13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-14, with 2,955 holding rows worth $38,781,395,000.
- Accession
- 0000720672-19-000006
- Filer
- CIK 720672
- Filed
- 2019-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 7,231 entries on the cover page, a total value of $38,781,395,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $38,781,395,000 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 |
|---|---|---|---|---|---|---|
| WEX INC | 96208T104 | COM | 1,431 | $300,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 4,139 | $300,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 27,097 | $300,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 12,110 | $300,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 21,800 | $299,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 37,960 | $299,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 4,183 | $297,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 3,905 | $297,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 28,630 | $296,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,730 | $295,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 9,454 | $295,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 12,166 | $295,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 2,587 | $295,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 33,817 | $295,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 12,400 | $294,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 9,000 | $293,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 23,300 | $293,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 17,302 | $291,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 20,623 | $291,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 17,210 | $290,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 11,121 | $290,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 3,784 | $289,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 55,282 | $289,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 3,970 | $288,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 17,353 | $288,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 9,497 | $287,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 15,000 | $287,000 | thousands by filing date | |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 10,461 | $286,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 6,704 | $286,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 21,804 | $286,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,864 | $285,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 29,455 | $284,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 11,374 | $284,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 15,336 | $283,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E875 | DORSEY WRGT DVLP | 10,389 | $282,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 34,810 | $281,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 3,027 | $281,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 10,124 | $281,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 20,335 | $280,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 13,451 | $280,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 11,833 | $280,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 5,662 | $279,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 4,339 | $279,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 19,321 | $279,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 6,497 | $278,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 9,017 | $278,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 123,719 | $278,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 18,154 | $278,000 | thousands by filing date | |
| ISHARES INC | 46434G814 | MSCI MLY ETF NEW | 9,268 | $273,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 41,109 | $271,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 15,018 | $271,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 17,288 | $270,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 17,740 | $268,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 6,823 | $268,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 3,077 | $267,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 10,912 | $266,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 268,457 | $266,000 | thousands by filing date | principal |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 13,235 | $265,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 8,368 | $265,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 16,330 | $264,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,773 | $264,000 | thousands by filing date | |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 25,392 | $264,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 3,118 | $263,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 5,159 | $263,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 7,761 | $262,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 9,580 | $262,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 14,130 | $262,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 9,800 | $261,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 7,314 | $261,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 18,700 | $261,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 4,748 | $260,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 8,360 | $259,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 23,913 | $259,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 15,300 | $258,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N873 | VCSHS US SMCP HG | 5,814 | $258,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 15,100 | $256,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 37,505 | $256,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 7,565 | $255,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 7,955 | $255,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 2,166 | $255,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 4,108 | $254,000 | thousands by filing date | |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 5,033 | $253,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 26,974 | $253,000 | thousands by filing date | |
| CARLYLE SECURED LENDING INC | 872280102 | COM | 16,600 | $253,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 27,670 | $253,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 13,405 | $253,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 10,982 | $253,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 9,429 | $253,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 41,991 | $253,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 6,140 | $252,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 5,471 | $252,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 5,252 | $251,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 250,592 | $251,000 | thousands by filing date | principal |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 36,060 | $250,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 2,741 | $250,000 | thousands by filing date | |
| Collier Creek Holdings | G22707106 | COM | 25,000 | $250,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 9,612 | $249,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 14,517 | $249,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 249,165 | $249,000 | thousands by filing date | principal |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 5,923 | $248,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 1,663 | $247,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 19,588 | $247,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 4,133 | $246,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 3,372 | $245,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 31,696 | $245,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 36,615 | $245,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 6,215 | $244,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 10,839 | $244,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 46,199 | $244,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 7,118 | $243,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 2,567 | $243,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 5,689 | $243,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 17,185 | $243,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 2,921 | $242,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 23,193 | $242,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 5,336 | $242,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 20,859 | $242,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 17,686 | $242,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 17,535 | $241,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 28,259 | $241,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 4,830 | $241,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 11,575 | $240,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,110 | $240,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 24,800 | $240,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 16,334 | $240,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,929 | $239,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,369 | $239,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 5,713 | $236,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 6,463 | $235,000 | thousands by filing date | |
| INVESCO TR II ETF S&P 500 EMERGING MKTS LOW VOLATILITY | 46138E297 | ETF | 9,655 | $235,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 7,448 | $235,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 9,928 | $235,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 17,650 | $234,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 12,238 | $234,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 4,633 | $234,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 11,664 | $233,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 22,612 | $233,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 4,833 | $233,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 52468L406 | FRANKLIN US LOW | 7,245 | $232,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 3,972 | $232,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 909 | $231,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 7,338 | $230,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 6,274 | $229,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 15,455 | $229,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 8,608 | $229,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 5,005 | $229,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 5,187 | $227,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 13,038 | $227,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 5,035 | $227,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 15,000 | $227,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 7,274 | $226,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 9,275 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,239 | $225,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 2,438 | $225,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 9,247 | $222,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 35,709 | $222,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 7,063 | $221,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 2,985 | $220,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 5,566 | $220,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 9,821 | $220,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 13,346 | $220,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 4,395 | $220,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 1,618 | $219,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 5,266 | $219,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 6,692 | $219,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 4,224 | $218,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 6,534 | $218,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 2,002 | $218,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 7,098 | $218,000 | thousands by filing date | |
| REVOLVE GROUP INC CL A | 76156B107 | Stock | 6,249 | $217,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 6,800 | $217,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 11,665 | $217,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,027 | $217,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 22,261 | $216,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 3,022 | $215,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,311 | $215,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 14,344 | $215,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 4,576 | $214,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 11,983 | $214,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 1,257 | $213,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 12,819 | $213,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 44,478 | $213,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 12,821 | $212,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 18,836 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 11,433 | $211,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 6,736 | $211,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 3,453 | $210,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 10,674 | $210,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 9,008 | $210,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,860 | $210,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 10,928 | $210,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 6,950 | $209,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 12,350 | $209,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F508 | FLEXIBL MUN HIGH | 10,940 | $208,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 6,030 | $208,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 5,083 | $207,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 130,952 | $207,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 11,154 | $207,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 5,825 | $207,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 12,388 | $207,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 208,450 | $207,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,300 | $206,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 18,344 | $206,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 4,158 | $206,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 17,361 | $205,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 28,060 | $205,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 16,806 | $205,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 4,740 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 3,588 | $204,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 3,820 | $204,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 11,306 | $203,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 15,103 | $203,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 12,814 | $202,000 | thousands by filing date | |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 5,129 | $201,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 2,968 | $201,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 15,254 | $200,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 2,728 | $200,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 7,460 | $200,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 18,430 | $197,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 11,815 | $196,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 11,768 | $195,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 12,677 | $194,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 15,340 | $193,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 193,424 | $192,000 | thousands by filing date | principal |
| REPLAY ACQUISITION CORP | G75130107 | COM | 19,695 | $192,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 33,397 | $191,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 12,789 | $191,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,700 | $191,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 13,483 | $190,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 15,789 | $190,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 22,193 | $189,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 12,471 | $189,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 14,472 | $188,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 23,800 | $187,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 21,109 | $187,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $185,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 15,750 | $183,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R100 | SHS CLASS A | 17,500 | $183,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 29,029 | $182,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 47,975 | $182,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 35,150 | $180,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 38,600 | $178,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 10,905 | $177,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 16,835 | $176,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 12,985 | $176,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 17,600 | $176,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 11,508 | $173,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 11,233 | $171,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 11,215 | $170,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 10,000 | $170,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,837 | $169,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 11,135 | $168,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 26,400 | $167,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 28,960 | $167,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $165,000 | thousands by filing date | |
| VanEck Rare Earth/Strat Mtls ETF | 92189F742 | Exchange Traded Fund | 10,850 | $165,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 16,039 | $164,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 19,550 | $164,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 18,366 | $164,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 23,175 | $164,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 21,316 | $163,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 34,927 | $162,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 10,937 | $161,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 12,355 | $157,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,220 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,700 | $155,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 11,386 | $152,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 15,560 | $152,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 16,280 | $149,000 | thousands by filing date | |
| GARRETT MOTION INC | 366505105 | COM | 11,191 | $149,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 12,890 | $149,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 10,492 | $148,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A101 | CL A COM | 14,580 | $148,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 10,604 | $147,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 18,915 | $147,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,000 | $146,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 12,232 | $146,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 11,300 | $145,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 39,450 | $144,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 13,778 | $143,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 10,300 | $142,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 10,102 | $142,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 10,490 | $142,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 19,770 | $141,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 10,517 | $139,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 21,350 | $139,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 59,473 | $139,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 10,400 | $138,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 29,940 | $138,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 10,200 | $138,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,424 | $137,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 22,662 | $136,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 10,439 | $136,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $135,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 102,825 | $134,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,500 | $133,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 14,853 | $132,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 16,175 | $130,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 127,664 | $127,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M201 | COM NEW | 93,605 | $127,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,650 | $124,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 41,485 | $123,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 20,076 | $122,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 12,405 | $121,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 12,050 | $120,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,441 | $120,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 14,426 | $119,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 265,588 | $119,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 315,086 | $119,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 11,950 | $118,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 12,545 | $117,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 14,323 | $116,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 11,642 | $116,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $114,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 15,720 | $114,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 12,350 | $113,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 11,550 | $112,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 15,119 | $111,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 11,200 | $110,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 11,671 | $109,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 20,733 | $105,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 11,446 | $104,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 12,355 | $98,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUN BD | 09662E109 | COM | 12,363 | $98,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 11,350 | $97,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 57,250 | $96,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 16,678 | $94,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 51,178 | $92,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 27,604 | $92,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 13,262 | $91,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 89,766 | $89,000 | thousands by filing date | principal |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 15,578 | $88,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 11,455 | $87,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,011 | $84,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,185 | $81,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 17,732 | $80,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 15,384 | $79,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 12,759 | $79,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 12,000 | $77,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 13,700 | $76,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 17,748 | $76,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 12,500 | $75,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 10,887 | $72,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 23,500 | $72,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $70,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 13,502 | $69,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 25,786 | $67,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 20,875 | $67,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 14,520 | $65,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 15,311 | $64,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 10,777 | $62,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 16,951 | $58,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 14,151 | $57,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 19,050 | $57,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 37,061 | $56,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 16,600 | $56,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 12,915 | $55,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 16,800 | $53,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 34,589 | $52,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 12,995 | $51,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 15,987 | $49,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 48,319 | $48,000 | thousands by filing date | principal |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $39,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 38,623 | $39,000 | thousands by filing date | principal |
| NUVECTRA CORP | 67075N108 | COM | 13,818 | $39,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 15,676 | $38,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 24,000 | $36,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 26,000 | $35,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 32,000 | $35,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,000 | $34,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 11,500 | $33,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 10,594 | $33,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 32,147 | $32,000 | thousands by filing date | principal |
| NEVRO CORP | 64157FAA1 | BOND | 31,994 | $32,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 12,784 | $31,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 29,573 | $30,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 30,275 | $30,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 29,068 | $29,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 29,491 | $29,000 | thousands by filing date | principal |
| DONNELLEY R R & SONS CO | 257867200 | COM | 13,929 | $28,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 27,924 | $28,000 | thousands by filing date | principal |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 27,957 | $28,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 26,249 | $26,000 | thousands by filing date | principal |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 14,300 | $26,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 25,014 | $25,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 24,022 | $24,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 24,498 | $24,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $24,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 23,641 | $24,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 24,339 | $24,000 | thousands by filing date | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 22,023 | $22,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 23,370 | $22,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 10,572 | $22,000 | thousands by filing date | |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 22,381 | $22,000 | thousands by filing date | principal |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 22,084 | $22,000 | thousands by filing date | principal |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 22,299 | $22,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 20,769 | $21,000 | thousands by filing date | principal |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 20,542 | $21,000 | thousands by filing date | principal |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 24,735 | $21,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 19,926 | $20,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 20,482 | $20,000 | thousands by filing date | principal |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 19,517 | $20,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 20,274 | $20,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 19,506 | $20,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 19,238 | $19,000 | thousands by filing date | principal |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 19,399 | $19,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 17,626 | $18,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 15,055 | $18,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 18,131 | $18,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 17,549 | $18,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 18,332 | $18,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 17,832 | $18,000 | thousands by filing date | principal |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 18,224 | $18,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489303 | CL A NEW | 10,674 | $18,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $17,000 | thousands by filing date | principal |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 16,631 | $17,000 | thousands by filing date | principal |
| ACTTW US 30 Apr 24 C11.5 (Act II Global Acquisitio | G0080J120 | W EXP 04/30/202 | 25,000 | $17,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 16,220 | $16,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $16,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 16,000 | $16,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 15,971 | $16,000 | thousands by filing date | principal |
| RMG ACQUISITION CORP | 749641114 | *W EXP 02/21/202 | 16,666 | $16,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130115 | *W EXP 03/01/202 | 22,850 | $16,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 15,040 | $15,000 | thousands by filing date | principal |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 14,551 | $15,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 15,313 | $15,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 15,374 | $15,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 14,780 | $15,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $15,000 | thousands by filing date | principal |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 15,077 | $15,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 14,758 | $15,000 | thousands by filing date | principal |
| ALTA MESA RES INC | 02133L109 | CL A | 101,200 | $15,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 23,500 | $14,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 14,005 | $14,000 | thousands by filing date | principal |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 13,310 | $13,000 | thousands by filing date | principal |
| DIAMONDPEAK HLDGS COR | 25280H118 | *W EXP 02/22/202 | 16,666 | $13,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER COR | 05586Y114 | *W EXP 04/08/202 | 25,000 | $13,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 11,666 | $12,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 11,749 | $12,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 11,653 | $12,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 12,100 | $12,000 | thousands by filing date | principal |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 11,587 | $12,000 | thousands by filing date | principal |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 12,452 | $12,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 12,001 | $12,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 10,712 | $11,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 10,973 | $11,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 10,725 | $11,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 27,700 | $11,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 11,478 | $11,000 | thousands by filing date | principal |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 10,667 | $11,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,178 | $10,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 10,415 | $10,000 | thousands by filing date | principal |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $8,000 | thousands by filing date | |
| DPW HLDGS INC | 26140E501 | COM NEW | 18,582 | $6,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD RT | 231647124 | RIGHT 07/18/2019 | 10,500 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-19-000006 | this filing | 2019-08-14 | acceptance time not in the bulk data set |