13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-13, with 2,578 holding rows worth $28,812,059,000.
- Accession
- 0000720672-17-000087
- Filer
- CIK 720672
- Filed
- 2017-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 7,063 entries on the cover page, a total value of $28,812,059,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $28,812,059,000 with VALUE read as thousands by filing date, 13F file number 028-04621. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerZiegler Capital Management, LLC028-10982
- included managerSTIFEL NICOLAUS & CO INC \MO\028-06972
- included managerChoice Financial Partners, Inc.028-13156
- included managerCentury Securities Associates, Inc.028-13699
- included manager1919 Investment Counsel, LLC028-11345
- included managerStifel Trust Company, N.A.028-06397
- included managerBarclays Wealth Trustees (U.S.), N.A.028-16086
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
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 |
|---|---|---|---|---|---|---|
| CODEXIS INC | 192005106 | COM | 10,000 | $67,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 10,150 | $67,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 21,700 | $65,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 15,594 | $65,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 65,000 | $65,000 | thousands by filing date | principal |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 60,000 | $64,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 43,663 | $64,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 61,600 | $62,000 | thousands by filing date | principal |
| LONG IS ICED TEA CORP | 54267E104 | COM | 25,000 | $62,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 13,575 | $60,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 59,400 | $60,000 | thousands by filing date | principal |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,269 | $59,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 11,500 | $58,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 13,960 | $57,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 11,237 | $54,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 10,000 | $51,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 14,858 | $50,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 10,000 | $48,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 46,824 | $47,000 | thousands by filing date | principal |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 10,324 | $46,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 70,805 | $44,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 43,513 | $44,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 54,438 | $43,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 42,840 | $42,000 | thousands by filing date | principal |
| KCAP FINANCIAL INC | 48668E101 | COM | 10,277 | $38,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 36,630 | $37,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 20,765 | $36,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 12,440 | $36,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,000 | $33,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 31,525 | $33,000 | thousands by filing date | |
| Emmis Communications Corp | 291525400 | COM | 10,999 | $32,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 31,588 | $32,000 | thousands by filing date | principal |
| BIOANALYTICAL SYS INC | 09058M103 | COM | 17,000 | $30,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $29,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $29,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $29,000 | thousands by filing date | principal |
| Yogaworks, Inc. | 986005106 | com | 10,250 | $28,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 18,612 | $28,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $28,000 | thousands by filing date | principal |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 27,810 | $27,000 | thousands by filing date | principal |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 10,747 | $25,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 25,156 | $25,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 25,025 | $25,000 | thousands by filing date | principal |
| EGALET CORP | 28226B104 | COM | 18,800 | $25,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $24,000 | thousands by filing date | principal |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 20,474 | $23,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 20,588 | $22,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 22,329 | $22,000 | thousands by filing date | principal |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 11,700 | $22,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 20,825 | $21,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $18,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $18,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 17,903 | $18,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 13,000 | $18,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 17,000 | $17,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $17,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 16,894 | $17,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 16,219 | $16,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 16,444 | $16,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,327 | $15,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $15,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $14,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 14,213 | $14,000 | thousands by filing date | principal |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 14,372 | $13,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 11,681 | $12,000 | thousands by filing date | principal |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $12,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 12,063 | $12,000 | thousands by filing date | principal |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 65,550 | $12,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 11,418 | $12,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 10,919 | $11,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 14,750 | $10,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 10,013 | $10,000 | thousands by filing date | principal |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 11,566 | $8,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 11,330 | $7,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 57,154 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-17-000087 | this filing | 2017-11-13 | acceptance time not in the bulk data set |