13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-06, with 2,788 holding rows worth $20,880,608,000.
- Accession
- 0000312272-18-000014
- Filer
- CIK 312272
- Filed
- 2018-11-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 2,788 entries on the cover page, a total value of $20,880,608,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $20,879,232,000 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 |
|---|---|---|---|---|---|---|
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 5,604 | $202,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 3,545 | $202,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 60,143 | $202,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 16,959 | $201,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 626 | $201,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 6,783 | $201,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 4,380 | $200,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 1,097 | $200,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 1,993 | $200,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 19,780 | $200,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 21,400 | $200,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 6,280 | $199,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 15,941 | $197,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 10,184 | $196,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 17,832 | $195,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 20,638 | $191,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 10,004 | $190,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 38,267 | $190,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 24,252 | $190,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 33,330 | $190,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 29,507 | $189,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 16,155 | $185,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 12,719 | $183,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 10,346 | $183,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 12,765 | $182,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 31,609 | $181,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 11,568 | $181,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 14,537 | $180,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 15,401 | $180,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 16,000 | $179,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 68,350 | $179,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 101,307 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 13,084 | $176,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 21,000 | $176,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 13,988 | $175,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 13,018 | $175,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 13,150 | $174,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 29,223 | $174,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 10,000 | $174,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 24,743 | $173,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 17,155 | $172,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 12,601 | $172,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 12,691 | $171,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 26,255 | $170,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 13,863 | $170,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 30,709 | $170,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 19,150 | $170,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 15,556 | $165,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 22,650 | $165,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 16,367 | $164,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 66,054 | $164,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 10,959 | $162,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 23,644 | $162,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 10,958 | $162,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 12,507 | $162,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 28,300 | $161,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 14,103 | $160,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,675 | $160,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 12,880 | $159,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 12,627 | $158,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 20,595 | $158,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 12,657 | $157,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 11,974 | $156,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 13,410 | $156,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 11,448 | $156,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 25,278 | $155,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,924 | $154,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 13,747 | $154,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 33,312 | $153,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 15,212 | $153,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 56,807 | $153,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 15,631 | $152,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 152,000 | $152,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 50,390 | $151,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 33,040 | $150,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 33,004 | $150,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 13,177 | $149,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 15,591 | $149,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,909 | $148,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 34,482 | $148,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 16,925 | $148,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 30,404 | $148,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 52,289 | $145,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 20,655 | $145,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 134,734 | $144,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 12,980 | $143,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 15,113 | $143,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 53,129 | $143,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,333 | $141,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 11,937 | $141,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 11,225 | $141,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 28,003 | $141,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 22,660 | $137,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 11,075 | $137,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 16,353 | $137,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 10,938 | $136,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 50,010 | $135,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 12,282 | $134,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 24,374 | $134,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 96,310 | $134,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 10,298 | $133,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 13,501 | $133,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 14,244 | $131,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 14,088 | $131,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 14,984 | $130,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 37,464 | $127,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 15,798 | $126,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 75,839 | $125,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 17,636 | $124,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 10,849 | $123,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 13,754 | $122,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 16,923 | $122,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 87,793 | $122,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 12,175 | $121,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 12,495 | $118,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,109 | $117,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 10,188 | $117,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 39,321 | $117,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 31,067 | $116,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 21,700 | $116,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 18,978 | $116,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 10,436 | $115,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,558 | $114,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 35,432 | $114,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 40,718 | $113,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 13,455 | $112,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 11,100 | $112,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 15,490 | $111,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 50,510 | $111,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 24,681 | $108,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,482 | $107,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 14,527 | $106,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 91,466 | $105,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 23,687 | $104,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 16,352 | $104,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 11,226 | $103,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 21,023 | $103,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 39,505 | $102,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 14,000 | $102,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 11,559 | $100,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 100,000 | $98,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 28,976 | $98,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 32,387 | $96,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 59,826 | $94,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 19,015 | $92,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 17,525 | $92,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 36,030 | $92,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,315 | $91,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 32,717 | $91,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 29,185 | $90,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 10,083 | $90,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 59,102 | $90,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 11,354 | $89,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 13,625 | $88,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 46,381 | $87,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 627,401 | $87,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 10,352 | $86,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 23,106 | $85,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 17,176 | $85,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 11,330 | $84,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 10,287 | $83,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 16,522 | $80,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 11,550 | $80,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 22,782 | $78,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 12,500 | $77,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 75,000 | $76,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 41,094 | $75,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 12,724 | $74,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 43,299 | $74,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 18,325 | $73,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 14,831 | $73,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 14,987 | $71,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 74,000 | $71,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $70,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 16,367 | $70,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 10,954 | $67,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 12,374 | $66,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,032 | $64,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 315,889 | $64,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 11,362 | $63,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 15,135 | $63,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 10,430 | $61,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,413 | $61,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 29,577 | $61,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 24,161 | $60,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 10,374 | $59,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 78,569 | $56,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 14,500 | $56,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 52,300 | $55,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K125 | DAILY S&P OIL | 10,006 | $54,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 30,624 | $52,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 15,205 | $52,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 45,000 | $51,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,851 | $48,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 18,871 | $48,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 10,011 | $48,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 38,100 | $47,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 40,000 | $47,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 16,771 | $47,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 47,448 | $46,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 11,314 | $45,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 14,500 | $44,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 60,183 | $44,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,766 | $44,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 15,360 | $41,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 14,820 | $40,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 30,090 | $39,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 13,210 | $39,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 110,929 | $39,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 31,788 | $38,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,297 | $37,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 38,000 | $37,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,684 | $36,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $36,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 26,000 | $36,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 37,000 | $36,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 11,300 | $35,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 62,054 | $34,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 21,000 | $33,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 35,000 | $33,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 22,200 | $32,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 14,934 | $32,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 24,416 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $30,000 | thousands by filing date | |
| EQUUS TOTAL RETURN INC | 294766100 | COM | 15,004 | $29,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $27,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 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 | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,795 | $26,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 10,450 | $26,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,700 | $26,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 17,743 | $26,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $26,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 10,995 | $25,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $25,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 44,008 | $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 | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 23,459 | $24,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 16,000 | $24,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 24,000 | $24,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 26,236 | $24,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 10,868 | $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 | |
| TITAN MED INC | 88830X819 | COM | 10,537 | $22,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 16,000 | $19,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 24,974 | $19,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 16,355 | $18,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 17,000 | $17,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 10,151 | $17,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,105 | $16,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,175 | $16,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 11,082 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $16,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 17,278 | $16,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,193 | $16,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 10,591 | $15,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 11,634 | $15,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 16,000 | $15,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 15,000 | $14,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,360 | $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 | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 14,000 | $14,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 15,000 | $14,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 10,700 | $12,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 11,700 | $12,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 22,180 | $11,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,145 | $11,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 21,922 | $11,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,000 | $11,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 12,061 | $11,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $10,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 10,200 | $9,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 11,969 | $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 | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 10,000 | $7,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 13,460 | $6,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 10,363 | $6,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 14,355 | $5,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 53,226 | $4,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 22,800 | $3,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 11,847 | $2,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 13,180 | $2,000 | thousands by filing date | |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 13,220 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-18-000014 | this filing | 2018-11-06 | acceptance time not in the bulk data set |