13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-30, with 2,837 holding rows worth $23,443,312,000.
- Accession
- 0000312272-19-000015
- Filer
- CIK 312272
- Filed
- 2019-10-30
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 2,837 entries on the cover page, a total value of $23,443,312,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $23,441,906,000 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 |
|---|---|---|---|---|---|---|
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 6,415 | $215,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 4,656 | $215,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 9,996 | $214,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 8,601 | $214,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 12,503 | $214,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 19,512 | $214,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 2,927 | $213,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 18,160 | $213,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 36,882 | $213,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 5,308 | $212,000 | thousands by filing date | |
| 1895 BANCORP OF WIS INC COM | 28252W105 | Stock | 22,000 | $212,000 | thousands by filing date | |
| INSPIRE SMALL/MID CAP ETF | 66538H641 | ETF | 8,045 | $211,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 11,934 | $211,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 2,719 | $211,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 21,641 | $211,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 12,721 | $210,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 49,194 | $210,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 16,076 | $210,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 20,990 | $209,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 17,297 | $209,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A594 | AAM S&P 500 | 7,923 | $209,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 4,773 | $208,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 15,085 | $208,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 2,248 | $207,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 25,804 | $207,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 34,564 | $207,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 27,160 | $206,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 4,552 | $206,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 61,593 | $206,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 5,328 | $206,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 1,405 | $205,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 4,723 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 11,676 | $205,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 5,290 | $204,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 6,460 | $204,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 4,682 | $203,000 | thousands by filing date | |
| CYRUSONE INC | 23283R100 | COM | 2,567 | $203,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 17,747 | $203,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 4,072 | $203,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 4,392 | $202,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 16,782 | $202,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 13,329 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 5,903 | $202,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 2,701 | $201,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,082 | $200,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 13,998 | $200,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 4,811 | $200,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 3,000 | $200,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 4,660 | $200,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 18,191 | $200,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 10,355 | $199,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 14,550 | $199,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 20,480 | $197,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 10,146 | $196,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 37,049 | $196,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 23,583 | $195,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,553 | $195,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 14,041 | $195,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 19,804 | $194,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,458 | $192,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 45,835 | $192,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 53,050 | $192,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 16,442 | $192,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 19,430 | $191,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 45,254 | $190,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 10,525 | $189,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 13,409 | $189,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 11,573 | $189,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 10,484 | $188,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 17,963 | $187,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 22,961 | $187,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 156,325 | $186,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 10,709 | $182,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 13,810 | $182,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 31,307 | $181,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 19,286 | $180,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 15,479 | $178,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 19,462 | $178,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 79,784 | $177,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 12,551 | $177,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 10,188 | $176,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 13,335 | $176,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 29,841 | $176,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 17,325 | $174,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 16,555 | $174,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 11,609 | $174,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 10,231 | $173,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 24,199 | $173,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 31,139 | $171,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 12,062 | $170,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 10,695 | $170,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 21,385 | $169,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 528,319 | $169,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 10,925 | $168,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 14,013 | $168,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 57,730 | $165,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 16,013 | $165,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 31,287 | $163,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 12,871 | $162,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 29,821 | $161,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 10,000 | $159,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 17,822 | $158,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 18,468 | $157,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 84,463 | $157,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,807 | $156,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 16,103 | $155,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 28,520 | $154,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 13,409 | $154,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 12,211 | $154,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,229 | $152,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 15,488 | $151,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 47,619 | $151,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 32,900 | $151,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 22,464 | $150,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 10,415 | $149,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 10,391 | $148,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 34,315 | $148,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 117,858 | $147,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 50,000 | $147,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 196,500 | $147,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 32,540 | $146,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 15,099 | $145,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 13,570 | $144,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 10,146 | $143,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 17,071 | $143,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 10,769 | $140,000 | thousands by filing date | |
| INTERNAP CORPORATION | 45885A409 | COMMON STOCK | 53,937 | $139,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,344 | $138,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 15,193 | $137,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 20,418 | $137,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 139,000 | $137,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 18,092 | $136,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 56,084 | $135,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 67,010 | $134,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 28,212 | $132,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 40,150 | $132,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 14,567 | $131,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 21,700 | $131,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 22,780 | $129,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,078 | $128,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 12,063 | $126,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 12,937 | $124,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 11,900 | $123,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 29,502 | $122,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 17,661 | $122,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 19,548 | $121,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 13,823 | $121,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 25,616 | $120,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 12,900 | $120,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 11,984 | $119,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 13,112 | $119,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 12,843 | $118,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 30,748 | $117,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 14,280 | $116,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 16,016 | $115,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 12,996 | $115,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 29,182 | $114,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 48,492 | $114,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 11,500 | $114,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 14,496 | $112,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 114,358 | $112,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 10,043 | $112,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 53,396 | $110,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 82,151 | $109,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 12,115 | $109,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,617 | $108,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 13,256 | $108,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,259 | $108,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 17,700 | $107,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 10,152 | $107,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 30,034 | $107,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 10,327 | $107,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 60,749 | $106,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 10,103 | $106,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 67,639 | $105,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 19,715 | $104,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 13,066 | $101,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 17,584 | $101,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 49,641 | $100,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 77,806 | $100,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 101,000 | $100,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 10,942 | $99,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 10,025 | $99,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 13,485 | $97,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 10,139 | $96,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 16,506 | $96,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,792 | $94,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 19,453 | $93,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 13,068 | $91,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 110,789 | $91,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 27,401 | $89,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 28,185 | $89,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,962 | $89,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 24,565 | $89,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 16,315 | $86,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 109,929 | $86,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 13,844 | $84,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 10,808 | $84,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 13,100 | $84,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 18,300 | $83,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 15,100 | $83,000 | thousands by filing date | |
| CALEDONIA MINING CORP PLC | G1757E113 | COMMON STOCK | 12,423 | $83,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 16,574 | $83,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 13,047 | $81,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 15,985 | $80,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 16,233 | $77,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 22,928 | $76,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 10,000 | $76,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 33,671 | $76,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 58,871 | $76,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 16,280 | $75,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 21,190 | $75,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,022 | $74,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 18,000 | $74,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 35,196 | $73,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 27,483 | $71,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 13,052 | $71,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 290,889 | $71,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 77,146 | $70,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,590 | $70,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 13,167 | $68,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 10,398 | $67,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 11,346 | $67,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 13,025 | $67,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 10,466 | $65,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 11,083 | $63,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 16,352 | $60,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 26,842 | $60,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 20,940 | $60,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 22,094 | $60,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 40,000 | $59,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 10,975 | $58,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 17,400 | $56,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 26,004 | $53,000 | thousands by filing date | |
| SOLIGENIX INC | 834223307 | COM | 55,878 | $53,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $52,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 14,439 | $51,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 12,701 | $51,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 77,105 | $51,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 57,324 | $50,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 16,461 | $49,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 14,249 | $47,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 25,955 | $47,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 27,472 | $47,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 13,362 | $46,000 | thousands by filing date | |
| OPTION CARE HEALTH INC | 68404L102 | COM | 14,532 | $46,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 46,500 | $45,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,766 | $45,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,772 | $44,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 30,329 | $44,000 | thousands by filing date | |
| BIO-KEY INTL INC | 09060C309 | COM | 71,459 | $44,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 71,325 | $41,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 10,913 | $41,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 38,824 | $41,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 30,500 | $40,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $40,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 10,385 | $39,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,093 | $39,000 | thousands by filing date | |
| U S GOLD CORP | 90291C102 | COM PAR NEW | 42,000 | $39,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 11,500 | $38,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 12,986 | $38,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 30,690 | $37,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 16,946 | $36,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 12,873 | $36,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 12,639 | $36,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 13,148 | $35,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 12,635 | $34,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 31,213 | $33,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 11,201 | $33,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 12,100 | $32,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 13,156 | $32,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 24,295 | $32,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 16,275 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $31,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 28,978 | $30,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 12,579 | $30,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 22,200 | $29,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 29,664 | $29,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 27,532 | $29,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,001 | $29,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 10,025 | $29,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 13,277 | $27,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,526 | $27,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $27,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 32,387 | $27,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 27,000 | $27,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $26,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 25,865 | $25,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 41,825 | $25,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 21,723 | $24,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 11,824 | $24,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 93,236 | $24,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $24,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,570 | $23,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,059 | $23,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 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 | |
| MCEWEN MNG INC | 58039P107 | COM | 14,647 | $22,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 206,870 | $22,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 16,019 | $21,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $20,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 15,609 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $18,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 11,600 | $17,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 17,000 | $16,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 10,635 | $16,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 20,180 | $15,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 47,448 | $15,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 12,700 | $15,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 10,763 | $14,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 15,000 | $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 | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 13,195 | $14,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,000 | $13,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 12,649 | $12,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 14,700 | $12,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 30,960 | $10,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 17,000 | $10,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 10,750 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,680 | $9,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $9,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 10,682 | $9,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 10,000 | $9,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 25,284 | $8,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 10,500 | $8,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 11,266 | $8,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 12,000 | $7,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,311 | $7,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,734 | $7,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 10,103 | $6,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,379 | $5,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,017 | $5,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 17,000 | $5,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 12,291 | $4,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 19,488 | $4,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 16,832 | $3,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,940 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-19-000015 | this filing | 2019-10-30 | acceptance time not in the bulk data set |