13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 2,873 holding rows worth $48,613,511,000.
- Accession
- 0000720672-20-000010
- Filer
- CIK 720672
- Filed
- 2020-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 7,303 entries on the cover page, a total value of $48,613,511,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $48,613,511,000 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 |
|---|---|---|---|---|---|---|
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 3,041 | $250,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 13,515 | $250,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 62,542 | $249,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 5,077 | $249,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 4,561 | $249,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 3,288 | $249,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 3,457 | $248,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 6,034 | $246,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 8,358 | $246,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 5,869 | $245,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 9,365 | $245,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 7,255 | $244,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 603 | $243,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F684 | RETAIL ETF | 1,635 | $243,000 | thousands by filing date | |
| LIVERAMP HLDGS INC COM | 53815P108 | Stock | 4,666 | $242,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,123 | $242,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 27,885 | $242,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 3,689 | $240,000 | thousands by filing date | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 8,950 | $240,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 8,525 | $240,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 3,336 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 2,421 | $239,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 20,522 | $239,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 11,200 | $239,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 18,410 | $239,000 | thousands by filing date | |
| ISHARES ESG AWARE USD CORPORATE BOND ETF | 46435G193 | ETF | 8,584 | $238,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 11,411 | $238,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 10,097 | $237,000 | thousands by filing date | |
| WARNER MUSIC GROUP CORP | 934550203 | COM CL A | 8,250 | $237,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 12,309 | $237,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 4,633 | $237,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 3,197 | $236,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 3,159 | $236,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 17,589 | $236,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 5,758 | $235,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E180 | S&P SMLCP DISC | 3,735 | $235,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 22,963 | $235,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 732 | $234,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 23,755 | $234,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y293 | GLB X MLP ENRG I | 10,532 | $233,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 57,508 | $232,000 | thousands by filing date | |
| 1LIFE HEALTHCARE INC | 68269G107 | COM | 8,205 | $232,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 30,216 | $232,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 12,318 | $231,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 21,296 | $231,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 5,408 | $230,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 7,053 | $230,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 2,910 | $229,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 5,155 | $229,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 6,036 | $229,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,345 | $229,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 14,885 | $227,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 6,148 | $226,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 2,759 | $226,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 39,605 | $226,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 5,624 | $226,000 | thousands by filing date | |
| INVESCO DB US DLR INDEX TR | 46141D104 | BEARISH FD | 10,815 | $226,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 1,603 | $225,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 6,271 | $225,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 13,267 | $225,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 4,578 | $225,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 1,580 | $224,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 8,898 | $223,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 38,273 | $223,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 10,158 | $223,000 | thousands by filing date | |
| iShares Broad USD High Yield Corporate Bond ETF | 46435U853 | SHS | 5,620 | $222,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 994 | $222,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 28,958 | $222,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 13,136 | $222,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 16,048 | $220,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 4,467 | $220,000 | thousands by filing date | |
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 7,030 | $219,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 23,490 | $218,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 5,309 | $218,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 4,585 | $217,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 16,110 | $217,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 22,331 | $217,000 | thousands by filing date | |
| COMMERCIAL METALS CO COM | 201723103 | Stock | 10,814 | $216,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 3,191 | $216,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 2,988 | $216,000 | thousands by filing date | |
| PACER FDS TR | 69374H691 | mc | 7,890 | $216,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 20,583 | $216,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 3,486 | $215,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 1,927 | $215,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 18,000 | $215,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 52,900 | $214,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 9,283 | $214,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 5,513 | $213,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 5,218 | $213,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 6,936 | $212,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 23,390 | $212,000 | thousands by filing date | |
| ARCH RESOURCES INC | 03940R107 | CL A | 5,000 | $212,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 3,562 | $212,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P504 | INCOME EQT FOCUS | 5,452 | $212,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 2,600 | $212,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 9,271 | $211,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 7,891 | $210,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 10,954 | $210,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 6,900 | $209,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 32,056 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 6,348 | $208,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 4,102 | $208,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 5,105 | $208,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 7,254 | $207,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 16,861 | $207,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,772 | $207,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 4,100 | $206,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 9,700 | $206,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 3,936 | $205,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 703 | $205,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 2,841 | $205,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 15,180 | $205,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 16,364 | $204,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 24,711 | $204,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 3,624 | $203,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 15,660 | $201,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 12,124 | $201,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 24,390 | $201,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 3,920 | $200,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 21,184 | $200,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 19,039 | $200,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 50,859 | $199,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 18,388 | $199,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 19,874 | $198,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 22,221 | $197,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 17,164 | $197,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 46,846 | $197,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 30,289 | $197,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 18,000 | $197,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 13,157 | $196,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 22,418 | $195,000 | thousands by filing date | |
| CACTUS INC | 127203107 | CL A | 10,033 | $193,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 14,643 | $190,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 18,932 | $188,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,704 | $187,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 16,649 | $187,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 25,159 | $186,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 23,693 | $185,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 11,351 | $184,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 32,577 | $182,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 15,336 | $182,000 | thousands by filing date | |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 19,025 | $181,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 14,987 | $181,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 15,047 | $180,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 21,601 | $179,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 59,107 | $177,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,352 | $173,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 22,080 | $173,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 11,445 | $173,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 21,106 | $172,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 23,527 | $172,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 11,867 | $169,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 31,696 | $169,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 14,659 | $168,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 12,401 | $168,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 15,415 | $167,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 14,133 | $167,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 16,168 | $167,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 167,269 | $167,000 | thousands by filing date | principal |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 11,720 | $165,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 30,003 | $164,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 163,230 | $163,000 | thousands by filing date | principal |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 33,828 | $162,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 11,744 | $162,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $162,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 12,040 | $161,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 10,579 | $161,000 | thousands by filing date | |
| LIBERTY ENERGY INC | 53115L104 | COM CL A | 19,988 | $160,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 10,397 | $160,000 | thousands by filing date | |
| NEXPOINT REAL ESTATE FINANCE | 65342V101 | REIT | 10,929 | $160,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,375 | $159,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 17,550 | $159,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 25,214 | $158,000 | thousands by filing date | |
| VOYAGER THERAPEUTICS INC | 92915B106 | COMMON STOCK | 14,661 | $157,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 26,288 | $156,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 20,389 | $156,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 22,550 | $156,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 12,717 | $155,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 15,000 | $155,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 12,863 | $154,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 25,190 | $154,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 27,289 | $154,000 | thousands by filing date | |
| INVESCO HIGH YIELD EQUITY DIVIDEND ACHIEVERS ETF | 46137V563 | ETF | 10,587 | $152,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 15,545 | $152,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 10,365 | $151,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 35,836 | $151,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 10,300 | $146,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 10,985 | $145,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 14,203 | $145,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 16,600 | $143,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 17,498 | $143,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 11,367 | $143,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 11,810 | $143,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 10,482 | $143,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 94,847 | $143,000 | thousands by filing date | |
| NOVUS CAP CORP | 67012U207 | UNIT 06/30/2027 | 10,000 | $143,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 14,475 | $142,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 10,711 | $142,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 19,196 | $142,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 18,088 | $141,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 25,026 | $140,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 18,176 | $139,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 11,285 | $139,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 11,163 | $138,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 12,232 | $137,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 13,927 | $136,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 13,699 | $135,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 29,005 | $134,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 16,825 | $134,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 22,286 | $133,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 14,255 | $133,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 10,484 | $131,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $131,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 11,656 | $130,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 15,748 | $130,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 38,760 | $130,000 | thousands by filing date | |
| UNIFI INC | 904677200 | COM NEW | 10,107 | $130,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,440 | $129,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 11,420 | $127,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 10,110 | $127,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 14,425 | $127,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,749 | $126,000 | thousands by filing date | |
| EDESA BIOTECH INC | 27966L108 | COM | 15,625 | $126,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 13,187 | $125,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 17,986 | $124,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 16,085 | $124,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 15,655 | $124,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 11,403 | $123,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 18,467 | $122,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 14,483 | $122,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 30,249 | $121,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 20,414 | $119,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 20,400 | $118,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 21,890 | $118,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 117,767 | $118,000 | thousands by filing date | principal |
| SPARK ENERGY INC | 846511103 | CL A COM | 14,047 | $117,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 12,289 | $115,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,300 | $113,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 21,450 | $112,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744104 | SHS | 10,774 | $112,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 13,247 | $110,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 23,210 | $110,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 12,677 | $110,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 16,877 | $109,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 10,093 | $107,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 10,000 | $107,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 106,000 | $106,000 | thousands by filing date | principal |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,077 | $103,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 21,325 | $103,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 15,972 | $102,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 15,550 | $101,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $100,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID CAP ETF | 46434G202 | ETF | 12,010 | $100,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 36,671 | $99,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 68,860 | $99,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 18,245 | $98,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,602 | $98,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 12,869 | $97,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 14,496 | $95,000 | thousands by filing date | |
| UBS Alerian MLP/ MLPI | 902641646 | TR UNIT | 10,000 | $94,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 10,270 | $93,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 28,195 | $93,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 26,761 | $92,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 54,100 | $92,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRGY SHS BEN INT | 151461209 | CEF | 12,159 | $91,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 18,155 | $90,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 11,000 | $90,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 55,572 | $89,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 13,000 | $87,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 14,269 | $87,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 18,046 | $85,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 87,000 | $85,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 21,291 | $85,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 22,907 | $85,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 10,315 | $83,000 | thousands by filing date | |
| MEDIACO HLDG INC | 58450D104 | CL A | 31,484 | $83,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 45,867 | $83,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 25,000 | $81,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 31,957 | $81,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 22,700 | $80,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 10,558 | $77,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,000 | $77,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 18,396 | $73,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 10,880 | $73,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 26,698 | $72,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 10,162 | $72,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 20,414 | $71,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $71,000 | thousands by filing date | principal |
| METALLUS INC | 887399103 | COMMON STOCK | 19,841 | $70,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 11,154 | $68,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 33,000 | $68,000 | thousands by filing date | principal |
| OFS CAPITAL CORP | 67103B100 | COM | 13,730 | $65,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 23,508 | $65,000 | thousands by filing date | |
| ARMATA PHARMACEUTICALS INC | 04216R102 | COM | 19,729 | $63,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 10,800 | $62,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 17,367 | $61,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 66,978 | $61,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 11,900 | $60,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 16,272 | $60,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,588 | $60,000 | thousands by filing date | |
| JAKKS PAC INC | 47012E403 | COM NEW | 15,327 | $58,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 23,010 | $57,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 14,350 | $57,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 50,526 | $51,000 | thousands by filing date | principal |
| GASLOG LTD | G37585109 | SHS | 18,462 | $50,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 49,693 | $50,000 | thousands by filing date | principal |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,325 | $49,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 12,836 | $49,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 10,911 | $49,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 15,100 | $48,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,214 | $47,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 18,880 | $46,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 14,115 | $46,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 30,000 | $46,000 | thousands by filing date | principal |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 32,000 | $44,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 14,436 | $43,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 55,217 | $42,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 12,424 | $40,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 16,075 | $39,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 38,000 | $38,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 11,052 | $38,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 27,000 | $38,000 | thousands by filing date | |
| YUNJI INC | 98873N107 | ADS RP CL A | 20,000 | $37,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 26,833 | $36,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 20,600 | $36,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 10,441 | $36,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 28,350 | $36,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 12,901 | $35,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 19,021 | $35,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 34,825 | $35,000 | thousands by filing date | principal |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,603 | $33,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 33,229 | $33,000 | thousands by filing date | principal |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 26,000 | $33,000 | thousands by filing date | principal |
| 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 | $32,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 26,000 | $30,000 | thousands by filing date | principal |
| MESA AIR GROUP INC | 590479135 | COM NEW | 10,000 | $30,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | 53069QAB5 | BOND | 36,000 | $30,000 | thousands by filing date | principal |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 29,926 | $30,000 | thousands by filing date | principal |
| ATHERSYS INC | 04744L106 | COM | 14,750 | $29,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 11,155 | $27,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 11,845 | $27,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 12,913 | $25,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 23,775 | $24,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $24,000 | thousands by filing date | principal |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 24,453 | $24,000 | thousands by filing date | principal |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,200 | $22,000 | thousands by filing date | |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 19,000 | $21,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 13,944 | $21,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 20,111 | $20,000 | thousands by filing date | principal |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 10,000 | $19,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,288 | $19,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 19,000 | $18,000 | thousands by filing date | principal |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 27,429 | $17,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 21,500 | $17,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 13,000 | $17,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 69,809 | $16,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 15,000 | $15,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 12,000 | $15,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,044 | $13,000 | thousands by filing date | |
| ALTERYX INC | 02156BAD5 | BOND | 13,000 | $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 |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 12,074 | $12,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 12,926 | $12,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 10,913 | $11,000 | thousands by filing date | principal |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 12,000 | $10,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 20,000 | $9,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 30,000 | $7,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,000 | $5,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 10,000 | $3,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 16,124 | $3,000 | thousands by filing date | |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 12,000 | $2,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G123 | RIGHT 10/01/2020 | 116,965 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-20-000010 | this filing | 2020-11-16 | acceptance time not in the bulk data set |