13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-13, with 3,013 holding rows worth $47,999,919,000.
- Accession
- 0000720672-20-000002
- Filer
- CIK 720672
- Filed
- 2020-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 8,386 entries on the cover page, a total value of $47,999,919,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $47,999,919,000 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 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288620 | SHS | 5,488 | $321,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 6,830 | $319,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 18,820 | $319,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 19,461 | $319,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 3,890 | $318,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 10,639 | $317,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,589 | $316,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 31,000 | $316,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 3,741 | $315,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 15,818 | $313,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 21,090 | $313,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 5,224 | $312,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 6,501 | $312,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 20,091 | $312,000 | thousands by filing date | |
| BROADCOM INC | 11135F200 | 8% MCNV PFD SR A | 261 | $312,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 3,891 | $310,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 3,091 | $310,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 30,000 | $310,000 | thousands by filing date | |
| WARRIOR MET COAL INC | 93627C101 | COM | 14,598 | $309,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 3,013 | $308,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 1,785 | $308,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 17,679 | $308,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 6,475 | $307,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 4,091 | $307,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 2,814 | $307,000 | thousands by filing date | |
| iShares iBonds Dec. 2026 Municipal Bond ETF | 46435U259 | ETF | 11,882 | $307,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,536 | $307,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 24,319 | $306,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 79,825 | $304,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 5,621 | $303,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 15,867 | $302,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 3,581 | $301,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 10,176 | $300,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 32,851 | $299,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767868 | MSCI ONE BELT | 12,400 | $299,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 72,135 | $298,000 | thousands by filing date | |
| ORTHOPEDIATRICS CORP | 68752L100 | COMMON STOCK | 6,301 | $296,000 | thousands by filing date | |
| CIMPRESS PLC | G2143T103 | SHS EURO | 2,350 | $295,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 19,884 | $295,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 15,413 | $295,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 15,000 | $294,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 18,206 | $293,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 7,038 | $292,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 17,902 | $292,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 9,721 | $291,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 19,496 | $290,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 34,854 | $290,000 | thousands by filing date | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 30,027 | $289,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 5,598 | $288,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 14,083 | $288,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 3,560 | $288,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 12,485 | $287,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 6,384 | $287,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 2,388 | $286,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 12,215 | $286,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 28,965 | $286,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 18,858 | $286,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 9,021 | $285,000 | thousands by filing date | |
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 8,444 | $284,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 18,412 | $284,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 41,562 | $283,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 10,560 | $283,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 2,926 | $282,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 8,590 | $282,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 5,989 | $282,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 19,988 | $281,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 12,695 | $281,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 20,619 | $281,000 | thousands by filing date | |
| CORTLAND BANCORP COM | 220587109 | COM | 12,937 | $281,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 5,684 | $280,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 19,965 | $280,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 10,318 | $279,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 10,835 | $278,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 6,023 | $278,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 13,885 | $278,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 8,100 | $277,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 27,660 | $277,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 18,283 | $276,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 4,518 | $276,000 | thousands by filing date | |
| SOFTWARE ACQUISITION GROUP I | 83406B200 | UNIT 10/01/2026 | 27,150 | $276,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 12,763 | $275,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 3,425 | $275,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 45,948 | $274,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 13,868 | $273,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 3,966 | $273,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 9,846 | $273,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 12,545 | $273,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 8,484 | $272,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 3,031 | $272,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 26,117 | $272,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 15,511 | $271,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 272,690 | $271,000 | thousands by filing date | principal |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 18,806 | $270,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 15,830 | $269,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 4,090 | $268,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 9,149 | $268,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,931 | $268,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 13,428 | $268,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 6,808 | $268,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 31,696 | $268,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 1,446 | $267,000 | thousands by filing date | |
| INVESCO TR II ETF S&P 500 EMERGING MKTS LOW VOLATILITY | 46138E297 | ETF | 11,071 | $265,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 2,553 | $265,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 3,725 | $264,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 54,199 | $263,000 | thousands by filing date | |
| CANTEL MEDICAL CORP | 138098108 | COM | 3,664 | $263,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 19,588 | $263,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,005 | $262,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 16,600 | $261,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 3,097 | $260,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 8,190 | $260,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 6,553 | $259,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 25,605 | $259,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 13,200 | $258,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 11,694 | $258,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 15,303 | $257,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 11,841 | $257,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 16,275 | $257,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 60,817 | $257,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 16,110 | $257,000 | thousands by filing date | |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 25,714 | $257,000 | thousands by filing date | |
| Collier Creek Holdings | G22707106 | COM | 25,000 | $257,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q208 | UNIT 05/15/2026 | 25,000 | $257,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 2,422 | $255,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 9,429 | $255,000 | thousands by filing date | |
| ISHARES TR | 46435G243 | COM | 9,967 | $254,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 5,926 | $254,000 | thousands by filing date | |
| CAROLINA TR BANCSHARES INC | 14422P105 | COM | 19,500 | $254,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 2,825 | $253,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 11,915 | $253,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 3,305 | $253,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 17,686 | $253,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 14,319 | $252,000 | thousands by filing date | |
| GUARDANT HEALTH INC COM | 40131M109 | Stock | 3,161 | $251,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 1,703 | $251,000 | thousands by filing date | |
| RENAISSANCE CAP GREENWICH FD | 759937204 | IPO ETF | 8,100 | $251,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 32,782 | $251,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 13,718 | $250,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 10,821 | $250,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 5,897 | $249,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 15,757 | $249,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 4,867 | $249,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 11,839 | $247,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 3,744 | $247,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 13,812 | $247,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 3,022 | $247,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 17,826 | $246,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 20,000 | $246,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 8,264 | $245,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 9,340 | $244,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 4,970 | $244,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 6,537 | $243,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 2,456 | $242,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 32,694 | $242,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,041 | $242,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 14,644 | $242,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 5,065 | $242,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 12,166 | $241,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 7,761 | $241,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 7,241 | $240,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 2,079 | $240,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 30,100 | $240,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 15,034 | $239,000 | thousands by filing date | |
| FASTLY INC | 31188V100 | CL A | 11,965 | $239,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 28,237 | $239,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 2,701 | $239,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 10,230 | $238,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 8,885 | $238,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 11,381 | $238,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 14,575 | $238,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 9,487 | $237,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 19,641 | $236,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 2,130 | $236,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 29,927 | $236,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 11,344 | $235,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 7,911 | $234,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 7,075 | $234,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 15,455 | $234,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 2,217 | $233,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 54,973 | $233,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 4,883 | $233,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 3,252 | $231,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 4,854 | $231,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 17,750 | $231,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 7,035 | $230,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 6,082 | $229,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 4,536 | $227,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,261 | $227,000 | thousands by filing date | |
| ONTO INNOVATION INC COM | 683344105 | Stock | 6,160 | $227,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 5,497 | $227,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 9,929 | $227,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 42,075 | $227,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 6,100 | $225,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,066 | $225,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 2,897 | $225,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 1,852 | $224,000 | thousands by filing date | |
| DBX ETF TR | 233051143 | XTRACKRS S&P 500 | 7,942 | $224,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 6,525 | $224,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 8,800 | $224,000 | thousands by filing date | |
| PATTERSON COS INC | 703395103 | COM | 10,953 | $224,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 4,498 | $223,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 11,714 | $223,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 16,709 | $223,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 12,895 | $223,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 64,969 | $223,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 6,140 | $222,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 7,407 | $221,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 6,907 | $221,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 3,377 | $221,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 16,472 | $220,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 4,142 | $219,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 2,852 | $219,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 2,045 | $219,000 | thousands by filing date | |
| ABRDN PALLADIUM ETF TRUST | 003262102 | PHYSICAL PALLADM | 1,201 | $219,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $219,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 10,071 | $218,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 6,676 | $218,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 12,404 | $217,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,300 | $217,000 | thousands by filing date | |
| TERRAFORM PWR INC | 88104R209 | COM CL A | 14,083 | $217,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 2,571 | $217,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 14,877 | $217,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 8,250 | $216,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 46,436 | $216,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 15,300 | $216,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 2,222 | $215,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 3,272 | $215,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 6,495 | $215,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 37,488 | $215,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 27,315 | $215,000 | thousands by filing date | |
| PRINCIPIA BIOPHARMA INC | 74257L108 | COM | 3,993 | $215,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 1,880 | $214,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 8,074 | $211,000 | thousands by filing date | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 11,234 | $211,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 7,843 | $210,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 1,748 | $210,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 3,603 | $210,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,243 | $210,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 4,759 | $209,000 | thousands by filing date | |
| AGF INVTS TR | 00110G408 | US MARKET NETRL | 9,500 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 11,421 | $209,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 2,006 | $209,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 13,773 | $209,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 13,205 | $209,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 6,603 | $208,000 | thousands by filing date | |
| 10X GENOMICS INC CL A COM | 88025U109 | Stock | 2,709 | $207,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 1,868 | $207,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 11,895 | $207,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 22,390 | $207,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 19,128 | $207,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 3,263 | $206,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 13,537 | $206,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 6,355 | $206,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 37,844 | $205,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 13,846 | $205,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 17,386 | $204,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 9,491 | $204,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 203,817 | $204,000 | thousands by filing date | principal |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 2,549 | $203,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 14,308 | $203,000 | thousands by filing date | |
| HUDSON PAC PPTYS INC | 444097109 | COM | 5,413 | $203,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 7,418 | $203,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 7,849 | $203,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 4,414 | $203,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 7,911 | $203,000 | thousands by filing date | |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 8,952 | $202,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,915 | $202,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 6,735 | $202,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 15,300 | $202,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 3,245 | $201,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 2,332 | $200,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 13,889 | $200,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 33,365 | $197,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 10,000 | $197,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 22,600 | $197,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 14,120 | $195,000 | thousands by filing date | |
| COVETRUS INC | 22304C100 | COM | 14,767 | $195,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 10,582 | $194,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 29,766 | $192,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $191,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 14,098 | $190,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 22,385 | $190,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 10,483 | $189,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 16,530 | $188,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 10,773 | $188,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 13,422 | $187,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 21,109 | $187,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 17,553 | $186,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 18,658 | $185,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 11,832 | $184,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 30,041 | $184,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,875 | $183,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 12,603 | $183,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 16,376 | $181,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 15,789 | $178,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,637 | $177,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 12,774 | $177,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 23,800 | $176,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 37,924 | $175,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 10,191 | $174,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 22,350 | $174,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 16,725 | $172,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 21,009 | $171,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 18,159 | $171,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 15,859 | $171,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 14,133 | $171,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 21,316 | $170,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $168,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 21,598 | $168,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 18,822 | $167,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 11,859 | $166,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 52,290 | $166,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 16,981 | $166,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 42,893 | $164,000 | thousands by filing date | |
| TUSCAN HOLDINGS CORP | 90069K203 | UNIT 99/99/9999 | 15,436 | $163,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 30,000 | $162,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 11,799 | $160,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,459 | $159,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 14,253 | $157,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 12,174 | $157,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 13,286 | $156,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 42,874 | $156,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 11,620 | $156,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 11,000 | $156,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 10,059 | $154,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 11,059 | $154,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 19,050 | $154,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 10,537 | $153,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 15,570 | $153,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 14,705 | $153,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 29,020 | $152,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 19,514 | $151,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,220 | $151,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 10,937 | $151,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 154,394 | $151,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 16,407 | $150,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 148,605 | $150,000 | thousands by filing date | principal |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 11,308 | $144,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 11,605 | $143,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 11,217 | $143,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,500 | $143,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 15,808 | $142,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 23,702 | $142,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $142,000 | thousands by filing date | |
| Melinta Therapeutics Inc | 58549G209 | Common / Ordinary Stock | 267,582 | $142,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 20,457 | $141,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 10,012 | $140,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,071 | $140,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,784 | $140,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 10,019 | $138,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,382 | $138,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 21,524 | $138,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 10,433 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 14,900 | $136,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 19,049 | $133,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,886 | $131,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 14,816 | $131,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,630 | $130,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 14,729 | $129,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 18,603 | $128,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 38,090 | $128,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 10,600 | $126,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 25,793 | $126,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,152 | $125,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 125,325 | $125,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 11,715 | $124,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 20,329 | $123,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 15,400 | $122,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 123,120 | $121,000 | thousands by filing date | principal |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 21,352 | $120,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 13,575 | $119,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,944 | $119,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 10,905 | $119,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 14,420 | $118,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 15,323 | $118,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 13,419 | $117,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 13,538 | $116,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,866 | $114,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 15,885 | $113,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 10,063 | $112,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 14,120 | $111,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 10,574 | $111,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 12,340 | $110,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 12,848 | $110,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 15,865 | $110,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 20,875 | $108,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 23,172 | $105,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 16,000 | $103,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 11,350 | $101,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,441 | $101,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 11,262 | $100,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 42,624 | $100,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 55,568 | $94,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 20,000 | $92,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 24,552 | $91,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 115,923 | $90,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 12,695 | $90,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 11,147 | $90,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K112 | *W EXP 04/01/202 | 152,995 | $90,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 10,142 | $82,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 14,524 | $81,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 13,088 | $79,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 35,000 | $78,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 10,128 | $77,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 36,377 | $77,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 23,000 | $77,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 11,251 | $76,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 25,799 | $75,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 23,500 | $74,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 22,599 | $73,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $68,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 10,000 | $63,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 11,777 | $63,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 10,334 | $61,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 11,015 | $60,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 11,800 | $60,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 12,293 | $59,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 44,684 | $58,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,500 | $57,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 10,400 | $55,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 13,080 | $55,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,451 | $49,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 10,470 | $49,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 54,626 | $48,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 33,750 | $44,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 110,000 | $42,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 16,900 | $40,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 11,078 | $39,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 13,000 | $39,000 | thousands by filing date | |
| CORE MOLDING TECHNOLOGIES IN | 218683100 | COMMON STOCK | 11,700 | $38,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,000 | $38,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 14,000 | $38,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $38,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 16,076 | $35,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 81,500 | $33,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 32,724 | $33,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 33,090 | $33,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 31,886 | $32,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 32,281 | $32,000 | thousands by filing date | principal |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 31,453 | $31,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 29,582 | $30,000 | thousands by filing date | principal |
| IRIDEX CORP | 462684101 | COM | 14,520 | $29,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 27,423 | $27,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 26,738 | $27,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 25,971 | $26,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 26,238 | $26,000 | thousands by filing date | principal |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 26,126 | $26,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 25,208 | $25,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M300 | COM | 17,487 | $25,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 24,546 | $25,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 24,939 | $25,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 25,108 | $25,000 | thousands by filing date | principal |
| ACTTW US 30 Apr 24 C11.5 (Act II Global Acquisitio | G0080J120 | W EXP 04/30/202 | 25,000 | $25,000 | thousands by filing date | |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 23,859 | $24,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 24,438 | $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 |
| VERTEX ENERGY INC | 92534K107 | COM | 15,000 | $23,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 23,302 | $23,000 | thousands by filing date | principal |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 22,629 | $23,000 | thousands by filing date | principal |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 17,600 | $23,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 11,400 | $22,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 22,353 | $22,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 15,052 | $20,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 22,966 | $20,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 20,044 | $20,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 20,353 | $20,000 | thousands by filing date | principal |
| STEIN MART INC | 858375108 | COM | 30,000 | $20,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 19,724 | $20,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 20,271 | $20,000 | thousands by filing date | principal |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 19,221 | $19,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 18,032 | $18,000 | thousands by filing date | principal |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 24,735 | $18,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 18,000 | $17,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 17,340 | $17,000 | thousands by filing date | principal |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 17,088 | $17,000 | thousands by filing date | principal |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 17,062 | $17,000 | thousands by filing date | principal |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 17,326 | $17,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 16,541 | $17,000 | thousands by filing date | principal |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 16,968 | $17,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,000 | $16,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 16,410 | $16,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAD1 | BOND | 15,523 | $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 |
| CALAMP CORP | 128126AD1 | BOND | 15,733 | $16,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 16,320 | $16,000 | thousands by filing date | principal |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 15,887 | $16,000 | thousands by filing date | principal |
| RMG ACQUISITION CORP | 749641114 | *W EXP 02/21/202 | 16,666 | $16,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $15,000 | thousands by filing date | principal |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 15,044 | $15,000 | thousands by filing date | principal |
| OAKTREE ACQUISITION CORP | G67145113 | *W EXP 99/99/999 | 16,666 | $15,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 14,478 | $14,000 | thousands by filing date | principal |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 14,414 | $14,000 | thousands by filing date | principal |
| WAYFAIR INC | 94419LAB7 | NOTE 0.375% 9/0 | 14,123 | $14,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 32,250 | $13,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 12,556 | $13,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 13,036 | $13,000 | thousands by filing date | principal |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 12,501 | $13,000 | thousands by filing date | principal |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 13,254 | $13,000 | thousands by filing date | principal |
| ALTAIR ENGR INC | 021369AA1 | BOND | 13,325 | $13,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-20-000002 | this filing | 2020-02-13 | acceptance time not in the bulk data set |