13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-11, with 2,814 holding rows worth $21,466,891,000.
- Accession
- 0000312272-20-000006
- Filer
- CIK 312272
- Filed
- 2020-05-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 2,814 entries on the cover page, a total value of $21,466,891,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $21,465,484,000 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 |
|---|---|---|---|---|---|---|
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 29,405 | $142,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 39,351 | $141,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 11,633 | $141,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 136,377 | $140,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 17,650 | $140,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G772 | INFRAC ACT MLP | 12,963 | $139,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 11,361 | $138,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 14,761 | $138,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 12,966 | $137,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 12,630 | $137,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 31,588 | $136,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 36,867 | $136,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 16,332 | $135,000 | thousands by filing date | |
| BNY MELLON MUN BD INFRASTRUC | 09662W109 | COM SHS | 10,921 | $135,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 10,843 | $135,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 16,738 | $135,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 24,534 | $134,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 14,079 | $134,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 53,821 | $134,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 27,548 | $133,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 34,332 | $133,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 16,825 | $132,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 18,549 | $131,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 16,613 | $130,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 18,353 | $129,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 17,909 | $128,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 15,219 | $127,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 15,000 | $126,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 24,141 | $124,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 19,760 | $124,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 11,590 | $124,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 29,615 | $124,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 11,071 | $124,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 26,974 | $123,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 32,500 | $123,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 79,724 | $123,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 15,985 | $123,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 52,193 | $123,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 146,000 | $123,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 14,847 | $122,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 11,717 | $120,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 15,785 | $120,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 20,172 | $120,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 26,656 | $119,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 95,370 | $119,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 89,294 | $116,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 10,644 | $115,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 23,909 | $115,000 | thousands by filing date | |
| ECOVYST INC. | 73943T103 | Common Stock | 10,500 | $114,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 16,057 | $113,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 20,512 | $113,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,432 | $113,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 21,462 | $113,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 21,903 | $112,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 14,888 | $112,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 14,521 | $111,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 169,447 | $111,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 16,690 | $110,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,314 | $109,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 12,201 | $109,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 14,714 | $109,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 17,908 | $109,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 25,781 | $108,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 16,709 | $107,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 16,691 | $107,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 10,095 | $106,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 16,640 | $106,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 128,000 | $106,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 117,662 | $105,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 69,815 | $105,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 18,302 | $105,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 10,741 | $105,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 13,642 | $105,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 10,296 | $105,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 13,825 | $105,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 10,514 | $105,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 11,435 | $104,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 12,129 | $104,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 25,115 | $104,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 42,471 | $104,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 32,077 | $101,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 17,480 | $101,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 56,393 | $100,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 11,397 | $100,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 11,617 | $97,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 21,419 | $97,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 18,140 | $97,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,092 | $96,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 10,642 | $96,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 60,743 | $96,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 15,784 | $95,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 11,936 | $95,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 20,000 | $95,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 82,045 | $95,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 12,924 | $94,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 15,330 | $93,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 11,750 | $93,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 40,675 | $92,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 164,851 | $91,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 11,900 | $91,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 17,376 | $90,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 17,353 | $89,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 23,029 | $89,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 10,668 | $89,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 12,270 | $89,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 28,066 | $87,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 10,725 | $87,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 51,085 | $86,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 26,396 | $86,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 28,975 | $86,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 11,576 | $85,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 11,725 | $85,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 23,484 | $84,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 10,431 | $84,000 | thousands by filing date | |
| ESSA PHARMA INC | 29668H708 | COM NEW | 21,020 | $84,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 14,789 | $83,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 11,647 | $82,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 11,919 | $82,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 11,560 | $81,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 10,036 | $81,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 15,658 | $81,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 11,575 | $81,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 84,000 | $81,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 31,979 | $80,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 25,505 | $80,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 75,775 | $80,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 18,050 | $79,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 11,464 | $79,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 11,386 | $78,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 66,613 | $77,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 13,857 | $77,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 17,117 | $77,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 10,717 | $76,000 | thousands by filing date | |
| INVESCO HIGH INCOME 2024 TAR | 46136K105 | COM | 10,400 | $76,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,950 | $75,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 26,144 | $74,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 12,261 | $72,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 32,964 | $72,000 | thousands by filing date | |
| ONE STOP SYSTEMS INC | 68247W109 | COMMON STOCK | 50,000 | $72,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 31,323 | $72,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 11,850 | $71,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 23,537 | $70,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 14,863 | $69,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 80,555 | $68,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 10,818 | $68,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 77,000 | $68,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 10,431 | $66,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 11,167 | $64,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 17,656 | $63,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 16,315 | $62,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 14,584 | $62,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 30,219 | $61,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 28,693 | $61,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 74,828 | $61,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 11,359 | $61,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 290,889 | $61,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 12,308 | $60,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 10,650 | $60,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 14,271 | $60,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 142,931 | $60,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 70,826 | $59,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 15,592 | $59,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 11,202 | $58,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 12,314 | $58,000 | thousands by filing date | |
| DANAOS CORPORATION SHS | Y1968P121 | Stock | 14,263 | $57,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 10,973 | $57,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 21,400 | $57,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 13,390 | $56,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 17,104 | $56,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 10,845 | $55,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06745R693 | IPATH B S&P ETN | 13,330 | $55,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 27,175 | $54,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 16,259 | $54,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 22,790 | $54,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 36,635 | $54,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 10,530 | $53,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 11,360 | $52,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 22,457 | $51,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 14,641 | $51,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 17,400 | $51,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 11,325 | $51,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 10,618 | $51,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 40,000 | $50,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $49,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 26,890 | $49,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 30,229 | $49,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 68,042 | $48,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 10,880 | $48,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 11,283 | $48,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 22,093 | $48,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 21,135 | $48,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 12,745 | $48,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 17,850 | $47,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 10,001 | $46,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 10,000 | $46,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 11,871 | $44,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 215,855 | $43,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 23,520 | $43,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 107,136 | $43,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 10,565 | $42,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 10,603 | $42,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 108,895 | $42,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 16,642 | $41,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 72,010 | $41,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 11,600 | $40,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 12,440 | $40,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 27,181 | $40,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 14,721 | $38,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 37,460 | $37,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 30,810 | $37,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 23,333 | $37,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 32,387 | $37,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 11,408 | $36,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 212,571 | $36,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 14,013 | $34,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 32,867 | $34,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 14,343 | $33,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 17,936 | $33,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 33,235 | $33,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 12,873 | $32,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 78,031 | $32,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $32,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 16,861 | $31,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 15,600 | $31,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,538 | $30,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 10,083 | $30,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 10,515 | $30,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 50,819 | $30,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 15,010 | $29,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 47,079 | $29,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 159,215 | $29,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $29,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 19,351 | $28,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 17,460 | $28,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 70,125 | $27,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 42,356 | $27,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 49,759 | $27,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 20,915 | $27,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 51,275 | $26,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $26,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 46,050 | $25,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 10,448 | $25,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 12,335 | $25,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,000 | $25,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 18,684 | $25,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 30,380 | $24,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,121 | $24,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 13,980 | $24,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,297 | $23,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 31,382 | $23,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $22,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 40,000 | $22,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 16,019 | $21,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 13,955 | $21,000 | thousands by filing date | |
| GRANA Y MONTERO S A A | 38500P208 | SPONSORED ADR | 14,189 | $21,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 22,377 | $20,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 15,739 | $19,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 12,600 | $19,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 11,265 | $19,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 21,783 | $19,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 26,870 | $19,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 10,000 | $19,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 10,000 | $19,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 17,389 | $18,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 50,338 | $18,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 12,755 | $18,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 45,000 | $18,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 22,200 | $17,000 | thousands by filing date | |
| CRH MEDICAL CORP | 12626F105 | COM | 12,756 | $17,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 25,100 | $17,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 24,864 | $16,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 25,000 | $16,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 27,000 | $16,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 15,000 | $16,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 11,254 | $15,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 12,500 | $15,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 25,284 | $13,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 17,857 | $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 | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 14,316 | $13,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 37,500 | $13,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 10,635 | $13,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 13,388 | $12,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,820 | $12,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 12,500 | $12,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 15,301 | $11,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 30,766 | $11,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 27,119 | $10,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $10,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314507 | COM | 44,112 | $10,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 13,600 | $10,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 20,000 | $9,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 26,500 | $9,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 41,081 | $9,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 18,500 | $9,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 20,996 | $8,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 10,890 | $7,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 16,238 | $7,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 26,773 | $7,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 10,000 | $7,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,320 | $6,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 10,000 | $6,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 17,500 | $6,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 13,195 | $5,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 13,500 | $5,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 16,571 | $5,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 11,200 | $4,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12,031 | $4,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 12,265 | $3,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 12,750 | $3,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 11,229 | $2,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 11,020 | $2,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,640 | $2,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 14,845 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-20-000006 | this filing | 2020-05-11 | acceptance time not in the bulk data set |