13F-HR/A filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR/A for the quarter ended 2019-09-30, filed 2019-11-19, with 2,849 holding rows worth $39,194,257,000.
- Accession
- 0000720672-19-000012
- Filer
- CIK 720672
- Filed
- 2019-11-19
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, amendment of type restatement, 7,901 entries on the cover page, a total value of $39,194,257,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $39,194,257,000 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 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 LLC028-19513
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 |
|---|---|---|---|---|---|---|
| GENOMIC HEALTH, INC. | 37244C101 | COM | 4,012 | $271,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 29,606 | $270,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 7,379 | $269,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 17,802 | $269,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 9,000 | $269,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 19,465 | $269,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 10,254 | $269,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 15,000 | $268,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 27,105 | $268,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 18,504 | $267,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 19,367 | $267,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 9,950 | $267,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 12,314 | $267,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,421 | $266,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 18,965 | $266,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,608 | $265,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 3,460 | $265,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G205 | UNIT 99/99/9999 | 25,000 | $263,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 15,100 | $260,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 17,740 | $260,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 5,780 | $258,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 8,662 | $257,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 20,287 | $256,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 6,791 | $256,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 25,095 | $256,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 14,513 | $255,000 | thousands by filing date | |
| Collier Creek Holdings | G22707106 | COM | 25,000 | $255,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 2,258 | $254,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 3,552 | $254,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 10,972 | $253,000 | thousands by filing date | |
| BALL CORP | 058498106 | COM | 3,428 | $253,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 2,770 | $253,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 8,177 | $253,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 9,695 | $253,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 32,681 | $253,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 106,450 | $252,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 7,740 | $252,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 8,002 | $251,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 24,397 | $251,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 7,761 | $251,000 | thousands by filing date | |
| BLACKBAUD INC COM | 09227Q100 | Stock | 2,750 | $250,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 81,306 | $250,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 9,419 | $250,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 31,696 | $248,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 16,245 | $247,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 12,788 | $247,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R705 | ST STR 1500MOM | 1,904 | $247,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 5,336 | $245,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 17,686 | $245,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 5,300 | $244,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 17,634 | $242,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 11,912 | $242,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 107,423 | $242,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 6,896 | $242,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 4,311 | $242,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 9,429 | $241,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 242,511 | $241,000 | thousands by filing date | principal |
| FLOWERS FOODS INC COM | 343498101 | Stock | 10,398 | $240,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 2,758 | $240,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 15,185 | $240,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 11,882 | $239,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 16,330 | $239,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 74,620 | $239,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 16,698 | $238,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,930 | $237,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 15,455 | $237,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 11,042 | $237,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 8,702 | $235,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 1,663 | $235,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 4,633 | $235,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 2,967 | $234,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 5,177 | $234,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 7,180 | $234,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 11,825 | $234,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,582 | $232,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 43,011 | $231,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 10,024 | $231,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 10,098 | $231,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 17,626 | $230,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 41,495 | $230,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 8,200 | $230,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 4,464 | $229,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 15,058 | $229,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 2,002 | $229,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 42,239 | $229,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 12,153 | $229,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 36,483 | $228,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 19,674 | $228,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 5,051 | $227,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 6,425 | $227,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 74,039 | $227,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,992 | $227,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 9,000 | $227,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 3,648 | $226,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 7,310 | $226,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 31,803 | $225,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 11,137 | $225,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 30,635 | $225,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 6,868 | $224,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $222,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 12,110 | $222,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 2,145 | $221,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 13,148 | $221,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 33,100 | $221,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,027 | $221,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 6,412 | $220,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 2,947 | $220,000 | thousands by filing date | |
| PARSONS CORP DEL COM | 70202L102 | Stock | 6,695 | $219,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 24,818 | $219,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 8,800 | $219,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 6,493 | $219,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 1,529 | $219,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 19,667 | $219,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 10,997 | $218,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 17,358 | $218,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 12,150 | $218,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 5,434 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,155 | $217,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $217,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 9,692 | $216,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,300 | $216,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 2,907 | $216,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 8,965 | $216,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 20,579 | $216,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 12,797 | $215,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 20,001 | $214,000 | thousands by filing date | |
| ASSURANT INC COM | 04621X108 | Stock | 1,714 | $214,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 3,461 | $213,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 45,638 | $213,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 11,130 | $212,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 14,000 | $212,000 | thousands by filing date | |
| PRESIDIO INC | 74102M103 | COM | 12,500 | $211,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 11,710 | $210,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 15,300 | $210,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 7,225 | $210,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 10,928 | $210,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,731 | $208,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 4,998 | $207,000 | thousands by filing date | |
| NEENAH PAPER INC | 640079109 | COM | 3,162 | $207,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 19,800 | $207,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 29,526 | $206,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 7,300 | $205,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 11,306 | $205,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 14,141 | $205,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 13,919 | $205,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 13,810 | $205,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 1,219 | $204,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 5,682 | $204,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,053 | $203,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 2,795 | $203,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 6,901 | $203,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 4,404 | $203,000 | thousands by filing date | |
| CSG SYSTEMS | 126349109 | COM | 3,908 | $203,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 11,665 | $203,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 15,103 | $202,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 47,378 | $202,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 6,053 | $201,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 48,363 | $200,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 4,604 | $200,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 33,313 | $198,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 42,800 | $197,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 23,800 | $196,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 16,650 | $196,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 38,916 | $196,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 12,677 | $195,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 11,290 | $193,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 33,918 | $192,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 16,112 | $189,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 22,048 | $188,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 15,789 | $184,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 18,495 | $184,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 11,884 | $183,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 21,109 | $183,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 10,943 | $182,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 14,108 | $181,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 12,303 | $179,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 11,575 | $178,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 13,310 | $178,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 13,366 | $178,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 178,054 | $177,000 | thousands by filing date | principal |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 17,386 | $172,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 11,802 | $171,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 27,328 | $171,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,637 | $170,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 15,750 | $170,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 34,908 | $170,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 12,833 | $168,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 21,316 | $167,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 10,000 | $165,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 10,937 | $164,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 12,658 | $163,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $163,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 21,863 | $162,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 23,664 | $162,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 17,550 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,700 | $161,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 16,242 | $161,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 25,874 | $161,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 18,672 | $159,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 10,073 | $157,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 19,050 | $156,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 10,984 | $155,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 10,341 | $155,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 10,937 | $155,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 16,895 | $154,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 11,616 | $154,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 12,010 | $153,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 23,833 | $153,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 15,500 | $153,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 19,430 | $152,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,220 | $150,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 25,489 | $150,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 10,812 | $148,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 11,300 | $148,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 11,062 | $146,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 19,806 | $146,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 144,880 | $145,000 | thousands by filing date | principal |
| STELLUS CAP INVT CORP | 858568108 | COM | 10,608 | $144,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 10,200 | $143,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 14,570 | $143,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 32,505 | $142,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,500 | $139,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,630 | $139,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $138,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 15,400 | $137,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 12,949 | $137,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 26,100 | $137,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 10,514 | $136,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 30,738 | $135,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 14,877 | $134,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 132,197 | $133,000 | thousands by filing date | principal |
| VALE S A | 91912E105 | SPONSORED ADS | 11,326 | $131,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 132,535 | $131,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 21,569 | $131,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,554 | $130,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,947 | $129,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 14,495 | $126,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 21,075 | $124,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 10,218 | $123,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 14,664 | $123,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,636 | $120,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 120,752 | $120,000 | thousands by filing date | principal |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 21,273 | $119,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 11,100 | $118,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 10,394 | $116,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 11,816 | $115,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,591 | $115,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 11,458 | $115,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 10,403 | $114,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 12,592 | $113,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 14,815 | $112,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,660 | $112,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 29,952 | $112,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 24,565 | $111,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 11,061 | $107,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 12,350 | $107,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,000 | $107,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 11,350 | $107,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 40,472 | $106,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 17,308 | $103,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 12,220 | $103,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 13,500 | $101,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 22,622 | $100,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 11,019 | $99,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 11,448 | $99,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 14,427 | $99,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,730 | $98,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 17,094 | $98,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 12,255 | $96,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 59,908 | $95,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 15,000 | $94,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 11,629 | $93,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 10,202 | $91,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 24,090 | $91,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,885 | $90,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 11,024 | $88,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 15,578 | $87,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 17,291 | $85,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 22,599 | $84,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 29,900 | $84,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 12,480 | $77,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 38,521 | $75,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 11,000 | $74,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 18,784 | $72,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 14,000 | $71,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 10,707 | $71,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 17,600 | $70,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 51,126 | $70,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 22,000 | $68,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 11,012 | $67,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $67,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 10,005 | $62,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 59,626 | $61,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 11,294 | $59,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 10,717 | $58,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 11,877 | $55,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 18,000 | $54,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 44,684 | $54,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 11,892 | $52,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 12,000 | $51,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,451 | $48,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 14,048 | $46,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 16,676 | $43,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 11,008 | $43,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 10,929 | $41,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 14,000 | $41,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $41,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,000 | $40,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 11,588 | $40,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 12,793 | $39,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 12,745 | $39,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 60,155 | $37,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 24,600 | $36,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 57,000 | $34,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 30,821 | $31,000 | thousands by filing date | principal |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 28,536 | $29,000 | thousands by filing date | principal |
| NIO INC SPON ADS | 62914V106 | ADR | 16,136 | $28,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 26,000 | $26,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 26,094 | $26,000 | thousands by filing date | principal |
| IRIDEX CORP | 462684101 | COM | 14,520 | $25,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 24,767 | $25,000 | 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 | 24,463 | $24,000 | thousands by filing date | principal |
| ACTTW US 30 Apr 24 C11.5 (Act II Global Acquisitio | G0080J120 | W EXP 04/30/202 | 25,000 | $23,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 32,000 | $22,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 10,611 | $22,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 11,900 | $21,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827110 | *W EXP 06/27/202 | 12,473 | $20,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 24,735 | $20,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,000 | $18,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 15,000 | $17,000 | thousands by filing date | |
| 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 | $16,000 | thousands by filing date | principal |
| REPLAY ACQUISITION CORP | G75130115 | *W EXP 03/01/202 | 22,850 | $16,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H118 | *W EXP 02/22/202 | 16,666 | $14,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 15,132 | $13,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 11,726 | $12,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $12,000 | thousands by filing date | principal |
| STEIN MART INC | 858375108 | COM | 15,000 | $12,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 16,000 | $12,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641114 | *W EXP 02/21/202 | 16,666 | $12,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER COR | 05586Y114 | *W EXP 04/08/202 | 25,000 | $12,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 11,666 | $11,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 13,652 | $11,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 10,228 | $10,000 | thousands by filing date | principal |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $7,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 10,000 | $5,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,200 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-19-000009 | superseded | 2019-11-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000720672-19-000012 | this filing | 2019-11-19 | acceptance time not in the bulk data set |