13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-14, with 2,791 holding rows worth $35,383,819,000.
- Accession
- 0000720672-19-000004
- Filer
- CIK 720672
- Filed
- 2019-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A holdings report, 7,699 entries on the cover page, a total value of $35,383,819,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $35,383,819,000 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 managerEquityCompass Investment Management028-13156
- included managerCentury Securities Associates, Inc.028-13699
- included manager1919 Investment Counsel, LLC028-11345
- included managerStifel Trust Company, N.A.028-06397
- included managerStifel Trust Co Delaware, N.A.028-16086
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerWashington Crossing Advisers LLC
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 |
|---|---|---|---|---|---|---|
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 6,650 | $239,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 7,469 | $239,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 240,091 | $239,000 | thousands by filing date | principal |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 9,089 | $239,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 23,247 | $238,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,479 | $238,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 2,259 | $238,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 13,776 | $238,000 | thousands by filing date | |
| BILIBILI INC SPONS ADS REP Z | 090040106 | ADR | 12,704 | $237,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 4,741 | $237,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 4,608 | $237,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 23,587 | $237,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 15,921 | $236,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 17,686 | $236,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 12,428 | $235,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 16,464 | $234,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 11,057 | $233,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 22,816 | $233,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 2,474 | $232,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 6,395 | $230,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 7,809 | $230,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 7,455 | $230,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 29,450 | $229,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 5,122 | $228,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 1,951 | $228,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 5,495 | $228,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 54,388 | $228,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 16,783 | $228,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 3,672 | $227,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 18,792 | $227,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 13,350 | $227,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 2,160 | $225,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 4,599 | $224,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 6,024 | $224,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 7,863 | $224,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 8,452 | $224,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 8,288 | $223,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 2,734 | $223,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 6,014 | $222,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 15,455 | $222,000 | thousands by filing date | |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 5,395 | $221,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 28,060 | $221,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 9,187 | $220,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,109 | $220,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 5,761 | $220,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 7,112 | $220,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 11,815 | $219,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 13,696 | $219,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 13,565 | $217,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 1,912 | $217,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P301 | MUNI HI INCM ETF | 4,240 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 4,259 | $215,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 4,240 | $214,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 2,463 | $214,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 3,035 | $214,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 23,703 | $214,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 10,050 | $214,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 14,411 | $213,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 6,264 | $212,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 9,670 | $212,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 7,117 | $211,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 10,700 | $211,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 6,047 | $211,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 4,146 | $210,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 1,613 | $210,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 48,929 | $210,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 4,654 | $209,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 6,636 | $209,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 7,795 | $209,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 8,773 | $209,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 9,336 | $208,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,144 | $208,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E156 | S&P SMLCP FINL | 3,996 | $208,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 11,552 | $208,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 1,913 | $207,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,869 | $207,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 360,187 | $206,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 1,900 | $206,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 6,504 | $204,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 7,800 | $204,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 8,065 | $203,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 16,869 | $203,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $203,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 3,141 | $203,000 | thousands by filing date | |
| OLD POINT FINL CORP | 680194107 | COM | 9,573 | $203,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,300 | $202,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 14,300 | $202,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 3,370 | $202,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,642 | $201,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 10,775 | $201,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 5,710 | $201,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 8,854 | $201,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 14,009 | $201,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 8,443 | $201,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 577 | $200,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 5,337 | $200,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 36,989 | $197,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 15,307 | $195,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 196,504 | $195,000 | thousands by filing date | principal |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 16,527 | $194,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 16,541 | $193,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 28,000 | $192,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 15,178 | $191,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 18,505 | $190,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 29,325 | $189,000 | thousands by filing date | |
| RPT REALTY | 74971D101 | SH BEN INT | 15,750 | $189,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 39,875 | $186,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 20,365 | $186,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 31,004 | $185,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 15,547 | $184,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 11,236 | $184,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 18,339 | $184,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 12,500 | $181,000 | thousands by filing date | |
| DB COMMODITY INDEX TRACKING | 46138B103 | ETF | 11,361 | $180,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 14,542 | $179,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,700 | $179,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 13,500 | $179,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 17,600 | $176,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 176,260 | $176,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 175,221 | $175,000 | thousands by filing date | principal |
| LIVENT CORP | 53814L108 | COM | 14,340 | $173,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 13,825 | $172,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 11,619 | $171,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 11,339 | $171,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 10,432 | $171,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 10,937 | $171,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 31,900 | $171,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 21,346 | $170,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 10,613 | $169,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,810 | $165,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 14,161 | $164,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 12,246 | $164,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 21,599 | $161,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 42,225 | $159,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 34,868 | $159,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 63,159 | $156,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,754 | $155,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 11,935 | $155,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 16,519 | $152,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 43,544 | $152,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 13,827 | $152,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 15,226 | $151,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,664 | $150,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 15,153 | $150,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 14,980 | $149,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 16,187 | $147,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 33,603 | $146,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 26,349 | $146,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 16,353 | $145,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,200 | $144,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 16,280 | $141,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 36,148 | $139,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 26,839 | $139,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 18,372 | $139,000 | thousands by filing date | |
| COUSINS PROPERTIES INC | 222795106 | COM | 14,055 | $138,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 138,600 | $138,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $137,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 12,388 | $137,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,434 | $136,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 10,611 | $135,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 10,490 | $135,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $135,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 10,200 | $135,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 78,772 | $134,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 16,730 | $134,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 18,015 | $133,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 10,500 | $133,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 12,420 | $130,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,500 | $128,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 12,900 | $127,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 124,042 | $125,000 | thousands by filing date | principal |
| INTREXON CORP | 46122T102 | COM | 23,329 | $124,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,636 | $123,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 11,293 | $122,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 130,500 | $119,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 10,662 | $118,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 14,061 | $118,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 11,256 | $117,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 10,696 | $117,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 17,682 | $117,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,441 | $117,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 11,766 | $117,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 14,420 | $116,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,526 | $116,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 21,916 | $115,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 11,639 | $112,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 11,680 | $112,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 10,492 | $111,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 10,253 | $111,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 51,178 | $110,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 109,312 | $110,000 | thousands by filing date | principal |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 13,040 | $105,000 | thousands by filing date | |
| OPTINOSE INC | 68404V100 | COM | 10,055 | $104,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,157 | $103,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 10,000 | $102,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 12,318 | $102,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 10,400 | $102,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 16,948 | $101,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 15,578 | $101,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 13,233 | $101,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,519 | $97,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 96,230 | $96,000 | thousands by filing date | principal |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 16,710 | $93,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 42,754 | $93,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 11,597 | $92,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 92,278 | $92,000 | thousands by filing date | principal |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,974 | $90,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 11,612 | $90,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 16,975 | $88,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 12,837 | $88,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 14,656 | $87,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 20,875 | $86,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 10,107 | $85,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 10,085 | $81,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 61,000 | $77,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 15,600 | $76,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 10,656 | $75,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 73,688 | $75,000 | thousands by filing date | principal |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,185 | $69,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $68,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 11,100 | $67,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 39,259 | $66,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 13,929 | $66,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 10,423 | $66,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 22,000 | $66,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 14,574 | $65,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 10,508 | $64,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 64,252 | $64,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 93,005 | $62,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 14,003 | $61,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 19,441 | $60,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 59,803 | $60,000 | thousands by filing date | principal |
| AVON PRODS INC | 054303102 | COM | 20,250 | $59,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 33,850 | $59,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 57,623 | $58,000 | thousands by filing date | principal |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 12,995 | $56,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 23,940 | $55,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,323 | $54,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 14,576 | $52,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 10,243 | $51,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 51,157 | $51,000 | thousands by filing date | principal |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 21,350 | $51,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 24,474 | $51,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 10,685 | $50,000 | thousands by filing date | |
| EDISON NATION INC | 28103E106 | COM | 10,000 | $50,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 19,157 | $49,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 47,744 | $48,000 | thousands by filing date | principal |
| AFFIMED N V | N01045108 | COM | 11,500 | $48,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 47,844 | $48,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 47,845 | $47,000 | thousands by filing date | principal |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 46,682 | $47,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 32,000 | $43,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 25,890 | $41,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 13,187 | $41,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 12,875 | $37,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 10,100 | $37,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 26,386 | $37,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 12,650 | $34,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 11,373 | $33,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 31,961 | $32,000 | thousands by filing date | principal |
| AMPLIPHI BIOSCIENCES CORP | 03211P301 | COM PAR | 106,400 | $32,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 30,888 | $31,000 | thousands by filing date | principal |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $30,000 | thousands by filing date | principal |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 29,709 | $30,000 | thousands by filing date | principal |
| TIMKENSTEEL CORP | 887399AA1 | CONVERTIBLE BOND | 29,159 | $29,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 32,045 | $28,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 27,170 | $27,000 | thousands by filing date | principal |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 25,589 | $26,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 23,524 | $24,000 | thousands by filing date | principal |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 79,300 | $22,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A119 | *W EXP 12/01/202 | 50,000 | $22,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 13,816 | $21,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $21,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 19,976 | $20,000 | thousands by filing date | principal |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 20,368 | $20,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 19,073 | $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 | 17,131 | $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 |
| OBALON THERAPEUTICS INC | 67424L100 | COM | 10,573 | $15,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAS7 | NOTE 4.750 4/1 | 15,019 | $15,000 | thousands by filing date | principal |
| ALTA MESA RES INC | 02133L109 | CL A | 51,200 | $13,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $12,000 | thousands by filing date | principal |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| LEGACY RESVS INC COM | 524706108 | Stock | 20,045 | $11,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 11,666 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 10,480 | $10,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,500 | $7,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,950 | $5,000 | thousands by filing date | |
| ROADRUNNER TRNSN SVCS HLDG I | 76973Q105 | COM | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-19-000004 | this filing | 2019-05-14 | acceptance time not in the bulk data set |