13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 2,851 holding rows worth $43,484,943,000.
- Accession
- 0000720672-20-000007
- Filer
- CIK 720672
- Filed
- 2020-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 7,291 entries on the cover page, a total value of $43,484,943,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $43,484,943,000 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 |
|---|---|---|---|---|---|---|
| MATSON INC COM | 57686G105 | Stock | 8,195 | $238,000 | thousands by filing date | |
| Mid-Southern Bancorp | 59548Q107 | COM | 19,590 | $237,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 8,189 | $236,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 4,633 | $236,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 3,917 | $235,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 2,443 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,421 | $234,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 6,077 | $233,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 19,166 | $233,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 21,539 | $233,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 5,704 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 6,107 | $231,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 4,797 | $231,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 3,633 | $230,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 19,561 | $230,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 18,816 | $230,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 18,238 | $230,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 12,557 | $229,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 5,624 | $229,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 12,260 | $228,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 4,502 | $228,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 11,033 | $228,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 9,292 | $228,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES EURO | 46138K103 | EURO SHS | 2,155 | $228,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 18,010 | $228,000 | thousands by filing date | |
| BELLRING BRANDS INC | 079823100 | COMMON STOCK | 11,364 | $227,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 11,420 | $226,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 8,403 | $226,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 29,703 | $226,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 15,100 | $226,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 658 | $225,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 17,589 | $225,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 8,246 | $225,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISTN COR | 34431F203 | UNIT 99/99/9999 | 21,094 | $225,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 4,506 | $223,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 15,427 | $223,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 8,071 | $223,000 | thousands by filing date | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 16,525 | $222,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 45,960 | $222,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 5,408 | $222,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 15,104 | $222,000 | thousands by filing date | |
| REALITY SHS ETF TR DIVS ETF | 75605A108 | CEF | 10,060 | $221,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 17,514 | $220,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 4,285 | $220,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 31,699 | $219,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 9,613 | $218,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,185 | $217,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 16,110 | $217,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 25,190 | $217,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 13,273 | $217,000 | thousands by filing date | |
| DBX ETF TR | 233051432 | XTRACK USD HIGH | 4,627 | $216,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 3,119 | $216,000 | thousands by filing date | |
| ALLOGENE THERAPEUTICS INC | 019770106 | COM | 5,046 | $216,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 18,932 | $216,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 215,526 | $216,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 12,112 | $215,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 5,821 | $214,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 20,451 | $213,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 7,357 | $213,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 7,304 | $212,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 2,152 | $211,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 1,069 | $211,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 32,868 | $211,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 9,322 | $210,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 14,495 | $209,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 25,553 | $209,000 | thousands by filing date | |
| PURSUIT ATTRACTIONS AND HOSP | 92552R406 | COM | 11,000 | $209,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 11,822 | $209,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 9,250 | $207,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 3,784 | $207,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 22,371 | $207,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 4,100 | $206,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 3,835 | $205,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 9,635 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 6,051 | $205,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 5,039 | $203,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 4,010 | $203,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y293 | GLB X MLP ENRG I | 8,157 | $203,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 4,960 | $203,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 15,915 | $203,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 1,983 | $203,000 | thousands by filing date | |
| H WORLD GROUP LTD SPONSORED ADS | 44332N106 | ADR | 5,764 | $202,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 6,700 | $202,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 17,454 | $202,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 909 | $201,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 5,008 | $201,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 6,597 | $201,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 22,911 | $201,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 15,087 | $200,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 94,677 | $200,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 27,069 | $195,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 43,084 | $195,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 13,700 | $195,000 | thousands by filing date | |
| MERCHANTS BANCORP IND | 58844R108 | COM | 10,450 | $193,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 33,348 | $192,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 10,508 | $191,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 17,770 | $190,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 15,336 | $190,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 22,528 | $189,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 17,998 | $188,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 17,952 | $187,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 12,845 | $186,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 14,973 | $186,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 17,700 | $185,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 27,289 | $183,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 31,696 | $182,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 10,552 | $181,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 25,460 | $180,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 21,169 | $180,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,067 | $176,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 42,404 | $174,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 15,300 | $174,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,154 | $173,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,352 | $173,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 17,247 | $173,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 13,931 | $172,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 12,548 | $172,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 23,426 | $171,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 16,800 | $171,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 14,930 | $170,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 20,097 | $169,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 170,315 | $169,000 | thousands by filing date | principal |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 15,799 | $168,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 23,527 | $168,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 21,629 | $168,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 11,720 | $167,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 12,128 | $167,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 16,825 | $167,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 37,037 | $166,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 23,811 | $166,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 14,133 | $165,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 13,363 | $164,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 31,484 | $164,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 12,771 | $163,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 21,175 | $161,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 26,224 | $161,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 11,011 | $160,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 10,924 | $157,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 10,107 | $157,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 14,200 | $157,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,457 | $156,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,440 | $155,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $155,000 | thousands by filing date | |
| EAGLE GRWTH & INCOME OPPTY F | 26958J105 | COM SHS BEN IN | 11,475 | $155,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 15,434 | $154,000 | thousands by filing date | |
| ESSENTIAL PPTYS RLTY TR INC COM | 29670E107 | REIT | 10,343 | $153,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 13,744 | $153,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 106,050 | $152,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 10,000 | $152,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 15,000 | $151,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 18,878 | $148,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 14,850 | $147,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 31,829 | $145,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 13,057 | $145,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,637 | $145,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 11,423 | $145,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 19,604 | $144,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 21,984 | $143,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 19,725 | $142,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 13,123 | $142,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 34,827 | $142,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 12,066 | $141,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 15,633 | $141,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 31,975 | $139,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,429 | $139,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 19,699 | $138,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 29,689 | $138,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 11,324 | $138,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 11,000 | $138,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 18,680 | $137,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 32,007 | $137,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 15,312 | $136,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 15,539 | $135,000 | thousands by filing date | |
| FIRST EAGLE SENIOR LOAN FUND | 32010E100 | COM NEW | 10,937 | $135,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 16,600 | $134,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 10,000 | $132,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 13,944 | $130,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 12,242 | $130,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 12,306 | $130,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 65,079 | $130,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 16,400 | $128,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $128,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 42,619 | $126,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 153,594 | $126,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 10,788 | $125,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,631 | $124,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 15,748 | $123,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 22,419 | $123,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 12,677 | $123,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 29,307 | $122,000 | thousands by filing date | |
| SC HEALTH CORP | G78516203 | COM CL A | 12,030 | $122,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,268 | $121,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 11,130 | $120,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 37,793 | $120,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 16,949 | $119,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,512 | $115,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 10,000 | $115,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 11,321 | $115,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $113,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 39,075 | $113,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 11,994 | $111,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 11,620 | $110,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 20,030 | $110,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 23,091 | $110,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 13,032 | $109,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 23,200 | $109,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 109,225 | $109,000 | thousands by filing date | principal |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 29,795 | $108,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 15,189 | $107,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 18,905 | $107,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,060 | $106,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 10,550 | $105,000 | thousands by filing date | |
| NOVUS CAP CORP | 67012U207 | UNIT 06/30/2027 | 10,000 | $105,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,259 | $103,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 103,353 | $103,000 | thousands by filing date | principal |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,084 | $102,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 16,372 | $102,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 15,500 | $102,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 12,847 | $101,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 14,600 | $100,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 15,550 | $99,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K112 | *W EXP 04/01/202 | 168,431 | $99,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 11,657 | $97,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 25,891 | $97,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 17,390 | $95,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 14,269 | $95,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,221 | $94,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 19,525 | $93,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 23,841 | $93,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 12,982 | $92,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 12,544 | $91,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 18,993 | $89,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 11,408 | $88,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 68,278 | $88,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 70,000 | $88,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 22,795 | $87,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 98,000 | $86,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 19,078 | $84,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 11,902 | $83,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 10,162 | $83,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 25,524 | $83,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 17,467 | $77,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 19,729 | $77,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 13,856 | $76,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 54,100 | $73,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 13,709 | $72,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 71,969 | $72,000 | thousands by filing date | principal |
| NN INC | 629337106 | COM | 15,000 | $71,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 15,262 | $71,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 25,572 | $70,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 20,250 | $69,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 17,645 | $69,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 68,579 | $69,000 | thousands by filing date | principal |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 16,392 | $68,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 19,364 | $67,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 55,572 | $66,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 65,068 | $65,000 | thousands by filing date | principal |
| OFS CAPITAL CORP | 67103B100 | COM | 13,730 | $62,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 12,552 | $59,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 116,630 | $58,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 11,152 | $56,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 55,196 | $55,000 | thousands by filing date | principal |
| ENDO INTL PLC | G30401106 | SHS | 16,180 | $55,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 15,500 | $54,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 20,000 | $54,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 10,296 | $53,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 18,556 | $52,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 48,926 | $49,000 | thousands by filing date | principal |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 48,969 | $49,000 | thousands by filing date | principal |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 16,654 | $48,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 10,441 | $43,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 30,000 | $42,000 | thousands by filing date | principal |
| WISDOMTREE INC | 97717P104 | COM | 11,940 | $41,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 15,500 | $41,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,622 | $40,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 40,494 | $40,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 16,751 | $38,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 10,500 | $38,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 11,800 | $37,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 11,548 | $37,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 12,500 | $36,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 27,000 | $36,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $36,000 | thousands by filing date | principal |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 11,694 | $36,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 35,500 | $36,000 | thousands by filing date | principal |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 10,000 | $35,000 | thousands by filing date | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 26,000 | $34,000 | thousands by filing date | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 17,944 | $34,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 12,580 | $33,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 17,000 | $32,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 33,000 | $31,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 17,600 | $30,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 12,695 | $30,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 26,754 | $29,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 13,840 | $29,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 35,217 | $27,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085115 | *W EXP 12/31/202 | 25,000 | $26,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R120 | *W EXP 10/30/202 | 25,000 | $26,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 30,521 | $25,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 17,937 | $25,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $25,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 20,500 | $24,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $24,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 24,020 | $24,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $23,000 | thousands by filing date | principal |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,200 | $20,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 17,000 | $20,000 | thousands by filing date | principal |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 13,200 | $20,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K118 | *W EXP 06/01/202 | 25,700 | $20,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,000 | $19,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 64,816 | $19,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 19,000 | $19,000 | thousands by filing date | |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 18,000 | $18,000 | thousands by filing date | principal |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 35,000 | $18,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 14,000 | $17,000 | thousands by filing date | principal |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 19,000 | $17,000 | thousands by filing date | principal |
| UNION ACQUISITION CORP II | G9402Q126 | *W EXP 04/01/202 | 49,282 | $17,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 15,000 | $16,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 15,000 | $16,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAF9 | NOTE 0.250% 6/1 | 17,000 | $16,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 16,000 | $15,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 15,000 | $15,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP II | 90070A111 | *W EXP 04/01/202 | 27,431 | $15,000 | thousands by filing date | |
| InterPrivate Acquisition Corp | 46064A111 | INTERPRIVATE ACQUISITI -CW24 | 25,000 | $15,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 12,000 | $14,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 15,000 | $14,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 14,000 | $13,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $13,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 13,000 | $12,000 | thousands by filing date | principal |
| HERBALIFE NUTRITION LTD | 42703MAD5 | NOTE 2.625% 3/1 | 12,000 | $12,000 | thousands by filing date | principal |
| VERTEX ENERGY INC | 92534K107 | COM | 15,000 | $11,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 13,000 | $11,000 | thousands by filing date | principal |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 11,000 | $11,000 | thousands by filing date | principal |
| RMG ACQUISITION CORP | 749641114 | *W EXP 02/21/202 | 11,666 | $11,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 13,341 | $10,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 30,000 | $10,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,000 | $10,000 | thousands by filing date | |
| INSMED INC | 457669AA7 | NOTE 1.750% 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 10,000 | $10,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 12,000 | $10,000 | thousands by filing date | principal |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 13,000 | $10,000 | thousands by filing date | principal |
| CSG SYS INTL INC | 126349AF6 | NOTE 4.250% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 11,218 | $9,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 10,000 | $9,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 23,200 | $9,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 13,000 | $8,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 10,000 | $8,000 | thousands by filing date | principal |
| STABLE RD ACQUISITION CORP | 85236Q117 | *W EXP 05/15/202 | 12,500 | $8,000 | thousands by filing date | |
| T-Mobile US Inc Rights 20 | 872590112 | RIGHT 07/27/2020 | 41,166 | $7,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 12,000 | $5,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 10,000 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-20-000007 | this filing | 2020-08-14 | acceptance time not in the bulk data set |