13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-14, with 2,706 holding rows worth $32,590,328,000.
- Accession
- 0000720672-18-000079
- Filer
- CIK 720672
- Filed
- 2018-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 7,376 entries on the cover page, a total value of $32,590,328,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $32,590,328,000 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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 7,613 | $219,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 6,833 | $219,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 8,392 | $219,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 10,740 | $218,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,264 | $218,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 216,665 | $218,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q308 | DIV RTN EM EQT | 3,979 | $217,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 12,500 | $217,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 26,912 | $216,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 10,500 | $216,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 216,408 | $216,000 | thousands by filing date | principal |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 6,071 | $215,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 7,463 | $215,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 4,848 | $215,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 4,034 | $214,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 8,393 | $214,000 | thousands by filing date | |
| BANDWIDTH INC | 05988J103 | COM CL A | 5,672 | $214,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 31,622 | $213,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 11,000 | $213,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 16,487 | $213,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 10,740 | $213,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 8,770 | $212,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 8,099 | $211,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 5,824 | $211,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 6,985 | $210,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 16,977 | $210,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 5,233 | $209,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 6,360 | $209,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 7,564 | $209,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 18,389 | $209,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 25,360 | $208,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 15,613 | $208,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 10,882 | $208,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 6,781 | $207,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 15,500 | $207,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 21,906 | $206,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 1,554 | $205,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 14,839 | $204,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 7,845 | $204,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 2,458 | $204,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 3,173 | $203,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 9,009 | $203,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 9,033 | $202,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 8,606 | $202,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 10,658 | $202,000 | thousands by filing date | |
| ARES MGMT LP COM SHS REG INT | 04014Y101 | Stock | 9,877 | $202,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 20,364 | $201,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 19,272 | $200,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 22,652 | $199,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 16,000 | $199,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 72,117 | $198,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 18,168 | $196,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 45,403 | $196,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 17,774 | $193,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 22,204 | $192,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 20,732 | $192,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 11,708 | $190,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 14,471 | $189,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 12,130 | $188,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,972 | $188,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 20,833 | $188,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 10,011 | $188,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 10,564 | $187,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 10,117 | $186,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 16,159 | $186,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 11,824 | $185,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 14,112 | $184,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 15,072 | $181,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 17,500 | $180,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,576 | $179,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 13,793 | $178,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,000 | $177,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 11,697 | $176,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 18,335 | $176,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 14,729 | $175,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 60,000 | $174,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 10,842 | $173,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 57,685 | $173,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 21,557 | $172,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 29,669 | $171,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 10,638 | $167,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 20,910 | $164,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 11,158 | $162,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,465 | $162,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 14,000 | $160,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 56,226 | $160,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,364 | $158,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 15,234 | $158,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 155,217 | $155,000 | thousands by filing date | principal |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 11,216 | $154,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 15,100 | $154,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 15,038 | $153,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 12,250 | $151,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 10,300 | $151,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 12,242 | $151,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 150,929 | $151,000 | thousands by filing date | principal |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 23,522 | $150,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 28,733 | $149,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 25,469 | $149,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 14,504 | $149,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,019 | $145,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,134 | $145,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 10,535 | $144,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 11,112 | $143,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,200 | $142,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,449 | $140,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 138,488 | $140,000 | thousands by filing date | principal |
| OCLARO INC | 67555N206 | COM | 15,339 | $138,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 28,281 | $136,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,393 | $130,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $129,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 11,663 | $127,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,500 | $125,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 17,442 | $122,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 13,924 | $121,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,441 | $120,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 21,734 | $119,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 43,000 | $118,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,943 | $117,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 137,404 | $115,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 11,395 | $114,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 12,360 | $113,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 10,307 | $113,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 29,520 | $110,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 108,555 | $110,000 | thousands by filing date | principal |
| PEAK RESORTS INC | 70469L100 | COM | 21,411 | $109,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 33,783 | $108,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 26,937 | $107,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 11,500 | $106,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 12,614 | $106,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 14,613 | $106,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 11,257 | $106,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 31,112 | $104,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 10,070 | $104,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 10,547 | $100,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 34,000 | $98,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 11,045 | $98,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 26,641 | $93,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 19,900 | $93,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 30,000 | $93,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 160,000 | $90,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 90,650 | $90,000 | thousands by filing date | principal |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 14,893 | $88,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 77,750 | $88,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 14,582 | $87,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 10,517 | $85,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 84,259 | $85,000 | thousands by filing date | principal |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 18,316 | $84,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 17,879 | $84,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 12,000 | $84,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 156,400 | $83,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 15,949 | $82,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 25,500 | $81,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,785 | $81,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 79,284 | $79,000 | thousands by filing date | principal |
| VEREIT INC | 92339V100 | COM | 10,142 | $77,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 46,070 | $75,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 75,805 | $74,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 11,907 | $73,000 | thousands by filing date | |
| 1347 Property Insurance Holdings | 68244P107 | COM | 10,000 | $71,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 11,286 | $68,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 12,421 | $68,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,000 | $60,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 59,262 | $59,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 35,600 | $58,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 27,900 | $57,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 12,840 | $57,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 56,694 | $56,000 | thousands by filing date | principal |
| ICAD INC | 44934S206 | COM NEW | 17,975 | $54,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 12,113 | $51,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 16,500 | $49,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 47,750 | $47,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 42,656 | $42,000 | thousands by filing date | principal |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 12,700 | $39,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,247 | $38,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $37,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 33,824 | $34,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279108 | COM | 13,250 | $30,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $30,000 | 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 | $28,000 | thousands by filing date | principal |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 27,281 | $27,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 24,946 | $25,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $24,000 | thousands by filing date | principal |
| AGENUS INC | 00847G705 | COM NEW | 10,066 | $23,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 22,950 | $23,000 | thousands by filing date | principal |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 13,500 | $23,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 13,000 | $23,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 20,204 | $20,000 | thousands by filing date | principal |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 14,372 | $19,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $17,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $16,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $15,000 | thousands by filing date | principal |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 14,550 | $15,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 14,650 | $15,000 | thousands by filing date | principal |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 15,459 | $15,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $14,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 11,840 | $12,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 12,277 | $12,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 11,422 | $12,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $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 | 10,444 | $10,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,038 | $10,000 | thousands by filing date | principal |
| TORTOISE MLP FD INC | 89148B119 | RIGHT 07/18/2018 | 17,394 | $5,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 12,375 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-18-000079 | this filing | 2018-08-14 | acceptance time not in the bulk data set |