Pricing        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: Q|22877P207|N|NYSE|Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant||||||||||
S-01/04/2021-23241|01/04/2021|Structured Product|Suspend|01/06/2021|MFA Financial, Inc.|MFO|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: O        Trading to be suspended on January 6, 2021 Effective before the Open|55272X300|N|NYSE|8.00% Senior Notes due April 15, 2042||||||||||
S-01/04/2021-23242|01/04/2021|Warrant|NewListing|01/06/2021|Cenovus Energy Inc.|CVE WS|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: G        To be admitted to the list and to trading on January 6, 2021.|15135U117|Y|NYSE|Warrants (each warrant entitles the holder to purchase one common share at an exercise price of C$6.54 per share)||||||||||
S-01/04/2021-23243|01/04/2021|Common Stock|Suspend|01/07/2021|Tiffany & Co.|TIF|Pending before the Open        Subject to effectiveness of the Merger        DMM Firm: GTS SECURITIES LLC        Post: 8        Panel: M        Trading to be suspended on January 7, 2021 Pending before the Open|886547108|N|NYSE|Common Stock||||||||||
S-01/04/2021-23244|01/04/2021|Preferred Stock|NewListing|01/07/2021|NexPoint Strategic Opportunities Fund|NHF PRA|Pending before the Open        Subject to expiration of the Offer, effectiveness of the 1934 Act, and certain other conditions        DMM Firm: CITADEL SECURITIES LLC        To be admitted to the list and to trading on January 7, 2021.|65340G304|N|NYSE|5.50% Series A Cumulative Preferred Shares||||||||||
S-01/04/2021-23245|01/04/2021|Common Stock|NewListing|01/07/2021|Pine Island Acquisition Corp.|PIPP|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: I        To be admitted to the list and to trading on January 7, 2021.|722615101|N|NYSE|Class A Common Stock||||||||||
S-01/04/2021-23246|01/04/2021|Warrant|NewListing|01/07/2021|Pine Island Acquisition Corp.|PIPP WS|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: I        To be admitted to the list and to trading on January 7, 2021.|722615119|N|NYSE|Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50||||||||||
S-01/04/2021-23247|01/04/2021|Common Stock|Suspend|01/07/2021|WPX Energy, Inc.|WPX|Pending before the Open        Subject to effectiveness of the Merger        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: E        Trading to be suspended on January 7, 2021 Pending before the Open|98212B103|N|NYSE|Common Stock||||||||||
S-01/04/2021-23248|01/04/2021|Warrant|Suspend|01/07/2021|Vivint Smart Home, Inc.|VVNT WS|Effective before the Open        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: E        Trading to be suspended on January 7, 2021 Effective before the Open|928542117|N|NYSE|Warrants, each exercisable for one Class A Common Stock at an exercise price of $11.50 per share||||||||||
S-01/04/2021-23249|01/04/2021|Unit|IPO|01/06/2021|Star Peak Corp II|STPC U|Pending before the Open        Subject to effectiveness of the 1933 Act, 1934 Act and Pricing        DMM Firm: CITADEL SECURITIES LLC        Post: 5        Panel: C|855179206|N|NYSE|Units, each consisting of one share of Class A common stock and one-fourth of one redeemable warrant||||||||||
S-01/04/2021-23250|01/04/2021|Unit|Suspend|01/06/2021|Megalith Financial Acquisition Corp.|MFAC U|Pending before the Open        Subject to effectiveness of the Merger        DMM Firm: CITADEL SECURITIES LLC        Trading to be suspended on January 6, 2021 Pending before the Open|58518F208|N|NYSE AMERICAN|Units, each consisting of one share of Class A Common Stock, and one Warrant||||||||||
S-01/04/2021-23251|01/04/2021|Common Stock|PNSCChng|01/06/2021|Megalith Financial Acquisition Corp.|MFAC|Pending before the Open        Subject to effectiveness of the Merger        DMM Firm: CITADEL SECURITIES LLC        New Issuer Name: BM Technologies, Inc.        New Product Name: Common Stock        New Issue CUSIP: 05591L107        New Issue Symbol: BMTX|58518F109|N|NYSE AMERICAN|Class A Common Stock||||||||||
S-01/04/2021-23252|01/04/2021|Warrant|PNSCChng|01/06/2021|Megalith Financial Acquisition Corp.|MFAC WS|Pending before the Open        Subject to effectiveness of the Merger        DMM Firm: CITADEL SECURITIES LLC        New Issuer Name: BM Technologies, Inc.        New Product Name: Warrants, each warrant exercisable for one share of Common Stock at an exercise price of $11.50        New Issue CUSIP: 05591L115        New Issue Symbol: BMTX WS|58518F117|N|NYSE AMERICAN|Warrants, each warrant exercisable for one share of Class A Common Stock at an exercise price of $11.50||||||||||