13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-14, with 3,201 holding rows worth $60,663,968,000.
- Accession
- 0000720672-21-000007
- Filer
- CIK 720672
- Filed
- 2021-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 7,845 entries on the cover page, a total value of $60,663,968,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $60,661,416,000 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 |
|---|---|---|---|---|---|---|
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 7,309 | $208,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 11,786 | $208,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 10,488 | $207,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L105 | SHS CL A | 19,270 | $207,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 4,100 | $206,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 6,732 | $205,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 3,548 | $205,000 | thousands by filing date | |
| NAVIOS MARITIME PARTNERS L.P. | Y62267409 | COM UNIT LPI | 8,700 | $205,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 2,512 | $205,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 23,625 | $205,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 4,152 | $205,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 5,580 | $203,000 | thousands by filing date | |
| SCHNEIDER NATIONAL INC | 80689H102 | CL B | 8,105 | $202,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 28,814 | $202,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 2,740 | $202,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 8,479 | $201,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,621 | $201,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 32,552 | $200,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 2,348 | $200,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 15,350 | $200,000 | thousands by filing date | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 31,350 | $196,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 51,580 | $194,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 10,793 | $194,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 21,486 | $194,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 16,291 | $193,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 15,701 | $193,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 30,308 | $192,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 15,016 | $192,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,937 | $190,000 | thousands by filing date | |
| SUMO LOGIC INC | 86646P103 | COM | 10,085 | $190,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 17,460 | $188,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 14,099 | $188,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 10,798 | $187,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 10,478 | $186,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 18,700 | $186,000 | thousands by filing date | |
| PRIMIS FINANCIAL CORP | 74167B109 | COMMON STOCK | 12,677 | $184,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 23,258 | $184,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 20,048 | $182,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 12,110 | $180,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $180,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 33,613 | $178,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 43,047 | $176,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 13,000 | $176,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 12,043 | $174,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 14,000 | $174,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 14,860 | $173,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 28,800 | $173,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 12,527 | $171,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 47,416 | $169,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 11,671 | $168,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 27,079 | $168,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 10,787 | $167,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $167,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 35,428 | $165,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 10,800 | $164,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 13,483 | $164,000 | thousands by filing date | |
| SENDAS DISTRIBUIDORA S A | 81689T104 | SPON ADS | 12,506 | $163,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 15,833 | $163,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 13,800 | $163,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,079 | $162,000 | thousands by filing date | |
| Ouster Inc | 68989M103 | COM | 19,081 | $162,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 13,125 | $161,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 13,232 | $160,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 11,339 | $160,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 17,811 | $158,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 158,218 | $158,000 | thousands by filing date | principal |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 27,027 | $157,000 | thousands by filing date | |
| HORIZON ACQUISITION CORPORAT | G46044106 | CMN | 15,288 | $157,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 10,359 | $156,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 19,953 | $156,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $156,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 17,233 | $155,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 10,806 | $155,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 18,110 | $153,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,740 | $152,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 13,504 | $151,000 | thousands by filing date | |
| JAWS ACQUISITION CORP | G50744104 | SHS | 11,424 | $151,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 17,823 | $150,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 13,900 | $150,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 10,440 | $150,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 15,645 | $148,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 16,850 | $147,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $145,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 10,444 | $145,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 13,000 | $144,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514103 | SHS CL A | 12,872 | $141,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 20,237 | $140,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 57,233 | $138,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 12,820 | $136,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 13,498 | $133,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 11,018 | $130,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 20,664 | $129,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 82,290 | $127,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 11,108 | $127,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 31,917 | $127,000 | thousands by filing date | |
| EDESA BIOTECH INC | 27966L108 | COM | 23,438 | $127,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 26,000 | $126,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 11,222 | $125,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,353 | $123,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 12,558 | $122,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 42,700 | $122,000 | thousands by filing date | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 12,460 | $121,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,812 | $121,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 13,730 | $121,000 | thousands by filing date | |
| SANDBRIDGE ACQUISITION CORP | 799793104 | COM CL A | 12,164 | $121,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 12,297 | $118,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,008 | $117,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 14,269 | $117,000 | thousands by filing date | |
| ATLAS TECHNICAL CONSULTANTS | 049430101 | COM | 11,475 | $117,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,931 | $115,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 25,599 | $115,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 22,142 | $113,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 12,147 | $113,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 112,618 | $113,000 | thousands by filing date | principal |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 17,682 | $112,000 | thousands by filing date | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 14,124 | $111,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 32,116 | $109,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 108,523 | $109,000 | thousands by filing date | principal |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 21,210 | $108,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,000 | $106,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 22,907 | $104,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 11,250 | $101,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 15,584 | $99,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 22,910 | $97,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 16,800 | $96,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 15,726 | $96,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 20,000 | $94,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 14,248 | $92,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 11,779 | $92,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 17,860 | $89,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 22,107 | $89,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 22,036 | $89,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 14,000 | $88,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 81,000 | $85,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 16,660 | $84,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 10,000 | $83,000 | thousands by filing date | |
| TECHNIPFMC PLC COM | G87110105 | Stock | 10,513 | $81,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 12,223 | $81,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 12,000 | $81,000 | thousands by filing date | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 32,000 | $76,000 | thousands by filing date | principal |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 58,550 | $74,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 33,000 | $73,000 | thousands by filing date | principal |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 14,455 | $72,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 16,510 | $71,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 71,496 | $71,000 | thousands by filing date | principal |
| KALA BIO INC COM | 483119103 | Stock | 10,289 | $69,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 28,100 | $66,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 62,738 | $63,000 | thousands by filing date | principal |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,893 | $62,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 13,500 | $62,000 | thousands by filing date | |
| BILIBILI INC | 090040AB2 | NOTE 1.375% 4/0 | 14,000 | $61,000 | thousands by filing date | principal |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 12,500 | $60,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 12,806 | $56,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 13,837 | $56,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 15,712 | $55,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 11,791 | $53,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 12,000 | $52,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 30,000 | $52,000 | thousands by filing date | principal |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 10,500 | $52,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 51,440 | $51,000 | thousands by filing date | principal |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 47,674 | $51,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 10,750 | $47,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 18,744 | $46,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 11,061 | $45,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 18,318 | $42,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,480 | $39,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 21,600 | $39,000 | thousands by filing date | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 10,000 | $39,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 40,000 | $38,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 34,100 | $37,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP | G23726113 | *W EXP 08/28/202 | 30,575 | $37,000 | thousands by filing date | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 26,000 | $36,000 | thousands by filing date | principal |
| LIBERTY LATIN AMERICA LTD | 53069QAB5 | BOND | 36,000 | $36,000 | thousands by filing date | principal |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $35,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPT | G0411R114 | *W EXP 10/29/202 | 28,000 | $35,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 17,000 | $34,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,000 | $33,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T111 | *W EXP 07/29/202 | 30,075 | $33,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 23,651 | $32,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 33,000 | $32,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 30,600 | $31,000 | thousands by filing date | principal |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 12,000 | $30,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 30,039 | $30,000 | thousands by filing date | principal |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 18,000 | $29,000 | thousands by filing date | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 26,000 | $28,000 | thousands by filing date | principal |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 25,625 | $26,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 25,720 | $26,000 | thousands by filing date | principal |
| ATHERSYS INC | 04744L106 | COM | 14,000 | $25,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 12,619 | $25,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 25,391 | $25,000 | thousands by filing date | principal |
| MOGU INC SPON ADS | 608012100 | ADR | 11,400 | $22,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 21,050 | $21,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 15,926 | $19,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 25,000 | $16,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 12,000 | $16,000 | thousands by filing date | |
| GUESS INC | 401617AD7 | BOND | 13,000 | $15,000 | thousands by filing date | principal |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 11,644 | $12,000 | thousands by filing date | principal |
| ALTERYX INC | 02156BAD5 | BOND | 13,000 | $12,000 | thousands by filing date | principal |
| ALTERYX INC | 02156BAF0 | BOND | 13,000 | $12,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 10,023 | $10,000 | thousands by filing date | principal |
| LANDSEA HOMES CORP | 51509P111 | *W EXP 01/08/202 | 15,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-21-000007 | this filing | 2021-05-14 | acceptance time not in the bulk data set |