13F-HR filed by TRUIST FINANCIAL CORP
TRUIST FINANCIAL CORP filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-05, with 2,698 holding rows worth $60,935,806,000.
- Accession
- 0000092230-21-000081
- Filer
- CIK 92230
- Filed
- 2021-11-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 6,670 entries on the cover page, a total value of $60,935,806,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $60,935,806,000 with VALUE read as thousands by filing date, 13F file number 028-03501. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerTRUIST BANK /NC/
- included managerSunTrust Advisory Services, Inc.028-18010
- included managerSterling Capital Management LLC028-11465
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| 9 METERS BIOPHARMA INC | 654405109 | COM | 174,500 | $227,000 | thousands by filing date | |
| INMODE LTD SHS | M5425M103 | Stock | 3,003 | $226,000 | thousands by filing date | |
| API GROUP CORP COM STK | 00187Y100 | Stock | 11,101 | $226,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 3,671 | $226,000 | thousands by filing date | |
| EVO PMTS INC | 26927E104 | CL A COM | 9,551 | $226,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,398 | $225,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,135 | $225,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 5,377 | $225,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 1,610 | $224,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 33,734 | $224,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 22,822 | $223,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 10,526 | $222,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 4,252 | $221,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 2,697 | $220,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,000 | $219,000 | thousands by filing date | put |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 6,973 | $219,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430362 | ACCESS INFLATI | 3,788 | $219,000 | thousands by filing date | |
| ISHARES TR | 46435G441 | ESG ADVNCD HY BD | 4,186 | $219,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 67,550 | $218,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 2,501 | $217,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 3,853 | $217,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 11,070 | $216,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 4,367 | $215,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 5,296 | $215,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 17,851 | $215,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 15,466 | $215,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 7,863 | $215,000 | thousands by filing date | |
| CONCENTRIX CORP | 20602D101 | COM | 1,211 | $214,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 6,497 | $213,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 7,057 | $213,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 3,040 | $212,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 700 | $212,000 | thousands by filing date | put |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 1,260 | $212,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 2,609 | $211,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 2,775 | $211,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 1,900 | $210,000 | thousands by filing date | call |
| BALCHEM CORP | 057665200 | COM | 1,446 | $210,000 | thousands by filing date | |
| FERGUSON PLC NEW | G3421J106 | SHS | 1,503 | $210,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 4,991 | $209,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 4,000 | $209,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 4,791 | $209,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 1,845 | $208,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 21,050 | $208,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 4,925 | $207,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 12,441 | $207,000 | thousands by filing date | |
| General Electric Company | 369604301 | COM | 2,000 | $206,000 | thousands by filing date | call |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 564 | $205,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 200,000 | $205,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 1,174 | $204,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 6,912 | $204,000 | thousands by filing date | |
| EARGO INC | 270087109 | COM | 30,331 | $204,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 5,344 | $203,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,412 | $202,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 4,165 | $202,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 5,563 | $202,000 | thousands by filing date | |
| CREE INC | 225447101 | COM | 2,500 | $202,000 | thousands by filing date | call |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 22,325 | $202,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 20,000 | $201,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 2,235 | $201,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE CORP | 11284V105 | CL A SUB VTG | 5,195 | $201,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - APRIL | 45782C342 | ETF | 7,395 | $201,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 20,541 | $199,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 12,085 | $198,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 32,020 | $197,000 | thousands by filing date | |
| VanEck Vectors Mortgage R | 92189F452 | MTG REIT INCOME | 10,300 | $196,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 14,160 | $195,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,500 | $195,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 32,600 | $194,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 10,029 | $192,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 38,858 | $191,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 13,887 | $189,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 17,632 | $188,000 | thousands by filing date | |
| NUVEEN DYNAMIC MUN OPPORTUNITI | 67079X102 | COM SHS | 11,753 | $188,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 20,246 | $188,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R688 | S&P INTL DIVID | 10,661 | $187,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,031 | $187,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 35,080 | $185,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 41,650 | $185,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 13,794 | $183,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 12,215 | $181,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 12,290 | $181,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 70,100 | $181,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 11,825 | $180,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 12,110 | $178,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 15,105 | $178,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 27,021 | $177,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 13,316 | $176,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 22,938 | $176,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 27,667 | $175,000 | thousands by filing date | |
| PROSHARES TR | 74347G861 | ULTRAPRO SHT QQQ | 20,000 | $173,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 12,874 | $172,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 16,808 | $172,000 | thousands by filing date | |
| RPT REALTY | 74971D101 | SH BEN INT | 13,453 | $172,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 21,700 | $172,000 | thousands by filing date | |
| KLX ENERGY SERVICES HOLDINGS | 48253L205 | COM NEW | 35,924 | $171,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 17,550 | $171,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 170,000 | $171,000 | thousands by filing date | principal |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 10,200 | $168,000 | thousands by filing date | |
| CONVEY HEALTH SOLUTIONS HLDG | 21258C108 | CMN | 19,980 | $168,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 12,278 | $167,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 20,930 | $167,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 10,453 | $166,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 14,299 | $166,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 59,257 | $164,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 44,979 | $163,000 | thousands by filing date | |
| PRIMIS FINANCIAL CORP | 74167B109 | COMMON STOCK | 11,239 | $163,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 27,000 | $161,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 69,900 | $160,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 11,700 | $159,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 16,700 | $157,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,478 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 10,652 | $153,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 14,554 | $153,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,000 | $151,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 19,561 | $150,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 14,840 | $149,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 12,815 | $148,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 27,897 | $145,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,813 | $144,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 10,300 | $142,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 10,000 | $141,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 18,760 | $140,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 10,337 | $137,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 16,204 | $135,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 28,706 | $135,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 14,747 | $132,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 12,809 | $128,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 11,711 | $127,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 21,780 | $127,000 | thousands by filing date | |
| MULTIPLAN CORPORATION | 62548M100 | COM | 22,386 | $126,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 30,813 | $125,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 39,371 | $124,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W205 | UNIT 99/99/9999 | 11,700 | $124,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 20,280 | $123,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 10,375 | $123,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 14,501 | $120,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 16,666 | $117,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 18,895 | $116,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 17,237 | $115,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 10,000 | $110,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 10,226 | $109,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 19,000 | $102,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AD3 | NOTE 1.500% 8/1 | 100,000 | $101,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 13,001 | $99,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 15,139 | $97,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 47,373 | $96,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 16,500 | $91,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 17,309 | $88,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D200 | COMMON | 29,167 | $88,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 20,000 | $87,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 13,190 | $83,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 13,093 | $77,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 11,288 | $72,000 | thousands by filing date | |
| NEW PAC METALS CORP | 64782A107 | COM | 21,200 | $70,000 | thousands by filing date | |
| SHIFT TECHNOLOGIES INC | 82452T107 | CL A | 10,000 | $69,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C607 | COM | 29,341 | $67,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 20,000 | $65,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 20,000 | $62,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 41,593 | $61,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 10,000 | $60,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 48,000 | $53,000 | thousands by filing date | principal |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 22,116 | $53,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 10,900 | $52,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 10,250 | $52,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 18,411 | $52,000 | thousands by filing date | |
| CORVUS GOLD INC | 221013105 | COM | 16,527 | $52,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 21,000 | $49,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 14,169 | $47,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,233 | $45,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 12,810 | $45,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,210 | $43,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 11,750 | $43,000 | thousands by filing date | |
| ZENDESK INC | 98936JAD3 | NOTE 0.625% 6/1 | 32,000 | $41,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 11,000 | $34,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 15,000 | $29,000 | thousands by filing date | principal |
| DRIVE SHACK INC | 262077100 | COM | 10,000 | $28,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 29,000 | $28,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 25,000 | $27,000 | thousands by filing date | principal |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 11,468 | $26,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 10,105 | $24,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| MINIM INC | 60365W102 | COM | 10,000 | $19,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 12,000 | $16,000 | thousands by filing date | principal |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 14,000 | $16,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $15,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 11,000 | $13,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 13,000 | $13,000 | thousands by filing date | principal |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 15,433 | $11,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 12,000 | $11,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 10,000 | $8,000 | thousands by filing date | principal |
| Cresud S A C I F Y A Warrant Exp 03/09/202 | P3311R259 | Warrant | 35,880 | $8,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 10,000 | $7,000 | thousands by filing date | |
| Low Duration Preferre | 26922A198 | AAM LW DUR PFD | 18,779 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SIMPLIFY EXCHANGE TRADED FUN | 82889N103 | US EQT PLS CNVEX | 21,961 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACER LUNT LARGE CAP MULTI-FACTOR ALTERNATOR ETF | 69374H816 | ETF | 125,274 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PACER FDS TR | 69374H717 | CMN | 117,852 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCKLEY PHOTONICS HLDGS LTD | G7614L109 | COM | 18,165 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RIVERNORTH DOUBLELINE STRATE | 76882G156 | RIGHT 10/01/2021 | 32,106 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000092230-21-000081 | this filing | 2021-11-05 | acceptance time not in the bulk data set |