13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-13, with 2,746 holding rows worth $34,904,932,000.
- Accession
- 0000720672-18-000084
- Filer
- CIK 720672
- Filed
- 2018-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 7,492 entries on the cover page, a total value of $34,904,932,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $34,904,932,000 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 |
|---|---|---|---|---|---|---|
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 2,863 | $230,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 4,119 | $230,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 11,428 | $230,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 7,463 | $229,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 9,508 | $229,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 30,800 | $229,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 116,438 | $229,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 16,882 | $229,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 228,450 | $229,000 | thousands by filing date | principal |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 6,175 | $228,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 5,779 | $228,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 130,500 | $228,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 2,959 | $227,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 10,275 | $227,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,467 | $227,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 3,882 | $226,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 5,837 | $226,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 11,500 | $225,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 5,000 | $225,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 2,248 | $224,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 7,639 | $224,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,499 | $224,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 6,724 | $223,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 7,648 | $223,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 25,738 | $223,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,257 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,031 | $223,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 12,500 | $223,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 34,775 | $222,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 4,557 | $221,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,105 | $220,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 14,281 | $220,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 5,851 | $220,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 23,251 | $220,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 4,100 | $219,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 13,666 | $219,000 | thousands by filing date | |
| PRA HEALTH SCIENCES INC | 69354M108 | COM | 1,976 | $219,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 9,429 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 5,895 | $218,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 3,847 | $217,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 11,000 | $217,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 6,612 | $217,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 22,109 | $217,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 3,477 | $216,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,639 | $215,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 7,839 | $215,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 11,100 | $215,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 8,452 | $215,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2,969 | $214,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 19,000 | $213,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 4,219 | $213,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 17,731 | $212,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 8,770 | $212,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 9,569 | $212,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 8,970 | $212,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 6,707 | $212,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 6,608 | $212,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 11,550 | $212,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V274 | S&P500 EQL UTL | 2,412 | $211,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 6,386 | $210,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 7,482 | $209,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 9,288 | $209,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 4,099 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 5,850 | $207,000 | thousands by filing date | |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 5,576 | $207,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 4,639 | $207,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 7,223 | $206,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 6,844 | $205,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 7,638 | $205,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 6,746 | $204,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 18,284 | $204,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 7,930 | $204,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 204,234 | $204,000 | thousands by filing date | principal |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 7,538 | $203,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 2,342 | $203,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 15,613 | $202,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 8,413 | $202,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 1,209 | $201,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 8,081 | $201,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $201,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 3,536 | $201,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 2,672 | $201,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 26,721 | $198,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 12,961 | $197,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $195,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,100 | $195,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 12,633 | $195,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 47,322 | $195,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,122 | $194,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 11,732 | $194,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 11,454 | $193,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 16,159 | $193,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 13,954 | $193,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 11,832 | $191,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 11,600 | $191,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 148,236 | $191,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 11,279 | $189,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 187,806 | $189,000 | thousands by filing date | principal |
| BLACKBERRY LTD COM | 09228F103 | Stock | 16,338 | $188,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 11,173 | $188,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 15,692 | $187,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 16,224 | $185,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 14,078 | $185,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 20,092 | $185,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 18,145 | $183,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 14,933 | $182,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,323 | $181,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 179,800 | $181,000 | thousands by filing date | principal |
| CENOVUS ENERGY INC | 15135U109 | COM | 17,859 | $179,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 11,351 | $179,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 15,079 | $178,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 12,030 | $178,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 19,036 | $176,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 25,512 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 20,133 | $173,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,576 | $173,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 27,505 | $172,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 15,500 | $172,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 11,237 | $169,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,465 | $167,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 15,648 | $167,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 70,000 | $163,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 30,083 | $163,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 15,952 | $160,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,364 | $159,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 154,521 | $155,000 | thousands by filing date | principal |
| BED BATH & BEYOND INC | 075896100 | COM | 10,013 | $154,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 154,220 | $154,000 | thousands by filing date | principal |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 10,693 | $153,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 66,738 | $152,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 12,250 | $151,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 31,691 | $149,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 34,132 | $148,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 11,549 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 14,420 | $144,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 15,108 | $144,000 | thousands by filing date | |
| ALTA MESA RES INC | 02133L109 | CL A | 34,400 | $143,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,000 | $142,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 34,800 | $142,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,200 | $138,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 28,357 | $138,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 13,066 | $137,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,750 | $136,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 10,562 | $135,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,381 | $133,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 33,343 | $132,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 22,256 | $132,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 13,370 | $131,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 14,800 | $131,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 14,509 | $131,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 21,043 | $131,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,468 | $130,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R103 | CL A | 13,122 | $130,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 20,000 | $129,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 125,662 | $126,000 | thousands by filing date | principal |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,441 | $125,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 12,029 | $123,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 26,937 | $122,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 12,382 | $120,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 16,260 | $119,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 13,924 | $117,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 11,596 | $116,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 17,525 | $115,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 11,202 | $115,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 15,903 | $111,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 108,650 | $110,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 107,887 | $109,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 17,950 | $108,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 25,766 | $99,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 11,395 | $99,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 29,002 | $98,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 14,686 | $97,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 12,916 | $94,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 23,450 | $94,000 | thousands by filing date | |
| SUNDANCE ENERGY AUSTRALIA LT | 86724Y109 | SPONSORED ADR | 16,500 | $94,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 39,550 | $93,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 19,268 | $93,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 33,000 | $92,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 14,680 | $92,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 15,893 | $91,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 18,816 | $91,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 90,005 | $91,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 10,310 | $90,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 90,073 | $90,000 | thousands by filing date | principal |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 32,652 | $89,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 12,000 | $86,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 34,000 | $83,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 21,000 | $83,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,912 | $81,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 79,650 | $80,000 | thousands by filing date | principal |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 15,929 | $79,000 | thousands by filing date | |
| GTX INC DEL | 40052B207 | COM NEW | 50,637 | $79,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 18,590 | $79,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 51,415 | $76,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 25,000 | $74,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 77,100 | $72,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,000 | $71,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 27,367 | $70,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 66,850 | $68,000 | thousands by filing date | principal |
| Abrdn Emerging Markets | 00301W105 | COM | 10,029 | $66,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 18,879 | $64,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 17,657 | $64,000 | thousands by filing date | |
| SUNLANDS ONLINE ED GROUP | 86740P108 | ADS | 10,317 | $62,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,785 | $61,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 15,125 | $61,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 11,082 | $59,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 58,237 | $58,000 | thousands by filing date | principal |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 10,240 | $56,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 37,300 | $53,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 16,975 | $50,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 21,300 | $49,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 47,433 | $47,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 42,151 | $42,000 | thousands by filing date | principal |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 14,400 | $41,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,008 | $40,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 20,890 | $38,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 25,000 | $34,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $30,000 | thousands by filing date | principal |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $30,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 29,540 | $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 |
| VIVEVE MED INC | 92852W204 | COM NEW | 10,500 | $28,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $27,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 15,600 | $25,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 24,981 | $25,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 32,119 | $24,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 11,666 | $24,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 23,060 | $24,000 | thousands by filing date | principal |
| AGENUS INC | 00847G705 | COM NEW | 11,066 | $23,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 23,016 | $23,000 | thousands by filing date | principal |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 13,500 | $23,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 45,434 | $22,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 21,315 | $21,000 | thousands by filing date | principal |
| PIER 1 IMPORTS INC | 720279108 | COM | 13,250 | $21,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 13,000 | $20,000 | thousands by filing date | principal |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 18,222 | $19,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 16,899 | $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 |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 15,199 | $15,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $11,000 | thousands by filing date | principal |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,262 | $10,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,086 | $10,000 | thousands by filing date | principal |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 43,962 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-18-000084 | this filing | 2018-11-13 | acceptance time not in the bulk data set |