13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-13, with 2,742 holding rows worth $21,665,895,000.
- Accession
- 0000312272-19-000009
- Filer
- CIK 312272
- Filed
- 2019-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 2,742 entries on the cover page, a total value of $21,665,895,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $21,664,544,000 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 |
|---|---|---|---|---|---|---|
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 23,374 | $170,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 10,184 | $170,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 16,386 | $170,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 56,143 | $170,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 19,480 | $169,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 18,690 | $169,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,695 | $169,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 10,653 | $168,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 11,884 | $168,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 39,829 | $167,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 30,090 | $167,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 31,294 | $166,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 11,182 | $165,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,377 | $165,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 16,146 | $165,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 16,500 | $164,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 40,072 | $164,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 11,044 | $163,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 31,985 | $162,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 10,600 | $162,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 96,768 | $160,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,011 | $160,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 14,736 | $159,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 32,625 | $158,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 13,521 | $155,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 19,832 | $154,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,507 | $154,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 115,358 | $151,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 10,000 | $151,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 18,850 | $149,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 12,029 | $149,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 27,707 | $149,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 35,882 | $149,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 15,596 | $148,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 13,850 | $148,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 28,121 | $147,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 28,815 | $146,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 18,300 | $145,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 196,500 | $145,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 16,469 | $143,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 77,105 | $141,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 10,205 | $140,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 25,550 | $140,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 45,121 | $139,000 | thousands by filing date | |
| CARBON BLACK INC | 14081R103 | COM | 10,024 | $139,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 11,016 | $138,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 36,114 | $137,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 10,970 | $137,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 22,349 | $134,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,477 | $134,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 10,769 | $134,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 210,174 | $133,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 10,445 | $133,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 27,986 | $133,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 17,685 | $133,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 12,255 | $133,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 139,000 | $133,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,010 | $132,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 50,834 | $132,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 627,401 | $131,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 16,830 | $130,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 14,951 | $130,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 14,431 | $129,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 87,793 | $129,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,680 | $127,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 19,648 | $127,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 17,580 | $127,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 72,500 | $126,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 20,418 | $124,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 43,188 | $123,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 28,382 | $122,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 53,064 | $122,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 12,762 | $122,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 16,404 | $122,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 50,010 | $122,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 25,091 | $121,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 13,376 | $120,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 17,000 | $120,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 21,646 | $119,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 25,548 | $118,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 30,006 | $118,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 33,607 | $114,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 12,250 | $114,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 21,815 | $114,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 30,437 | $113,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 39,899 | $111,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 15,502 | $109,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 20,275 | $108,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 11,201 | $108,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 15,762 | $107,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 18,108 | $107,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 16,844 | $106,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,844 | $105,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 13,000 | $105,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 10,246 | $105,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 12,100 | $103,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 16,013 | $102,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 50,000 | $102,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 10,748 | $102,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 19,390 | $101,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 29,919 | $101,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,436 | $97,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 10,000 | $97,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 28,978 | $97,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,722 | $96,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 17,126 | $96,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 35,729 | $96,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 27,462 | $96,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 15,553 | $95,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,595 | $95,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 39,553 | $94,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 13,474 | $93,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 20,944 | $93,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 10,174 | $92,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 14,075 | $91,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 12,701 | $90,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 22,928 | $90,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 10,913 | $90,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 45,648 | $89,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 110,929 | $89,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 90,666 | $89,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 24,852 | $88,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 58,197 | $86,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 15,500 | $85,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 310,889 | $84,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 10,297 | $83,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 10,025 | $83,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 14,170 | $82,000 | thousands by filing date | |
| GLOBAL CORD BLOOD CORP | G39342103 | COM | 11,550 | $81,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,022 | $79,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 10,118 | $79,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,402 | $77,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 13,346 | $74,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 75,000 | $74,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 21,143 | $73,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 14,193 | $73,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 14,711 | $73,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 12,152 | $73,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 12,635 | $71,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 59,835 | $71,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 23,500 | $70,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 28,003 | $70,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 15,045 | $69,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 14,344 | $66,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,042 | $66,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 118,559 | $65,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 20,375 | $65,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 15,873 | $63,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 20,513 | $62,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 12,188 | $62,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,387 | $62,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $61,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 30,000 | $56,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 40,000 | $56,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 18,643 | $55,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 14,602 | $54,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 22,744 | $54,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 31,090 | $51,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,766 | $51,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 17,009 | $50,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 28,692 | $49,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 10,183 | $48,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 19,150 | $48,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 52,978 | $48,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 32,387 | $48,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $47,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 64,014 | $44,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 40,364 | $43,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 14,000 | $43,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 14,275 | $42,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 30,405 | $42,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,570 | $41,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 29,938 | $39,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $39,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 61,700 | $37,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 31,788 | $37,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 24,650 | $37,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 37,000 | $36,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 35,000 | $34,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 12,314 | $33,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 133,777 | $32,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 57,806 | $32,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 10,020 | $31,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $31,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 47,448 | $30,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,008 | $29,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 22,200 | $28,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 39,085 | $28,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 13,755 | $27,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 11,274 | $27,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,851 | $26,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 13,400 | $26,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $26,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 27,500 | $26,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 29,000 | $26,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 47,179 | $24,000 | thousands by filing date | |
| FUSION CONNECT INC | 36116X102 | COM | 18,871 | $24,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 69,812 | $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 | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,648 | $22,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 15,000 | $22,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $22,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 12,689 | $21,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 14,734 | $21,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 20,000 | $20,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $18,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 18,416 | $17,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 16,200 | $17,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 19,000 | $17,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,975 | $16,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 17,000 | $16,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 20,000 | $16,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,450 | $15,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 15,000 | $14,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,193 | $14,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 23,974 | $14,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 20,180 | $13,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 14,000 | $13,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 19,930 | $12,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 11,445 | $11,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,822 | $11,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 13,589 | $10,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 25,367 | $10,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $10,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 11,100 | $9,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 12,000 | $9,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 21,811 | $9,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 22,330 | $9,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 34,600 | $9,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 10,000 | $9,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 12,500 | $7,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 12,061 | $6,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,334 | $5,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 20,354 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 30,787 | $4,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 18,664 | $4,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 10,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-19-000009 | this filing | 2019-05-13 | acceptance time not in the bulk data set |