13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-11, with 2,701 holding rows worth $31,685,556,000.
- Accession
- 0000720672-18-000055
- Filer
- CIK 720672
- Filed
- 2018-05-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 7,357 entries on the cover page, a total value of $31,685,556,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $31,685,556,000 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 |
|---|---|---|---|---|---|---|
| THL CR SR LN FD | 87244R103 | COM | 10,229 | $175,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 16,125 | $175,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 14,149 | $175,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 11,691 | $175,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 20,581 | $173,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 12,957 | $173,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 43,000 | $172,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 18,757 | $172,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 19,627 | $171,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 12,065 | $167,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 27,548 | $165,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 10,123 | $165,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 19,298 | $163,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $161,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 161,900 | $161,000 | thousands by filing date | principal |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 12,134 | $160,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 13,000 | $159,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 15,000 | $157,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 12,310 | $156,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 31,383 | $155,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,000 | $149,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 15,234 | $149,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,466 | $148,000 | thousands by filing date | |
| PROSHARES | 74348A442 | EXCHANGE TRADED | 13,034 | $146,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 145,261 | $146,000 | thousands by filing date | principal |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,465 | $144,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 14,872 | $143,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 20,998 | $142,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 14,378 | $141,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 62,932 | $141,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 22,645 | $140,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,943 | $139,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 81,312 | $139,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 15,105 | $136,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 14,000 | $136,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 32,831 | $134,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 10,391 | $134,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 11,469 | $132,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 19,000 | $131,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 15,000 | $130,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 19,323 | $129,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,230 | $128,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 10,819 | $128,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 17,650 | $128,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 127,216 | $127,000 | thousands by filing date | principal |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 126,478 | $125,000 | thousands by filing date | principal |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 90,786 | $124,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 38,550 | $124,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 10,023 | $123,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 13,950 | $122,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 21,304 | $121,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 20,775 | $118,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 10,364 | $115,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 11,963 | $114,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 21,718 | $113,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 21,362 | $113,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 18,337 | $111,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,000 | $110,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 108,784 | $110,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 34,000 | $106,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 16,100 | $106,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 77,956 | $106,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 30,000 | $105,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 21,411 | $104,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 16,881 | $103,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 12,388 | $102,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 10,241 | $100,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 16,692 | $100,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 10,283 | $99,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 10,547 | $99,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 12,450 | $98,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 22,553 | $97,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 10,200 | $96,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 10,884 | $96,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 15,893 | $94,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 15,305 | $93,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 11,245 | $91,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 97,000 | $91,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $86,000 | thousands by filing date | principal |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 91,000 | $85,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 11,459 | $85,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 48,486 | $82,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,000 | $82,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 10,367 | $79,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 15,929 | $77,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 79,750 | $77,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 17,050 | $75,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 14,301 | $74,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 71,000 | $74,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 27,900 | $73,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 73,000 | $73,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 10,000 | $72,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 38,350 | $70,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 74,000 | $69,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 12,282 | $68,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 31,773 | $68,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 66,844 | $67,000 | thousands by filing date | principal |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 74,000 | $67,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,750 | $66,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 63,700 | $65,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 67,000 | $64,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 63,000 | $63,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 70,805 | $62,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 10,289 | $62,000 | thousands by filing date | |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 17,829 | $62,000 | thousands by filing date | |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 56,000 | $61,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 100,000 | $59,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 11,875 | $58,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 60,000 | $58,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 57,876 | $58,000 | thousands by filing date | principal |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 26,937 | $57,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 80,000 | $55,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 46,000 | $53,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 52,000 | $53,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 10,050 | $52,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 55,000 | $52,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 52,080 | $51,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 56,000 | $50,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 52,000 | $50,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 49,000 | $50,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 12,645 | $49,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,012 | $48,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 52,000 | $48,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,066 | $47,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 27,957 | $47,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 46,000 | $47,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 12,440 | $47,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 11,200 | $45,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 52,502 | $45,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 49,000 | $44,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 43,961 | $44,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 42,000 | $44,000 | thousands by filing date | |
| TRIP COM GROUP LTD | 22943FAM2 | DBCV 1.250% 9/1 | 42,000 | $44,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 38,000 | $44,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 43,000 | $43,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 46,000 | $43,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 47,000 | $43,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 44,000 | $42,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 12,131 | $42,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 42,000 | $42,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 42,499 | $42,000 | thousands by filing date | principal |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 13,000 | $41,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 35,000 | $39,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 37,550 | $38,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 43,000 | $38,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 42,000 | $38,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 38,000 | $37,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 39,000 | $37,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 36,682 | $37,000 | thousands by filing date | principal |
| ICAD INC | 44934S206 | COM NEW | 11,675 | $36,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 37,000 | $36,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $35,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 38,000 | $34,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 33,000 | $33,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 33,000 | $33,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 40,000 | $32,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 31,811 | $32,000 | thousands by filing date | principal |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 33,000 | $32,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 10,747 | $31,000 | thousands by filing date | |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 29,000 | $31,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $29,000 | thousands by filing date | principal |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 27,870 | $28,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 23,372 | $27,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 28,000 | $27,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $27,000 | thousands by filing date | principal |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 27,135 | $27,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 25,000 | $26,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $25,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 24,949 | $25,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 24,000 | $24,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $24,000 | thousands by filing date | principal |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 13,500 | $23,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 11,550 | $23,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 22,000 | $23,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 13,000 | $23,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 20,000 | $23,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 21,000 | $22,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 14,372 | $20,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 11,000 | $20,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 35,075 | $19,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 16,000 | $18,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $17,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $17,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 15,997 | $16,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 15,412 | $15,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $14,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAB8 | NOTE 0.250% 9/1 | 14,424 | $14,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $12,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 13,000 | $12,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 11,346 | $12,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 11,388 | $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 |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,441 | $10,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,142 | $10,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 8,471 | $9,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 8,964 | $9,000 | thousands by filing date | principal |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 11,700 | $9,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 11,941 | $8,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 12,375 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-18-000055 | this filing | 2018-05-11 | acceptance time not in the bulk data set |