13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-14, with 2,804 holding rows worth $36,209,696,000.
- Accession
- 0000720672-20-000005
- Filer
- CIK 720672
- Filed
- 2020-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 7,313 entries on the cover page, a total value of $36,209,696,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $36,209,696,000 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 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 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 |
|---|---|---|---|---|---|---|
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 10,270 | $156,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 50,000 | $155,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,220 | $155,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 10,901 | $155,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 21,316 | $154,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 11,450 | $154,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 14,892 | $153,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 27,365 | $152,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $152,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 95,418 | $151,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 34,834 | $150,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 34,503 | $149,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 35,710 | $148,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,478 | $147,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,067 | $147,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 147,460 | $147,000 | thousands by filing date | principal |
| JERNIGAN CAP INC | 476405105 | COM | 13,340 | $145,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 16,063 | $144,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 12,771 | $143,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 32,889 | $142,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 23,179 | $142,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 13,707 | $141,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 14,700 | $140,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 10,809 | $140,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 19,649 | $140,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 16,000 | $139,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 14,929 | $139,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 10,973 | $138,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 29,582 | $136,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 10,458 | $135,000 | thousands by filing date | |
| CLARUS CORP NEW | 18270P109 | COM | 13,642 | $134,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 26,250 | $134,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 20,445 | $134,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 31,297 | $133,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 19,284 | $133,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 31,484 | $133,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 23,091 | $131,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 15,000 | $131,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 32,820 | $130,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 15,524 | $130,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 13,475 | $129,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 16,892 | $128,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 11,308 | $128,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 24,299 | $128,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 23,538 | $128,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,637 | $127,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $127,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 21,676 | $127,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 65,341 | $126,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 17,649 | $126,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 21,538 | $125,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 29,724 | $125,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 10,937 | $125,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 12,677 | $125,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 12,228 | $123,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 12,591 | $122,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 11,420 | $122,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 92,849 | $122,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 15,000 | $122,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,930 | $120,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 10,487 | $119,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 13,616 | $119,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 15,748 | $117,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 10,478 | $116,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 10,850 | $115,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 114,944 | $115,000 | thousands by filing date | principal |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,503 | $114,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 22,520 | $113,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 15,771 | $113,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 12,151 | $112,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 35,599 | $112,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 112,457 | $112,000 | thousands by filing date | principal |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 53,685 | $111,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,171 | $111,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,268 | $111,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 13,718 | $110,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 12,252 | $109,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 10,177 | $109,000 | thousands by filing date | |
| ACADIAN ASSET MANAGEMENT INC COM | 10948W103 | Stock | 16,996 | $107,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 14,199 | $106,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 30,417 | $105,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 16,371 | $105,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 26,350 | $104,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 30,827 | $104,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 12,724 | $103,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 13,786 | $103,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 38,090 | $103,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 39,275 | $102,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 33,280 | $101,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 17,386 | $101,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 20,867 | $99,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 38,681 | $99,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 105,999 | $98,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 14,202 | $97,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 16,844 | $97,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 17,429 | $97,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 10,275 | $97,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 16,030 | $95,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 15,712 | $95,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 11,289 | $95,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 13,119 | $94,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 14,406 | $93,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 15,104 | $92,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 14,269 | $92,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 12,036 | $91,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 28,641 | $91,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 16,050 | $90,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 10,192 | $90,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 12,340 | $88,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 26,028 | $88,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 24,616 | $86,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 28,052 | $86,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 20,039 | $85,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 11,362 | $84,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 10,107 | $84,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 12,054 | $83,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 79,288 | $83,000 | thousands by filing date | principal |
| CALLON PETE CO DEL | 13123X102 | COM | 187,873 | $80,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 10,908 | $79,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 21,141 | $78,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,347 | $77,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,736 | $76,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 10,912 | $75,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 18,581 | $74,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 12,165 | $74,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 31,186 | $73,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 20,000 | $73,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 85,930 | $72,000 | thousands by filing date | principal |
| SmileDirectClub Inc | 83192H106 | COM | 15,400 | $72,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 10,483 | $71,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 10,160 | $70,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 22,599 | $70,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 83,625 | $70,000 | thousands by filing date | principal |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 13,155 | $69,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 18,178 | $68,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 13,709 | $68,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 25,382 | $67,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 11,468 | $66,000 | thousands by filing date | |
| WELBILT INC | 949090104 | COM | 12,522 | $66,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 75,089 | $66,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP | 90069K112 | *W EXP 04/01/202 | 168,431 | $66,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 66,826 | $65,000 | thousands by filing date | principal |
| OFS CAPITAL CORP | 67103B100 | COM | 15,789 | $64,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,689 | $62,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 15,250 | $61,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 29,160 | $60,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 53,516 | $59,000 | thousands by filing date | |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 67,575 | $59,000 | thousands by filing date | principal |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 460,050 | $57,000 | thousands by filing date | |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 61,071 | $56,000 | thousands by filing date | principal |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 57,852 | $55,000 | thousands by filing date | principal |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 73,254 | $54,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 10,162 | $54,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 55,785 | $54,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 62,395 | $54,000 | thousands by filing date | principal |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 19,814 | $53,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 12,583 | $52,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 10,441 | $52,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 63,112 | $50,000 | thousands by filing date | principal |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 13,749 | $48,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 16,881 | $48,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 154,094 | $47,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 51,703 | $47,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 47,480 | $47,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 23,211 | $47,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 13,845 | $46,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 11,340 | $45,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,630 | $45,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 12,340 | $44,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAH3 | DBCV 1.990% 7/0 | 44,850 | $44,000 | thousands by filing date | principal |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 16,500 | $43,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 51,000 | $43,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 41,000 | $42,000 | thousands by filing date | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 47,889 | $42,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 42,828 | $41,000 | thousands by filing date | principal |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 14,988 | $39,000 | thousands by filing date | |
| SPLUNK INC | 848637AC8 | NOTE 0.500% 9/1 | 37,292 | $39,000 | thousands by filing date | principal |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 45,691 | $39,000 | thousands by filing date | principal |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 41,600 | $39,000 | thousands by filing date | principal |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 45,361 | $38,000 | thousands by filing date | principal |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 34,106 | $38,000 | thousands by filing date | principal |
| ENDO INTL PLC | G30401106 | SHS | 10,660 | $38,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 13,621 | $38,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 92,000 | $37,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 44,621 | $37,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 44,951 | $37,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 16,477 | $36,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAN0 | NOTE 1.250% 4/0 | 33,000 | $36,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 46,050 | $36,000 | thousands by filing date | principal |
| PRECIGEN INC | 74017N105 | COM | 10,267 | $35,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 47,035 | $35,000 | thousands by filing date | |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 20,000 | $35,000 | thousands by filing date | principal |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 34,097 | $35,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 34,987 | $35,000 | thousands by filing date | principal |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 40,200 | $34,000 | thousands by filing date | principal |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 38,423 | $32,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 32,681 | $32,000 | thousands by filing date | principal |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 14,161 | $31,000 | thousands by filing date | |
| INSULET CORP | 45784PAH4 | NOTE 1.375%11/1 | 17,000 | $31,000 | thousands by filing date | principal |
| FERROGLOBE PLC | G33856108 | SHS | 118,716 | $30,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 13,000 | $30,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 36,255 | $29,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 29,248 | $28,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 19,350 | $28,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 33,000 | $28,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 25,000 | $28,000 | thousands by filing date | principal |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,700 | $28,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 10,000 | $27,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 10,722 | $27,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 16,654 | $27,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 54,100 | $26,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,000 | $26,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 10,900 | $26,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 22,000 | $25,000 | thousands by filing date | principal |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 26,000 | $25,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 10,385 | $24,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 13,339 | $24,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 39,346 | $24,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 27,900 | $23,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAB2 | BOND | 22,000 | $23,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 13,000 | $23,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 110,942 | $22,000 | thousands by filing date | |
| DOCUSIGN INC | 256163AB2 | NOTE 0.500% 9/1 | 16,000 | $22,000 | thousands by filing date | principal |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 17,000 | $22,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 22,387 | $22,000 | thousands by filing date | principal |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 10,545 | $21,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 14,403 | $21,000 | thousands by filing date | |
| KBR INC | 48242WAB2 | BOND | 20,109 | $21,000 | thousands by filing date | principal |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 20,500 | $21,000 | thousands by filing date | principal |
| OSPREY TECHNLGY AQUISTION CO | 68839R120 | *W EXP 10/30/202 | 25,000 | $21,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,548 | $20,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 15,400 | $20,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $20,000 | thousands by filing date | |
| COLONY STARWOOD HOMES | 19625XAB8 | NOTE 3.500% 1/1 | 19,000 | $20,000 | thousands by filing date | principal |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 22,141 | $20,000 | thousands by filing date | principal |
| PIVOTAL INVT CORP II | 72582K118 | *W EXP 06/01/202 | 25,700 | $20,000 | thousands by filing date | |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 17,000 | $19,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $19,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 19,410 | $19,000 | thousands by filing date | principal |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 35,000 | $19,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 10,000 | $18,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 22,000 | $18,000 | thousands by filing date | principal |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 19,000 | $18,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 18,634 | $18,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $18,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $17,000 | thousands by filing date | principal |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 17,000 | $17,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $16,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,272 | $15,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 12,700 | $15,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 11,225 | $15,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,451 | $15,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 18,136 | $15,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 17,000 | $15,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 16,453 | $15,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 15,055 | $15,000 | thousands by filing date | principal |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 14,150 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 12,889 | $14,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 17,967 | $14,000 | thousands by filing date | |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 10,192 | $14,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 11,000 | $14,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 11,000 | $14,000 | thousands by filing date | principal |
| RH | 74967XAA1 | BOND | 17,000 | $14,000 | thousands by filing date | principal |
| STEIN MART INC | 858375108 | COM | 30,000 | $14,000 | thousands by filing date | |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 11,000 | $13,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 13,000 | $13,000 | thousands by filing date | principal |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 13,024 | $13,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 14,586 | $13,000 | thousands by filing date | principal |
| CONMED CORP | 207410AF8 | BOND | 14,000 | $13,000 | thousands by filing date | principal |
| OIL STS INTL INC | 678026AH8 | NOTE 1.500% 2/1 | 16,000 | $13,000 | thousands by filing date | principal |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 14,000 | $13,000 | thousands by filing date | principal |
| CONDUENT INC | 206787103 | COM | 12,829 | $12,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 12,648 | $12,000 | thousands by filing date | principal |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 14,175 | $12,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $12,000 | thousands by filing date | principal |
| OAKTREE ACQUISITION CORP | G67145113 | *W EXP 99/99/999 | 11,530 | $12,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402Q126 | *W EXP 04/01/202 | 49,282 | $12,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 42,906 | $11,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 11,553 | $11,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP II | 90070A111 | *W EXP 04/01/202 | 27,431 | $11,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 11,000 | $11,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 18,000 | $10,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 11,000 | $10,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 11,000 | $10,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 10,041 | $10,000 | thousands by filing date | principal |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 16,921 | $10,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 11,380 | $10,000 | thousands by filing date | principal |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 24,735 | $10,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 12,000 | $9,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 27,000 | $9,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 15,000 | $9,000 | thousands by filing date | |
| STABLE RD ACQUISITION CORP | 85236Q117 | *W EXP 05/15/202 | 12,500 | $9,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 30,000 | $8,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,000 | $8,000 | thousands by filing date | |
| EVOLENT HEALTH INC | 30050BAD3 | NOTE 1.500%10/1 | 11,103 | $8,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DELAWARE | 531229AE2 | DEB 2.250% 9/3 | 17,000 | $8,000 | thousands by filing date | principal |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 10,000 | $8,000 | thousands by filing date | principal |
| MEDLEY CAP CORP | 58503F106 | COM | 13,341 | $7,000 | thousands by filing date | |
| RMG ACQUISITION CORP | 749641114 | *W EXP 02/21/202 | 11,666 | $7,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 23,200 | $6,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 12,000 | $4,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 17,271 | $4,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 17,841 | $3,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 15,041 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-20-000005 | this filing | 2020-05-14 | acceptance time not in the bulk data set |