13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-07-31, with 2,765 holding rows worth $19,128,421,000.
- Accession
- 0000312272-18-000012
- Filer
- CIK 312272
- Filed
- 2018-07-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 2,765 entries on the cover page, a total value of $19,128,421,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $19,128,454,000 with VALUE read as thousands by filing date, 13F file number 028-18352. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 11,341 | $176,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 15,396 | $175,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 15,181 | $174,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 10,955 | $174,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 50,010 | $174,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 13,932 | $172,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 13,324 | $171,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 22,389 | $171,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 24,482 | $171,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 12,507 | $170,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 13,427 | $170,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 15,134 | $169,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 81,849 | $169,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,779 | $168,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 14,235 | $168,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 13,228 | $168,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,702 | $167,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 15,978 | $166,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 42,369 | $164,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 28,453 | $161,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 68,228 | $160,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 37,046 | $159,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 12,700 | $158,000 | thousands by filing date | |
| MOGO FIN TECHNOLOGY INC | 608008108 | COM | 56,591 | $157,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 23,847 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 12,994 | $156,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 32,308 | $156,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 27,628 | $156,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 10,781 | $155,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 20,000 | $155,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 20,481 | $155,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 23,993 | $154,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 59,873 | $154,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 152,000 | $154,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 10,416 | $153,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 15,516 | $151,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,793 | $150,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 13,911 | $150,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 11,058 | $150,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 11,185 | $147,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 16,841 | $147,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 15,135 | $147,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 23,568 | $147,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 11,206 | $146,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 22,661 | $145,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 10,226 | $145,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 11,167 | $145,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 33,390 | $145,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 14,157 | $145,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 13,253 | $141,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 15,514 | $140,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 16,925 | $140,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 13,755 | $140,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 18,978 | $140,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 18,587 | $139,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 10,748 | $138,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 11,556 | $138,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 11,749 | $138,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 18,353 | $137,000 | thousands by filing date | |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 10,350 | $136,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 11,758 | $134,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 19,694 | $133,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 14,543 | $128,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,817 | $128,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 11,414 | $127,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 90,760 | $125,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 26,806 | $124,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 12,627 | $124,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 12,200 | $124,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 12,711 | $123,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 49,090 | $123,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 10,739 | $120,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 13,448 | $120,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 12,175 | $120,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 18,204 | $119,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 15,000 | $119,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 22,595 | $119,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 27,303 | $119,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 46,578 | $118,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 12,500 | $117,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,040 | $116,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,773 | $116,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 30,976 | $116,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 88,235 | $116,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 18,000 | $115,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,333 | $114,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 19,886 | $111,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 24,582 | $111,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 36,072 | $111,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 11,100 | $111,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 11,550 | $110,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 18,813 | $109,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,424 | $109,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 36,532 | $109,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 312,889 | $107,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 28,138 | $106,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 13,237 | $106,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 13,829 | $106,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 32,100 | $106,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 10,204 | $105,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 11,441 | $104,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 20,566 | $103,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 41,387 | $103,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 23,006 | $102,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,157 | $102,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 15,615 | $101,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 11,022 | $99,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 13,632 | $99,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 10,463 | $98,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 11,239 | $96,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,985 | $96,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 62,297 | $95,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 11,564 | $94,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 10,352 | $92,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 27,003 | $88,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 12,488 | $86,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 25,205 | $84,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 14,297 | $83,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 59,926 | $83,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 16,100 | $82,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,529 | $81,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 53,100 | $80,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 32,317 | $80,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 10,050 | $78,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 40,469 | $77,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 18,950 | $77,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,815 | $77,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 14,755 | $76,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 11,910 | $76,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 11,853 | $76,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 22,759 | $76,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 37,464 | $75,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 41,766 | $73,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 54,700 | $72,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 14,335 | $71,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 74,000 | $71,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 17,761 | $70,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 10,913 | $68,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12,458 | $67,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 75,000 | $67,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 16,671 | $67,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 44,008 | $66,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,027 | $65,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,690 | $64,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 21,454 | $62,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 26,412 | $61,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 17,655 | $61,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 10,374 | $59,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 12,073 | $58,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 23,459 | $56,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 58,000 | $56,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 14,500 | $55,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 45,000 | $55,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 78,569 | $53,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 66,183 | $52,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 13,857 | $52,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 11,400 | $50,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 13,986 | $49,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 42,248 | $49,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 110,929 | $48,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 12,212 | $48,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 86,066 | $47,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,360 | $46,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,766 | $46,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 13,063 | $46,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 14,247 | $46,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $45,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 11,400 | $45,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 45,000 | $45,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 22,500 | $44,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 40,000 | $44,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,211 | $43,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 12,929 | $42,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 11,479 | $42,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 13,014 | $41,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,934 | $41,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,747 | $39,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 34,453 | $39,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $39,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 22,000 | $39,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 16,307 | $38,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 38,000 | $38,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $37,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 11,500 | $37,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 13,368 | $36,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 35,000 | $36,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 12,820 | $34,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,849 | $34,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 30,090 | $33,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 11,300 | $33,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 23,466 | $33,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 35,000 | $33,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $33,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 31,788 | $32,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 10,410 | $30,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 24,000 | $30,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 24,866 | $30,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 25,000 | $29,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $28,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $27,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 23,250 | $27,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $27,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 11,942 | $26,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 24,000 | $26,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 25,100 | $25,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 15,560 | $25,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 12,130 | $25,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 17,193 | $25,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 29,000 | $25,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $25,000 | thousands by filing date | |
| TORTOISE MLP FD INC | 89148B119 | RIGHT 07/18/2018 | 64,320 | $24,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 12,174 | $24,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 15,500 | $24,000 | thousands by filing date | |
| MABVAX THERAPEUTICS | 55414P702 | Equities | 27,865 | $24,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,105 | $23,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $23,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 23,000 | $23,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 23,000 | $23,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 23,000 | $23,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 11,006 | $22,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 13,000 | $22,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 17,743 | $22,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 21,000 | $22,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 22,000 | $21,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 16,000 | $21,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 21,000 | $21,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 11,072 | $21,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,500 | $20,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 10,030 | $19,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 11,000 | $19,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 16,000 | $18,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 48,738 | $17,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 17,000 | $17,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $17,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 21,000 | $17,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,193 | $17,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 17,000 | $16,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 22,180 | $15,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 17,074 | $15,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 15,000 | $15,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 15,000 | $15,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,945 | $14,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 14,000 | $14,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 11,500 | $14,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 13,000 | $13,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 23,072 | $12,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,266 | $12,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 12,161 | $12,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 11,000 | $11,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 20,688 | $10,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 45,002 | $10,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 23,410 | $9,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 10,000 | $9,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 30,787 | $7,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 11,860 | $6,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 25,086 | $6,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,641 | $6,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC COM PAR | 68232V306 | Stock | 12,500 | $5,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 10,000 | $5,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,200 | $4,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H101 | COM | 10,000 | $4,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 11,566 | $3,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 52,900 | $2,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 22,800 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-18-000012 | this filing | 2018-07-31 | acceptance time not in the bulk data set |