13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2022-12-31, filed 2023-02-13, with 3,284 holding rows worth $66,620,607,040.
- Accession
- 0000720672-23-000003
- Filer
- CIK 720672
- Filed
- 2023-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2022
A holdings report, 8,373 entries on the cover page, a total value of $66,620,607,040 stated on the cover page (in dollars after the unit check, H1), rows summing to $66,620,607,040 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 12,217 | $181,423 | dollars as filed | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 18,928 | $180,962 | dollars as filed | |
| SPRINKLR INC | 85208T107 | CL A | 22,109 | $180,632 | dollars as filed | |
| RIVERNORTH OPPOR MUNI INCM FD | 76883F108 | COM | 11,010 | $180,017 | dollars as filed | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 30,779 | $179,750 | dollars as filed | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 60,535 | $178,779 | dollars as filed | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 13,015 | $178,565 | dollars as filed | |
| ATLAS CORP | Y0436Q109 | COM | 11,604 | $178,031 | dollars as filed | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 14,439 | $177,602 | dollars as filed | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 35,750 | $176,963 | dollars as filed | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 11,273 | $176,761 | dollars as filed | |
| ASTRONICS CORP COM | 046433108 | Stock | 17,040 | $175,513 | dollars as filed | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,115 | $175,333 | dollars as filed | |
| GUGGENHEIM ACTIVE ALLOC FD | 40170T106 | COMMON STOCK | 12,901 | $173,515 | dollars as filed | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 28,867 | $173,490 | dollars as filed | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 18,851 | $173,429 | dollars as filed | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 38,360 | $173,387 | dollars as filed | |
| NUVEEN DYNAMIC MUN OPPORTUNITI | 67079X102 | COM SHS | 17,416 | $173,115 | dollars as filed | |
| COMMERCE.COM INC | 08975P108 | COM SER 1 | 19,653 | $171,773 | dollars as filed | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 53,410 | $171,451 | dollars as filed | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 39,500 | $170,640 | dollars as filed | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 14,509 | $168,889 | dollars as filed | |
| EVGO INC | 30052F100 | CL A COM | 37,639 | $168,242 | dollars as filed | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G206 | COM | 13,077 | $167,118 | dollars as filed | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 15,983 | $166,549 | dollars as filed | |
| HARROW INC | 415858109 | COM | 11,240 | $165,904 | dollars as filed | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 12,967 | $165,592 | dollars as filed | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 12,028 | $164,905 | dollars as filed | |
| VIMEO INC | 92719V100 | COMMON STOCK | 47,407 | $162,606 | dollars as filed | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 13,059 | $162,324 | dollars as filed | |
| SABA CAPITAL INCOME & OPRNT | 78518H202 | SHS NEW | 21,280 | $161,944 | dollars as filed | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 12,119 | $161,792 | dollars as filed | |
| EASTERLY GOVERNMENT PROPERTIES | 27616P103 | COMMON STOCK | 11,252 | $160,567 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 10,755 | $159,823 | dollars as filed | |
| LISTED FDS TR | 53656F417 | ROUNDHILL BALL | 22,215 | $159,502 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 25,557 | $159,222 | dollars as filed | |
| HYDROFARMS HLDGS GROUP INC | 44888K209 | COM | 102,253 | $158,495 | dollars as filed | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 30,512 | $158,052 | dollars as filed | |
| Heritage Commerce Corp | 426927109 | Common Stock | 12,015 | $156,195 | dollars as filed | |
| CENTURY CASINOS INC | 156492100 | COM | 22,152 | $155,729 | dollars as filed | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 15,800 | $154,840 | dollars as filed | |
| ECOFIN SUSTAINABLE & SOC IMP T | 27901F109 | COM SH BEN INT | 11,975 | $153,879 | dollars as filed | |
| OIL STS INTL INC | 678026105 | COM | 20,597 | $153,655 | dollars as filed | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 14,757 | $153,624 | dollars as filed | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,087 | $152,844 | dollars as filed | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 20,105 | $151,994 | dollars as filed | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 17,498 | $151,883 | dollars as filed | |
| KEARNY FINL CORP MD | 48716P108 | COM | 14,949 | $151,733 | dollars as filed | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 84,250 | $151,650 | dollars as filed | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 13,714 | $150,992 | dollars as filed | |
| PRIMIS FINANCIAL CORP | 74167B109 | COMMON STOCK | 12,677 | $150,222 | dollars as filed | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,661 | $150,029 | dollars as filed | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 41,916 | $149,641 | dollars as filed | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 11,072 | $149,581 | dollars as filed | |
| FIRST WATCH RESTAURANT GROUP | 33748L101 | COM | 10,989 | $148,682 | dollars as filed | |
| CYXTERA TECHNOLOGIES INC | 23284C102 | COMMON STOCK | 77,255 | $148,329 | dollars as filed | |
| ECOVYST INC | 27923Q109 | COM | 16,654 | $147,555 | dollars as filed | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 13,775 | $147,393 | dollars as filed | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 11,999 | $147,347 | dollars as filed | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 17,606 | $146,842 | dollars as filed | |
| DZS INC | 268211109 | COMMON STOCK | 11,529 | $146,192 | dollars as filed | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 10,293 | $146,047 | dollars as filed | |
| FIRST ADVANTAGE CORP NEW | 31846B108 | COM | 11,225 | $145,925 | dollars as filed | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 13,816 | $145,761 | dollars as filed | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 14,156 | $145,665 | dollars as filed | |
| DERMTECH INC | 24984K105 | COM | 81,007 | $143,388 | dollars as filed | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,000 | $142,000 | dollars as filed | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 104,386 | $141,965 | dollars as filed | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 23,309 | $141,018 | dollars as filed | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 13,503 | $140,836 | dollars as filed | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 10,657 | $140,565 | dollars as filed | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 140,480 | $140,480 | dollars as filed | principal |
| CION INVT CORP | 17259U204 | COM | 14,376 | $140,166 | dollars as filed | |
| GINKGO BIOWORKS HOLDINGS INC | 37611X100 | CL A SHS | 82,876 | $140,064 | dollars as filed | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 28,119 | $139,470 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 74,643 | $138,832 | dollars as filed | |
| MARKFORGED HOLDING CORPORATI | 57064N102 | COM | 118,939 | $137,949 | dollars as filed | |
| PERELLA WEINBERG PARTNERS | 71367G102 | COMMON STOCK | 14,000 | $137,200 | dollars as filed | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 13,060 | $137,131 | dollars as filed | |
| RIGETTI COMPUTING INC COMMON STOCK | 76655K103 | Stock | 187,076 | $136,416 | dollars as filed | |
| SNAP ONE HOLDINGS CORP | 83303Y105 | COM | 18,370 | $136,121 | dollars as filed | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 11,704 | $135,649 | dollars as filed | |
| TUTOR PERINI CORP | 901109108 | COM | 17,908 | $135,205 | dollars as filed | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 24,219 | $135,147 | dollars as filed | |
| AMERICAN WELL CORP | 03044L105 | CL A | 47,388 | $134,108 | dollars as filed | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 11,441 | $132,488 | dollars as filed | |
| ARKO CORP | 041242108 | COMMON STOCK | 15,200 | $131,632 | dollars as filed | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 13,122 | $131,482 | dollars as filed | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 21,036 | $131,264 | dollars as filed | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 33,222 | $129,568 | dollars as filed | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,098 | $129,539 | dollars as filed | |
| NUVEEN GA DIVID | 67072B107 | COM | 12,773 | $129,372 | dollars as filed | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 16,634 | $128,915 | dollars as filed | |
| PHX MINERALS INC CL A | 69291A100 | Stock | 32,979 | $128,289 | dollars as filed | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 30,000 | $127,500 | dollars as filed | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 11,942 | $124,555 | dollars as filed | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 11,037 | $123,505 | dollars as filed | |
| OFS CAPITAL CORP | 67103B100 | COM | 12,130 | $123,116 | dollars as filed | |
| UNDER ARMOUR INC | 904311206 | CL C | 13,776 | $122,884 | dollars as filed | |
| PERMIAN RESOURCES CORP CLASS A COM | 71424F105 | Stock | 13,000 | $122,200 | dollars as filed | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 10,203 | $121,109 | dollars as filed | |
| PULMONX CORP | 745848101 | COM | 14,360 | $121,058 | dollars as filed | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 19,750 | $120,673 | dollars as filed | |
| DAUCH CORP | 024061103 | COM | 15,404 | $120,462 | dollars as filed | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 11,969 | $120,409 | dollars as filed | |
| Allbirds Inc | 01675A109 | COM | 49,406 | $119,561 | dollars as filed | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 15,727 | $119,367 | dollars as filed | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 11,037 | $118,751 | dollars as filed | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 17,834 | $117,702 | dollars as filed | |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 15,814 | $115,286 | dollars as filed | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,630 | $113,103 | dollars as filed | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 10,720 | $112,452 | dollars as filed | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 21,208 | $112,406 | dollars as filed | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 11,589 | $112,181 | dollars as filed | |
| GABELLI UTIL TR | 36240A101 | COM | 14,878 | $111,734 | dollars as filed | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 14,051 | $111,704 | dollars as filed | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $111,108 | dollars as filed | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 12,810 | $110,295 | dollars as filed | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 11,906 | $110,011 | dollars as filed | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 20,708 | $109,336 | dollars as filed | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 14,780 | $109,077 | dollars as filed | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 48,000 | $108,001 | dollars as filed | |
| ATHIRA PHARMA INC | 04746L104 | COM | 34,025 | $107,861 | dollars as filed | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 15,087 | $107,572 | dollars as filed | |
| USA TODAY CO INC | 36472T109 | COM | 52,403 | $106,378 | dollars as filed | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 12,205 | $106,306 | dollars as filed | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 104,777 | $104,777 | dollars as filed | principal |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 14,928 | $103,899 | dollars as filed | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 10,010 | $103,804 | dollars as filed | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 40,500 | $102,060 | dollars as filed | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 12,861 | $101,861 | dollars as filed | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 13,703 | $101,128 | dollars as filed | |
| 2U INC | 90214J101 | COM | 15,874 | $99,531 | dollars as filed | |
| PLAYTIKA HOLDING CORP | 72815L107 | COMMON STOCK | 11,600 | $98,716 | dollars as filed | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 97,700 | $97,700 | dollars as filed | principal |
| PAYONEER GLOBAL INC COM | 70451X104 | Stock | 17,829 | $97,524 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 85,762 | $96,911 | dollars as filed | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 13,127 | $95,958 | dollars as filed | |
| RPC INC | 749660106 | COMMON STOCK | 10,735 | $95,434 | dollars as filed | |
| WHEELS UP EXPERIENCE I F | 96328L106 | Com | 91,663 | $94,424 | dollars as filed | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 17,700 | $93,279 | dollars as filed | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 10,760 | $92,536 | dollars as filed | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 11,496 | $91,738 | dollars as filed | |
| CONDUENT INC | 206787103 | COM | 22,559 | $91,370 | dollars as filed | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 27,760 | $91,053 | dollars as filed | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 20,400 | $89,760 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 35,881 | $89,715 | dollars as filed | |
| PENNYMAC CORP | 70932AAD5 | BOND | 89,250 | $89,250 | dollars as filed | principal |
| RUM GROUP INC COM CL A | 78137L105 | Stock | 14,791 | $88,007 | dollars as filed | |
| KOSMOS ENERGY LTD | 500688106 | COM | 13,786 | $87,676 | dollars as filed | |
| Abrdn Emerging Markets | 00301W105 | COM | 16,991 | $87,502 | dollars as filed | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 24,104 | $87,496 | dollars as filed | |
| OCEANPAL INC | Y6430L160 | COM | 78,404 | $87,044 | dollars as filed | |
| VERASTEM INC | 92337C104 | COM | 214,625 | $86,403 | dollars as filed | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,530 | $84,022 | dollars as filed | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 81,996 | $81,426 | dollars as filed | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 36,300 | $79,860 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 18,581 | $77,297 | dollars as filed | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,562 | $75,121 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 47,050 | $74,810 | dollars as filed | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 22,113 | $74,300 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 32,775 | $70,794 | dollars as filed | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 20,266 | $70,524 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 27,650 | $70,231 | dollars as filed | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 21,092 | $69,604 | dollars as filed | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 10,500 | $68,460 | dollars as filed | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 11,669 | $67,564 | dollars as filed | |
| WALLBOX NV | N94209116 | *W EXP 10/01/202 | 151,773 | $66,613 | dollars as filed | |
| MARQETA INC | 57142B104 | CLASS A COM | 10,902 | $66,612 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 37,506 | $65,263 | dollars as filed | |
| WESTWATER RES INC | 961684206 | COM NEW | 78,050 | $61,660 | dollars as filed | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 26,754 | $61,535 | dollars as filed | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 17,711 | $61,280 | dollars as filed | |
| THE MARYGOLD COMPANIES INC | 57403M104 | COM | 40,000 | $60,000 | dollars as filed | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 10,000 | $58,500 | dollars as filed | |
| ARDELYX INC | 039697107 | COM | 20,150 | $57,428 | dollars as filed | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 11,217 | $56,871 | dollars as filed | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 28,001 | $56,843 | dollars as filed | |
| POTBELLY CORP | 73754Y100 | COM | 10,000 | $55,701 | dollars as filed | |
| NOODLES & CO | 65540B105 | COM CL A | 10,036 | $55,098 | dollars as filed | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 18,772 | $54,625 | dollars as filed | |
| CLIMB BIO INC | 28658R106 | COMMON STOCK | 14,862 | $54,544 | dollars as filed | |
| ENERGY VAULT HOLDINGS INC | 29280W109 | COM | 17,469 | $54,503 | dollars as filed | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 10,607 | $52,401 | dollars as filed | |
| CHICOS FAS INC | 168615102 | COM | 10,300 | $50,676 | dollars as filed | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 12,000 | $49,080 | dollars as filed | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 10,000 | $47,900 | dollars as filed | |
| SKILLZ INC | 83067L109 | COM | 94,055 | $47,646 | dollars as filed | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 26,606 | $46,294 | dollars as filed | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 19,562 | $45,775 | dollars as filed | |
| NEW GOLD INC CDA | 644535106 | COM | 46,687 | $45,753 | dollars as filed | |
| PLAYBOY INC | 72814P109 | COM | 16,583 | $45,604 | dollars as filed | |
| CANOPY GROWTH CORP | 138035100 | COM | 19,611 | $45,304 | dollars as filed | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 13,612 | $45,066 | dollars as filed | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 11,000 | $44,880 | dollars as filed | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 30,683 | $44,798 | dollars as filed | |
| REKOR SYSTEMS INC | 759419104 | COM | 37,324 | $44,787 | dollars as filed | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 16,125 | $44,345 | dollars as filed | |
| KINROSS GOLD CORP | 496902404 | COM | 10,713 | $43,815 | dollars as filed | |
| ENERGOUS CORP | 29272C103 | COM | 52,332 | $43,752 | dollars as filed | |
| MIMEDX GROUP INC | 602496101 | COM | 15,500 | $43,090 | dollars as filed | |
| GERON CORP | 374163103 | COM | 17,000 | $41,140 | dollars as filed | |
| NIKOLA CORP | 654110105 | COM | 19,035 | $41,116 | dollars as filed | |
| GEVO INC | 374396406 | COM PAR | 21,320 | $40,508 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 38,520 | $39,677 | dollars as filed | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 12,722 | $39,571 | dollars as filed | |
| BENSON HILL INC | 082490103 | COM | 15,507 | $39,545 | dollars as filed | |
| HYZON MOTORS INC | 44951Y102 | COM CL A | 25,470 | $39,479 | dollars as filed | |
| BK Technologies Corp. | 05587G104 | COM | 11,842 | $39,314 | dollars as filed | |
| BGC PARTNERS INC | 05541T101 | CL A | 10,000 | $37,700 | dollars as filed | |
| OMNIAB INC | 68218J103 | COM | 10,000 | $36,000 | dollars as filed | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 202,850 | $35,441 | dollars as filed | |
| LIANBIO ADR | 53000N108 | COM | 21,250 | $34,850 | dollars as filed | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 11,107 | $34,766 | dollars as filed | |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 13,689 | $33,677 | dollars as filed | |
| GLOBALSTAR INC | 378973408 | COM | 25,096 | $33,377 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 46,630 | $33,373 | dollars as filed | |
| MSP RECOVERY INC | 553745100 | COM CL A | 20,600 | $32,960 | dollars as filed | |
| LIBERTY LATIN AMERICA LTD | 53069QAB5 | BOND | 36,000 | $32,282 | dollars as filed | principal |
| ICAD INC | 44934S206 | COM NEW | 17,632 | $32,268 | dollars as filed | |
| Akoustis Technologies Inc | 00973N102 | COM | 11,382 | $32,099 | dollars as filed | |
| VAXART INC NEW | 92243A200 | COM | 33,293 | $31,985 | dollars as filed | |
| VIRNETX HLDG CORP | 92823T108 | COM | 24,400 | $31,720 | dollars as filed | |
| EOS ENERGY ENTERPRISES INC COM CL A | 29415C101 | Stock | 20,000 | $29,600 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 25,390 | $29,453 | dollars as filed | |
| FATHOM DIGITAL MFG CORP | 31189Y103 | COM | 22,000 | $29,040 | dollars as filed | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 26,000 | $28,014 | dollars as filed | principal |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 30,000 | $27,386 | dollars as filed | principal |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 32,000 | $27,204 | dollars as filed | principal |
| NEXTDOOR HOLDINGS INC | 65345M108 | COM CL A | 12,887 | $26,550 | dollars as filed | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,542 | $26,499 | dollars as filed | |
| NAUTILUS BIOTECHNOLOGY INC | 63909J108 | COM | 14,457 | $26,023 | dollars as filed | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 15,905 | $25,926 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 26,000 | $25,071 | dollars as filed | principal |
| OPPFI INC | 68386H103 | COMMON STOCK | 12,025 | $24,651 | dollars as filed | |
| KKR REAL ESTATE FIN TR INC | 48251KAB6 | NOTE 6.125% 5/1 | 24,536 | $24,536 | dollars as filed | principal |
| VROOM INC | 92918V109 | COM | 23,140 | $23,604 | dollars as filed | |
| TELLURIAN INC NEW | 87968A104 | COM | 13,210 | $22,193 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,129 | $22,041 | dollars as filed | |
| CANAAN INC | 134748102 | SPONSORED ADS | 10,339 | $21,301 | dollars as filed | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 19,700 | $20,685 | dollars as filed | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 16,670 | $20,172 | dollars as filed | |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 18,000 | $19,966 | dollars as filed | principal |
| OPKO HEALTH INC | 68375N103 | COM | 15,449 | $19,311 | dollars as filed | |
| High Templar Tech Limit | 747798106 | COM | 20,000 | $19,060 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 18,100 | $19,005 | dollars as filed | |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 33,000 | $18,813 | dollars as filed | principal |
| VELODYNE LIDAR INC | 92259F101 | COM | 25,284 | $18,677 | dollars as filed | |
| SPERO THERAPEUTICS INC | 84833T103 | COM | 10,766 | $18,625 | dollars as filed | |
| BOLT BIOTHERAPEUTICS INC | 097702104 | COM | 14,014 | $18,218 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 13,250 | $17,755 | dollars as filed | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 41,500 | $17,430 | dollars as filed | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 17,383 | $17,383 | dollars as filed | principal |
| BARK Inc. | 68622E104 | COM | 11,200 | $16,688 | dollars as filed | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 19,691 | $16,594 | dollars as filed | |
| WIX COM LTD | 92940WAB5 | NOTE 7/0 | 17,000 | $16,512 | dollars as filed | |
| GAMIDA CELL LTD | M47364100 | SHS | 12,076 | $15,578 | dollars as filed | |
| WTS MSP Recovery Inc | 553745118 | Warrant | 10,100 | $15,150 | dollars as filed | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 24,500 | $14,790 | dollars as filed | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 14,625 | $14,625 | dollars as filed | principal |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 49,460 | $14,348 | dollars as filed | |
| WEWORK INC | 96209A104 | COM | 10,000 | $14,300 | dollars as filed | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 20,673 | $14,037 | dollars as filed | |
| GUESS INC | 401617AD7 | BOND | 13,000 | $13,843 | dollars as filed | principal |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 12,230 | $13,697 | dollars as filed | |
| ALTERYX INC | 02156BAD5 | BOND | 13,000 | $11,946 | dollars as filed | principal |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 13,400 | $11,390 | dollars as filed | |
| ALTERYX INC | 02156BAF0 | BOND | 13,000 | $10,844 | dollars as filed | principal |
| LIGHTNING EMOTORS INC | 53228T101 | COM | 29,167 | $10,693 | dollars as filed | |
| Instil Bio, Inc. | 45783C101 | Common Stock | 16,500 | $10,395 | dollars as filed | |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 12,000 | $9,884 | dollars as filed | |
| OWLET INC | 69120X107 | COM | 15,669 | $8,760 | dollars as filed | |
| ATI PHYSICAL THERAPY INC | 00216W109 | COM CL A | 26,800 | $8,177 | dollars as filed | |
| ENSYSCE BIOSCIENCES INC | 293602207 | COM | 10,832 | $8,124 | dollars as filed | |
| CAN FITE BIOPHARMA LTD | 13471N201 | SPONSORED ADS | 12,000 | $7,357 | dollars as filed | |
| Accelerate Diagnostics | 00430H102 | COM | 10,000 | $7,060 | dollars as filed | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 25,500 | $5,630 | dollars as filed | |
| LGL GROUP INC | 50186A132 | *W EXP 11/16/202 | 24,876 | $4,975 | dollars as filed | |
| APREA THERAPEUTICS INC | 03836J102 | COM | 10,000 | $3,310 | dollars as filed | |
| DRIVE SHACK INC | 262077100 | COM | 13,500 | $2,263 | dollars as filed | |
| Oppfi Inc W Exp 07/20/202 | 68386H111 | SPAC Combination | 16,860 | $1,686 | dollars as filed | |
| REEDS INC COM | 758338107 | Stock | 15,926 | $1,112 | dollars as filed | |
| MSP RECOVERY INC | 553745126 | *W EXP 05/20/202 | 10,301 | $309 | dollars as filed | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 23,353 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-23-000003 | this filing | 2023-02-13 | acceptance time not in the bulk data set |