13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 3,320 holding rows worth $68,196,404,000.
- Accession
- 0000720672-21-000013
- Filer
- CIK 720672
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 7,951 entries on the cover page, a total value of $68,196,404,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $68,199,290,000 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 managerStifel Independent Advisors, LLC028-13699
- 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 |
|---|---|---|---|---|---|---|
| GENIUS SPORTS LIMITED SHARES CL A | G3934V109 | Stock | 13,734 | $256,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 36,090 | $256,000 | thousands by filing date | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 22,853 | $256,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 5,915 | $254,000 | thousands by filing date | |
| PULMONX CORP | 745848101 | COM | 7,050 | $254,000 | thousands by filing date | |
| ROCKET COS INC | 77311W101 | COM CL A | 15,793 | $253,000 | thousands by filing date | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 30,150 | $253,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 15,436 | $253,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 13,444 | $252,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 25,836 | $252,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y384 | CYBRSCURTY ETF | 8,251 | $252,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G888 | SHORT TERM ETF | 2,384 | $252,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 2,320 | $251,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 31,236 | $251,000 | thousands by filing date | |
| STRATA CRITICAL MEDICAL INC | 092667104 | CL A COM | 24,125 | $251,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 7,856 | $251,000 | thousands by filing date | |
| ARRAY TECHNOLOGIES, INC. | 04271T100 | COM SHS | 13,494 | $250,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 10,921 | $249,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,094 | $249,000 | thousands by filing date | |
| Invsc SP 500 Equal Weight Matrl ETF | 46137V316 | ETF | 1,555 | $249,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 15,200 | $249,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 3,782 | $248,000 | thousands by filing date | |
| FIDELITY MERRIMACK STR TR | 316188309 | TOTAL BD ETF | 4,626 | $246,000 | thousands by filing date | |
| SONO TEK CORP | 835483108 | COM | 60,000 | $246,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 10,748 | $245,000 | thousands by filing date | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 27,020 | $245,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 4,751 | $244,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 8,912 | $244,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 9,522 | $244,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 51,535 | $243,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 8,200 | $240,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 17,400 | $240,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 30,086 | $240,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 12,415 | $239,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 19,874 | $239,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,294 | $239,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V191 | S&P MDCP400 VL | 2,630 | $239,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 3,087 | $238,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 1,718 | $238,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,333 | $238,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 4,129 | $237,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P871 | CMN | 7,688 | $237,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 1,906 | $236,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 5,862 | $236,000 | thousands by filing date | |
| INVESCO EXCHANGE-TRADED FUND TRUST INVESCO DORSEY WRIGHT UTILITIES MOMENTUM ETF | 46137V795 | ETF | 7,258 | $236,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 8,093 | $235,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 13,292 | $235,000 | thousands by filing date | |
| SPDR SER TR | 78468R689 | S&P KENSHO SMART | 4,298 | $235,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 15,491 | $235,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 5,154 | $233,000 | thousands by filing date | |
| HYZON MOTORS INC | 44951Y102 | COM CL A | 33,450 | $232,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 5,412 | $231,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 7,477 | $231,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 14,704 | $231,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 12,808 | $231,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 7,523 | $231,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 9,429 | $231,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 5,017 | $230,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 10,995 | $230,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 4,309 | $230,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 4,570 | $230,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q460 | CMN | 3,466 | $229,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 44,197 | $229,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 15,047 | $228,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 4,015 | $227,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 9,136 | $227,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y632 | ARTIFICIAL ETF | 7,476 | $227,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 17,350 | $227,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061508 | GLB MOMENT ETF | 7,753 | $227,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y285 | FUND | 12,818 | $227,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430396 | JUST US LRG CP | 3,627 | $226,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 13,907 | $226,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 4,385 | $225,000 | thousands by filing date | |
| VINCO VENTURES INC | 927330100 | COM | 35,138 | $225,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 16,251 | $224,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 15,163 | $224,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 18,646 | $224,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 48,904 | $224,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C573 | TOTAL CORP BND | 2,434 | $223,000 | thousands by filing date | |
| Aussie $ ETF | 46090N103 | ETF | 3,100 | $223,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 16,347 | $222,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 16,423 | $220,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 10,450 | $220,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 260 | $219,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 10,106 | $219,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 11,135 | $218,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 5,000 | $218,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 8,436 | $217,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 1,112 | $217,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 1,224 | $217,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 5,680 | $217,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 15,664 | $217,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 10,081 | $216,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 3,280 | $216,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 22,500 | $215,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 8,735 | $215,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 13,633 | $215,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 2,737 | $215,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 5,774 | $215,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 6,850 | $215,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 3,646 | $214,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G201 | S&P SMLCP MATL | 3,383 | $214,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 2,509 | $213,000 | thousands by filing date | |
| SCHRODINGER INC COM | 80810D103 | Stock | 3,876 | $212,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 18,995 | $211,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 4,402 | $211,000 | thousands by filing date | |
| FS KKR CAP CORP | 302635206 | COM | 9,562 | $210,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 11,458 | $210,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,826 | $210,000 | thousands by filing date | |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 4,022 | $210,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 22,250 | $210,000 | thousands by filing date | |
| GATES INDL CORP PLC | G39108108 | ORD SHS | 12,827 | $209,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 25,104 | $209,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 7,779 | $209,000 | thousands by filing date | |
| INVESCO DB MLTI SECTR CMMTY | 46140H601 | GOLD FD | 4,152 | $209,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 3,808 | $208,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 4,290 | $207,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 8,061 | $207,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 1,057 | $206,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 12,099 | $206,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 4,502 | $206,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V431 | S&P 500 GARP ETF | 2,373 | $206,000 | thousands by filing date | |
| Instil Bio, Inc. | 45783C101 | Common Stock | 11,500 | $206,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 7,260 | $205,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 20,986 | $205,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 3,490 | $204,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 2,700 | $204,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,292 | $204,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741L108 | CMN | 7,399 | $204,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 5,616 | $203,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 7,984 | $201,000 | thousands by filing date | |
| ROYALTY PHARMA PLC | G7709Q104 | SHS CLASS A | 5,546 | $201,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 13,259 | $201,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP UNIT | 147151203 | Stock | 20,000 | $201,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 5,035 | $200,000 | thousands by filing date | |
| SENDAS DISTRIBUIDORA S A | 81689T104 | SPON ADS | 11,431 | $199,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 11,763 | $199,000 | thousands by filing date | |
| GOLAR LNG LTD | 38046YAB7 | NOTE 2.750% 2/1 | 198,484 | $198,000 | thousands by filing date | principal |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 14,850 | $197,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 10,906 | $195,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 13,084 | $194,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 20,344 | $193,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 10,275 | $193,000 | thousands by filing date | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 23,625 | $192,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 22,711 | $188,000 | thousands by filing date | |
| GREENBROOK TMS INC | 393704309 | Common Stock | 25,600 | $187,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 18,700 | $184,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 13,700 | $181,000 | thousands by filing date | |
| GRAFTECH INTL LTD | 384313508 | COM | 17,411 | $180,000 | thousands by filing date | |
| CANO HEALTH INC | 13781Y103 | COM | 14,074 | $178,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 13,597 | $177,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 22,871 | $176,000 | thousands by filing date | |
| LIGHTNING EMOTORS INC | 53228T101 | COM | 20,594 | $176,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 14,372 | $175,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 18,461 | $175,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 19,953 | $175,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 40,091 | $174,000 | thousands by filing date | |
| ECOFIN SUSTAINABLE & SOC IMP T | 27901F109 | COM SH BEN INT | 12,461 | $174,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $172,000 | thousands by filing date | |
| TURQUOISE HILL RES LTD | 900435207 | COM | 11,608 | $171,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 13,000 | $171,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 14,858 | $170,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 10,928 | $167,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 14,695 | $167,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 18,788 | $166,000 | thousands by filing date | |
| EVOLV TECHNOLOGIES HLDNGS IN | 30049H102 | COM CL A | 27,658 | $166,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 12,157 | $166,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,913 | $165,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 13,483 | $165,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,240 | $164,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 55,572 | $162,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 16,850 | $162,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $161,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 22,700 | $160,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,000 | $160,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 158,760 | $159,000 | thousands by filing date | principal |
| HIGHPEAK ENERGY INC | 43114Q105 | COMMON STOCK | 17,500 | $158,000 | thousands by filing date | |
| ATI PHYSICAL THERAPY INC | 00216W109 | COM CL A | 40,778 | $155,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,110 | $153,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 17,827 | $153,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 63,117 | $153,000 | thousands by filing date | |
| HIMS & HERS HEALTH INC | 433000106 | COM CL A | 20,172 | $152,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 12,787 | $152,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 50,679 | $152,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,392 | $151,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 12,278 | $151,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 115,000 | $150,000 | thousands by filing date | |
| HILLMAN SOLUTIONS CORP | 431636109 | COM | 12,500 | $149,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 18,529 | $147,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 23,150 | $146,000 | thousands by filing date | |
| GEMINI THERAPEUTICS INC | 36870G105 | CMN | 36,200 | $146,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 20,111 | $145,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 18,396 | $145,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 11,285 | $144,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 142,569 | $143,000 | thousands by filing date | principal |
| OFS CAPITAL CORP | 67103B100 | COM | 13,730 | $142,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 40,616 | $141,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 57,233 | $141,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 12,936 | $139,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $139,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 11,096 | $138,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 10,554 | $137,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 18,359 | $137,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 17,288 | $135,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 12,455 | $134,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 10,970 | $134,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 26,990 | $133,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 22,789 | $133,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 20,766 | $130,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 16,451 | $130,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 26,892 | $129,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,759 | $128,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 53,600 | $128,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 17,697 | $127,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 30,995 | $126,000 | thousands by filing date | |
| PETRA ACQUISITION INC | 716421102 | COM | 12,491 | $126,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 12,717 | $125,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 20,375 | $123,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 19,328 | $123,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 11,880 | $122,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,515 | $122,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 27,268 | $122,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 15,432 | $121,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,347 | $121,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 14,686 | $120,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 75,567 | $120,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 26,000 | $120,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAD5 | BOND | 118,320 | $118,000 | thousands by filing date | principal |
| SmileDirectClub Inc | 83192H106 | COM | 21,632 | $115,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 32,736 | $114,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 22,435 | $114,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,297 | $113,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 111,850 | $112,000 | thousands by filing date | principal |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 13,722 | $110,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 23,097 | $109,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 107,315 | $107,000 | thousands by filing date | principal |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 19,863 | $106,000 | thousands by filing date | |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 44,980 | $105,000 | thousands by filing date | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 32,000 | $104,000 | thousands by filing date | principal |
| Veru Inc | 92536C103 | Common Stock | 12,200 | $104,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 76,001 | $103,000 | thousands by filing date | |
| UPHEALTH INC | 91532B101 | COM | 32,662 | $103,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 15,458 | $102,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 12,267 | $100,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 18,722 | $99,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 99,306 | $99,000 | thousands by filing date | principal |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,862 | $96,000 | thousands by filing date | |
| YELLOW CORP | 985510106 | COM | 16,961 | $96,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 15,935 | $96,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 15,130 | $91,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 82,687 | $88,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 19,000 | $87,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 11,000 | $85,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 15,850 | $84,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 13,255 | $83,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 20,917 | $83,000 | thousands by filing date | |
| DIDI GLOBAL INC ADR | 23292E108 | SPONSORED ADS | 10,100 | $79,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 15,000 | $79,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 13,064 | $77,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 24,107 | $76,000 | thousands by filing date | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 11,710 | $76,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 11,490 | $70,000 | thousands by filing date | |
| OWLET INC | 69120X107 | COM | 12,413 | $69,000 | thousands by filing date | |
| NAUTILUS BIOTECHNOLOGY INC | 63909J108 | COM | 10,811 | $66,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 16,680 | $65,000 | thousands by filing date | |
| NATWEST GROUP PLC | 639057108 | COMMON STOCK-FO | 10,547 | $65,000 | thousands by filing date | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 33,000 | $61,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 16,510 | $60,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 60,482 | $60,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 18,307 | $60,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 10,182 | $58,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 41,700 | $58,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 10,000 | $58,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 12,424 | $57,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 18,187 | $54,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 32,321 | $54,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 53,500 | $54,000 | thousands by filing date | principal |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 25,510 | $52,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 20,362 | $51,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 19,100 | $51,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 48,431 | $48,000 | thousands by filing date | principal |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,990 | $47,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 22,136 | $46,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,000 | $45,000 | thousands by filing date | |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 30,000 | $43,000 | thousands by filing date | principal |
| BILIBILI INC | 090040AB2 | NOTE 1.375% 4/0 | 14,000 | $38,000 | thousands by filing date | principal |
| PHX MINERALS INC CL A | 69291A100 | Stock | 12,000 | $37,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA LTD | 53069QAB5 | BOND | 36,000 | $37,000 | thousands by filing date | principal |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 13,700 | $36,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 33,000 | $32,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P109 | COM | 21,401 | $32,000 | thousands by filing date | |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 18,000 | $30,000 | thousands by filing date | principal |
| CC NEUBERGER PRIN HLDGS II | G3166T111 | *W EXP 07/29/202 | 30,075 | $30,000 | thousands by filing date | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 26,000 | $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 |
| COHN ROBBINS HOLDINGS CORP | G23726113 | *W EXP 08/28/202 | 30,575 | $28,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 26,529 | $27,000 | thousands by filing date | principal |
| CHINA INDEX HLDGS LTD | 16954W101 | SPNSRD ADS A | 17,341 | $26,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $26,000 | thousands by filing date | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 17,000 | $25,000 | thousands by filing date | |
| ASSERTIO HOLDINGS INC | 04546C205 | COM NEW | 25,000 | $23,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 23,035 | $23,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPT | G0411R114 | *W EXP 10/29/202 | 28,000 | $23,000 | thousands by filing date | |
| AVALO THERAPEUTICS INC | 05338F108 | CMN | 10,000 | $22,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 20,000 | $22,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 20,385 | $20,000 | thousands by filing date | principal |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 44,224 | $20,000 | thousands by filing date | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 12,000 | $20,000 | thousands by filing date | |
| GUESS INC | 401617AD7 | BOND | 13,000 | $15,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 15,225 | $15,000 | thousands by filing date | principal |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 12,000 | $13,000 | thousands by filing date | |
| 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 |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 25,000 | $11,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 10,637 | $11,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 10,556 | $11,000 | thousands by filing date | principal |
| REEDS INC COM | 758338107 | Stock | 15,926 | $10,000 | thousands by filing date | |
| MOGU INC SPON ADS | 608012100 | ADR | 10,400 | $10,000 | thousands by filing date | |
| ANGEL OAK FINL STRATEGIES IN | 03464A118 | RIGHT 10/14/2021 | 22,200 | $5,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G156 | RIGHT 10/01/2021 | 11,436 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-21-000013 | this filing | 2021-11-15 | acceptance time not in the bulk data set |