13F-HR filed by COMMONWEALTH EQUITY SERVICES, LLC
COMMONWEALTH EQUITY SERVICES, LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-11, with 3,197 holding rows worth $33,239,755,000.
- Accession
- 0000312272-21-000002
- Filer
- CIK 312272
- Filed
- 2021-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 3,197 entries on the cover page, a total value of $33,239,755,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $33,238,169,000 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 |
|---|---|---|---|---|---|---|
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,204 | $145,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 17,506 | $144,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 13,347 | $144,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 66,085 | $143,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 19,049 | $143,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 20,024 | $143,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 19,385 | $143,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 15,878 | $143,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 11,484 | $142,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 12,487 | $142,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 20,792 | $141,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 10,599 | $140,000 | thousands by filing date | |
| BIONANO GENOMICS INC | 09075F107 | COM | 45,727 | $140,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 87,893 | $139,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 27,259 | $137,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 21,246 | $137,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 10,234 | $137,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 17,185 | $136,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 13,518 | $135,000 | thousands by filing date | |
| ABERDEEN INCOME CR STRATEGIE | 003057106 | COM | 12,526 | $133,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 10,706 | $132,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 39,261 | $132,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 32,965 | $131,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,907 | $129,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 22,000 | $129,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 73,777 | $129,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 10,175 | $128,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 12,155 | $128,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 25,520 | $125,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 15,550 | $125,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 14,327 | $123,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 12,000 | $122,000 | thousands by filing date | |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 77,213 | $122,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 22,964 | $121,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 16,224 | $120,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 17,841 | $120,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 16,730 | $118,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 11,200 | $118,000 | thousands by filing date | |
| ALLIANZGI CONVERTIBLE & INCOME 2024 TARGET TERM FUND | 01883H102 | COM | 11,900 | $118,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 12,021 | $117,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 11,066 | $117,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 27,705 | $117,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 11,917 | $116,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 48,761 | $114,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 17,523 | $114,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 23,320 | $114,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 26,060 | $114,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 42,889 | $113,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 25,457 | $112,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 11,073 | $112,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 30,263 | $111,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 13,758 | $111,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 30,053 | $111,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 22,968 | $109,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 24,700 | $108,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 12,144 | $107,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 14,450 | $106,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 20,622 | $105,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 79,406 | $105,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 23,266 | $104,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 46,482 | $102,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 103,000 | $101,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 10,000 | $98,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 20,780 | $97,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 14,409 | $97,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 26,662 | $97,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 10,664 | $96,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 20,633 | $96,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 11,760 | $95,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,757 | $95,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 16,944 | $94,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 92,000 | $94,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 19,315 | $93,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 13,927 | $93,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 88,000 | $92,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,544 | $90,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 10,895 | $89,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 10,633 | $89,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 89,401 | $89,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 29,063 | $88,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 41,050 | $87,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 62,801 | $86,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 123,227 | $85,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 23,315 | $84,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 31,152 | $83,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 13,811 | $83,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 12,991 | $83,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 10,520 | $82,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 25,050 | $82,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 14,167 | $81,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 12,085 | $81,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 21,917 | $80,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 12,815 | $79,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 25,344 | $79,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 44,072 | $77,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 76,240 | $77,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 30,062 | $77,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 23,622 | $75,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 10,290 | $74,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 11,265 | $74,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 12,700 | $73,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 10,172 | $72,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 17,786 | $71,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 28,097 | $71,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 57,830 | $71,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 28,180 | $71,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 21,737 | $70,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 21,179 | $69,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 79,390 | $69,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 57,422 | $69,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 12,788 | $68,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 40,282 | $68,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 10,350 | $66,000 | thousands by filing date | |
| USA TODAY CO INC | 36472T109 | COM | 18,774 | $63,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 12,660 | $62,000 | thousands by filing date | |
| DIRTT ENVIRONMENTAL SOLUT LT | 25490H106 | COM | 25,000 | $61,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,659 | $60,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 14,327 | $57,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 12,308 | $57,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 17,158 | $57,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 18,374 | $57,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 14,600 | $56,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 35,044 | $55,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 16,019 | $53,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 228,000 | $52,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 24,354 | $51,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 12,340 | $51,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 26,190 | $50,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 17,232 | $49,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 16,397 | $49,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 14,169 | $48,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 25,723 | $48,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 17,984 | $47,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 18,100 | $46,000 | thousands by filing date | |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 10,905 | $46,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 21,955 | $45,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 15,197 | $45,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 13,472 | $44,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 45,000 | $44,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 46,500 | $44,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427401 | COMMON STOCK | 17,921 | $43,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 12,315 | $41,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 19,032 | $41,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 42,000 | $41,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 41,000 | $40,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 58,625 | $39,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 29,000 | $39,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 13,523 | $38,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 10,300 | $38,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 14,410 | $37,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 37,500 | $36,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 27,934 | $35,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 16,533 | $35,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 11,462 | $33,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 10,461 | $33,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 18,692 | $33,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 10,437 | $32,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 33,000 | $32,000 | thousands by filing date | |
| CELLECTAR BIOSCIENCES INC | 15117F500 | COM PAR | 15,415 | $32,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 13,437 | $31,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 14,370 | $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 | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 10,330 | $30,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 11,629 | $28,000 | thousands by filing date | |
| CORVUS GOLD INC | 221013105 | COM | 11,479 | $27,000 | thousands by filing date | |
| AENZA S.A.A | 00776D103 | SPONSORED ADS | 11,389 | $27,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,043 | $26,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 11,481 | $26,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 18,816 | $25,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 12,375 | $23,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 23,025 | $23,000 | thousands by filing date | |
| HEPION PHARMACEUTICALS INC | 426897104 | COM | 10,360 | $22,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 16,500 | $22,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 20,000 | $20,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 16,543 | $20,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 12,041 | $19,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A106 | COM | 10,635 | $18,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 38,784 | $17,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U209 | COM | 10,000 | $17,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 13,200 | $16,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 16,335 | $16,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 10,000 | $14,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 23,100 | $14,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 26,122 | $12,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 15,102 | $12,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 18,500 | $12,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 11,000 | $10,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 18,500 | $9,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 26,713 | $9,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 10,000 | $9,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 13,646 | $8,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 13,100 | $8,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 10,890 | $7,000 | thousands by filing date | |
| COLOR STAR TECHNOLOGY CO LTD | G2287A100 | SHS NEW | 10,000 | $7,000 | thousands by filing date | |
| AVINGER INC | 053734604 | COM | 17,272 | $7,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 11,350 | $6,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 10,221 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000312272-21-000002 | this filing | 2021-02-11 | acceptance time not in the bulk data set |