13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-13, with 3,275 holding rows worth $71,134,780,295.
- Accession
- 0000720672-23-000014
- Filer
- CIK 720672
- Filed
- 2023-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 8,425 entries on the cover page, a total value of $71,134,780,295 stated on the cover page (in dollars after the unit check, H1), rows summing to $71,134,780,295 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 |
|---|---|---|---|---|---|---|
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 12,309 | $191,405 | dollars as filed | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 60,826 | $189,169 | dollars as filed | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 19,757 | $188,481 | dollars as filed | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 10,864 | $187,621 | dollars as filed | |
| Invesco KBW Premium Yield | 46138E594 | KBW PREM YIELD | 10,647 | $185,898 | dollars as filed | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 14,263 | $184,992 | dollars as filed | |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 10,225 | $182,518 | dollars as filed | |
| KOPIN CORP | 500600101 | COMMON STOCK | 148,050 | $180,622 | dollars as filed | |
| TFS FINL CORP | 87240R107 | COM | 15,227 | $179,984 | dollars as filed | |
| MATTERPORT INC | 577096100 | COM CL A | 82,416 | $178,842 | dollars as filed | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 17,352 | $178,555 | dollars as filed | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 11,721 | $178,511 | dollars as filed | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 15,462 | $178,431 | dollars as filed | |
| SABA CAPITAL INCOME & OPRNT | 78518H202 | SHS NEW | 23,102 | $177,425 | dollars as filed | |
| HARMONIC INC | 413160102 | COM | 18,419 | $177,373 | dollars as filed | |
| LUXFER HOLDINGS PLC | G5698W116 | COMMON STOCK | 13,415 | $175,069 | dollars as filed | |
| SNAP ONE HOLDINGS CORP | 83303Y105 | COM | 18,883 | $174,477 | dollars as filed | |
| FIRST ADVANTAGE CORP NEW | 31846B108 | COM | 12,600 | $173,755 | dollars as filed | |
| LIFESTANCE HEALTH GROUP INC | 53228F101 | COM | 25,143 | $172,731 | dollars as filed | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 19,659 | $172,408 | dollars as filed | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 65,131 | $171,947 | dollars as filed | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 14,504 | $171,872 | dollars as filed | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 99,926 | $171,872 | dollars as filed | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 14,956 | $171,545 | dollars as filed | |
| ALTO INGREDIENTS INC | 021513106 | COMMON STOCK | 38,800 | $171,496 | dollars as filed | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 51,108 | $171,212 | dollars as filed | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 46,220 | $169,627 | dollars as filed | |
| ALECTOR INC | 014442107 | COMMON STOCK | 26,150 | $169,452 | dollars as filed | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 23,665 | $169,440 | dollars as filed | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 25,323 | $169,158 | dollars as filed | |
| GLOBAL X FDS | 37954Y434 | GENOMIC BIOTECH | 16,550 | $168,315 | dollars as filed | |
| LUCKY STRIKE ENTERTAINMENT C | 10258P102 | CL A COM | 17,454 | $167,908 | dollars as filed | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 15,795 | $167,120 | dollars as filed | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 18,336 | $167,033 | dollars as filed | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 18,545 | $165,976 | dollars as filed | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 16,081 | $165,956 | dollars as filed | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 34,615 | $165,113 | dollars as filed | |
| UNIQURE NV | N90064101 | SHS | 24,593 | $165,016 | dollars as filed | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 12,923 | $164,251 | dollars as filed | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 15,800 | $162,740 | dollars as filed | |
| PLAYTIKA HOLDING CORP | 72815L107 | COMMON STOCK | 16,700 | $160,821 | dollars as filed | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 14,315 | $159,900 | dollars as filed | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 15,070 | $159,440 | dollars as filed | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 60,235 | $157,986 | dollars as filed | |
| GLADSTONE LAND CORP | 376549101 | REIT | 11,050 | $157,241 | dollars as filed | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 40,428 | $156,457 | dollars as filed | |
| VITAL FARMS INC | 92847W103 | COM | 13,343 | $154,511 | dollars as filed | |
| VECTOR GROUP LTD | 92240M108 | COM | 14,380 | $153,007 | dollars as filed | |
| BITWISE CRYPTO INDUSTRY INNOVATORS ETF | 301505624 | ETF | 22,195 | $148,708 | dollars as filed | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 12,057 | $147,216 | dollars as filed | |
| BROADSTONE NET LEASE INC COM | 11135E203 | REIT | 10,112 | $144,601 | dollars as filed | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 10,000 | $142,550 | dollars as filed | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 97,161 | $141,856 | dollars as filed | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 139,813 | $139,813 | dollars as filed | principal |
| ADTRAN HOLDINGS INC | 00486H105 | COM | 16,963 | $139,605 | dollars as filed | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 21,591 | $137,751 | dollars as filed | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 13,897 | $137,444 | dollars as filed | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 10,618 | $136,760 | dollars as filed | |
| OFS CAPITAL CORP | 67103B100 | COM | 12,130 | $136,336 | dollars as filed | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 64,129 | $135,953 | dollars as filed | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 10,259 | $135,933 | dollars as filed | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 17,161 | $135,744 | dollars as filed | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,553 | $133,889 | dollars as filed | |
| HOPE BANCORP INC | 43940T109 | COM | 15,072 | $133,387 | dollars as filed | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 93,822 | $133,228 | dollars as filed | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,471 | $132,986 | dollars as filed | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 15,670 | $132,880 | dollars as filed | |
| COMMERCE.COM INC | 08975P108 | COM SER 1 | 13,342 | $131,692 | dollars as filed | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 14,826 | $131,507 | dollars as filed | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 13,636 | $131,042 | dollars as filed | |
| CANTALOUPE INC | 138103106 | COM | 20,962 | $131,013 | dollars as filed | |
| RIGETTI COMPUTING INC COMMON STOCK | 76655K103 | Stock | 98,300 | $130,739 | dollars as filed | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 16,562 | $129,018 | dollars as filed | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 21,551 | $127,151 | dollars as filed | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,211 | $124,263 | dollars as filed | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 15,314 | $123,278 | dollars as filed | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 27,688 | $122,935 | dollars as filed | |
| MARAVAI LIFESCIENCES HLDGS A | 56600D107 | COMMON STOCK | 12,292 | $122,920 | dollars as filed | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 22,028 | $122,038 | dollars as filed | |
| TUTOR PERINI CORP | 901109108 | COM | 15,442 | $120,911 | dollars as filed | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 16,448 | $120,728 | dollars as filed | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 13,446 | $119,670 | dollars as filed | |
| GRITSTONE BIO INC | 39868T105 | COM | 69,431 | $119,422 | dollars as filed | |
| AH RLTY TR INC | 04208T108 | COM | 11,633 | $119,123 | dollars as filed | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,169 | $119,020 | dollars as filed | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 17,562 | $117,666 | dollars as filed | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 38,107 | $117,370 | dollars as filed | |
| AMC ENTMT HLDGS INC | 00165C302 | CL A NEW | 14,630 | $116,902 | dollars as filed | |
| DERMTECH INC | 24984K105 | COM | 80,960 | $116,567 | dollars as filed | |
| USA TODAY CO INC | 36472T109 | COM | 47,558 | $116,518 | dollars as filed | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,867 | $114,755 | dollars as filed | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 10,917 | $114,193 | dollars as filed | |
| DAUCH CORP | 024061103 | COM | 15,667 | $113,743 | dollars as filed | |
| MIMEDX GROUP INC | 602496101 | COM | 15,500 | $112,995 | dollars as filed | |
| PENNYMAC CORP | 70932AAD5 | BOND | 112,125 | $112,125 | dollars as filed | principal |
| Rithm Property Trust Inc | 38983D300 | REIT | 17,000 | $109,480 | dollars as filed | |
| PC TEL INC | 69325Q105 | COM | 25,839 | $107,490 | dollars as filed | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,634 | $107,297 | dollars as filed | |
| ROVER GROUP INC | 77936F103 | COM CL A | 16,990 | $106,357 | dollars as filed | |
| REKOR SYSTEMS INC | 759419104 | COM | 37,682 | $106,266 | dollars as filed | |
| BGSF INC | 05601C105 | COM | 11,000 | $105,711 | dollars as filed | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 40,500 | $104,895 | dollars as filed | |
| SR BANCORP INC | 85227J106 | COMMON STOCK | 12,000 | $103,980 | dollars as filed | |
| KEARNY FINL CORP MD | 48716P108 | COM | 14,949 | $103,597 | dollars as filed | |
| GERON CORP | 374163103 | COM | 48,854 | $103,570 | dollars as filed | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 10,753 | $103,552 | dollars as filed | |
| PRIMIS FINANCIAL CORP | 74167B109 | COMMON STOCK | 12,677 | $103,318 | dollars as filed | |
| VERASTEM INC | 92337C203 | COMMON STOCK | 12,461 | $101,313 | dollars as filed | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 12,300 | $100,983 | dollars as filed | |
| HYDROFARMS HLDGS GROUP INC | 44888K209 | COM | 82,603 | $100,775 | dollars as filed | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 34,000 | $100,640 | dollars as filed | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 10,010 | $98,298 | dollars as filed | |
| SKYWATER TECHNOLOGY INC COM | 83089J108 | Stock | 16,250 | $97,825 | dollars as filed | |
| NEURAXIS INC | 64134X201 | COM | 25,710 | $97,698 | dollars as filed | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 10,598 | $97,602 | dollars as filed | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 16,715 | $97,114 | dollars as filed | |
| CLEARPOINT NEURO INC | 18507C103 | COM | 19,373 | $97,059 | dollars as filed | |
| ORLA MNG LTD NEW | 68634K106 | COM | 28,000 | $95,988 | dollars as filed | |
| CLIPPER REALTY INC | 18885T306 | COM | 18,518 | $95,923 | dollars as filed | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,329 | $94,821 | dollars as filed | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 10,918 | $94,549 | dollars as filed | |
| RPC INC | 749660106 | COMMON STOCK | 10,567 | $94,470 | dollars as filed | |
| PACWEST BANCORP DEL | 695263103 | COM | 11,614 | $91,870 | dollars as filed | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 10,841 | $91,607 | dollars as filed | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 81,967 | $89,344 | dollars as filed | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 13,561 | $88,961 | dollars as filed | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 10,471 | $88,271 | dollars as filed | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 17,907 | $87,926 | dollars as filed | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 17,603 | $87,841 | dollars as filed | |
| KOSMOS ENERGY LTD | 500688106 | COM | 10,701 | $87,537 | dollars as filed | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 80,278 | $87,510 | dollars as filed | |
| CENTURY CASINOS INC | 156492100 | COM | 16,877 | $86,578 | dollars as filed | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,021 | $85,388 | dollars as filed | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 10,600 | $85,330 | dollars as filed | |
| HECLA MNG CO | 422704106 | COM | 21,540 | $84,221 | dollars as filed | |
| MAGNITE INC COM | 55955D100 | Stock | 10,955 | $82,604 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 13,986 | $81,957 | dollars as filed | |
| FIBROGEN INC | 31572Q808 | COM | 92,884 | $80,146 | dollars as filed | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 10,760 | $80,054 | dollars as filed | |
| VIMEO INC | 92719V100 | COMMON STOCK | 22,579 | $79,930 | dollars as filed | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 20,500 | $79,644 | dollars as filed | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 13,956 | $79,130 | dollars as filed | |
| UNDER ARMOUR INC | 904311206 | CL C | 11,939 | $76,173 | dollars as filed | |
| OUSTER INC COM NEW | 68989M202 | Stock | 14,889 | $75,043 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 276,660 | $74,699 | dollars as filed | |
| UNDER ARMOUR INC | 904311107 | CL A | 10,748 | $73,628 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 85,869 | $73,170 | dollars as filed | |
| ARKO CORP | 041242108 | COMMON STOCK | 10,200 | $72,930 | dollars as filed | |
| CONDUENT INC | 206787103 | COM | 20,304 | $70,656 | dollars as filed | |
| AXOGEN INC | 05463X106 | COM | 14,107 | $70,535 | dollars as filed | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 10,452 | $70,340 | dollars as filed | |
| BGC GROUP INC CL A | 088929104 | Stock | 13,265 | $70,038 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 15,729 | $69,522 | dollars as filed | |
| ROCKET LAB USA INC | 773122106 | COM | 15,720 | $68,854 | dollars as filed | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 15,420 | $68,156 | dollars as filed | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 28,001 | $67,762 | dollars as filed | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 13,003 | $66,708 | dollars as filed | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 17,944 | $65,314 | dollars as filed | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 10,442 | $64,847 | dollars as filed | |
| WALLBOX NV | N94209116 | *W EXP 10/01/202 | 158,209 | $64,827 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 24,458 | $64,569 | dollars as filed | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 12,800 | $64,384 | dollars as filed | |
| PIXELWORKS INC | 72581M305 | COM NEW | 56,207 | $63,514 | dollars as filed | |
| RUM GROUP INC COM CL A | 78137L105 | Stock | 12,423 | $63,359 | dollars as filed | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 23,254 | $63,251 | dollars as filed | |
| DRAGONFLY ENERGY HOLDINGS CO | 26145B106 | COM | 40,150 | $61,831 | dollars as filed | |
| ARDELYX INC | 039697107 | COM | 15,150 | $61,812 | dollars as filed | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 11,416 | $61,306 | dollars as filed | |
| PETCO HEALTH AND WELLNESS CO | 71601V105 | COM | 14,907 | $60,970 | dollars as filed | |
| GABELLI UTIL TR | 36240A101 | COM | 11,374 | $60,282 | dollars as filed | |
| Abrdn Emerging Markets | 00301W105 | COM | 12,611 | $60,154 | dollars as filed | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 20,100 | $57,687 | dollars as filed | |
| UNITI GROUP INC | 91325V108 | COM | 11,889 | $56,114 | dollars as filed | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 14,270 | $55,079 | dollars as filed | |
| SPIRE GLOBAL INC | 848560306 | COMMON STOCK | 11,181 | $54,677 | dollars as filed | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,118 | $53,408 | dollars as filed | |
| COMPASS INC | 20464U100 | CL A | 18,172 | $52,699 | dollars as filed | |
| COGNYTE SOFTWARE LTD | M25133105 | ORD SHS | 10,912 | $52,491 | dollars as filed | |
| 2U INC | 90214J101 | COM | 20,035 | $49,486 | dollars as filed | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 10,938 | $48,783 | dollars as filed | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 21,848 | $48,504 | dollars as filed | |
| GRABHLDGSLTDFCLASSCLASSA | G4124C109 | STOK | 13,700 | $48,498 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 79,658 | $48,212 | dollars as filed | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 10,000 | $47,700 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 48,328 | $47,361 | dollars as filed | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 27,500 | $47,025 | dollars as filed | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 53,544 | $46,583 | dollars as filed | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 17,865 | $46,090 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 75,971 | $45,887 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 49,169 | $45,733 | dollars as filed | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 11,070 | $45,394 | dollars as filed | |
| FTAI INFRASTRUCTURE INC | 35953C106 | COMMON STOCK | 14,000 | $45,080 | dollars as filed | |
| NEW GOLD INC CDA | 644535106 | COM | 46,687 | $42,490 | dollars as filed | |
| High Templar Tech Limit | 747798106 | COM | 20,000 | $42,400 | dollars as filed | |
| NIKOLA CORP | 654110105 | COM | 26,945 | $42,307 | dollars as filed | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,712 | $41,134 | dollars as filed | |
| CLEARSIGN TECHNOLOGIES CORP | 185064102 | COM | 36,738 | $40,044 | dollars as filed | |
| STRATA CRITICAL MEDICAL INC | 092667104 | CL A COM | 15,348 | $39,752 | dollars as filed | |
| ICAD INC | 44934S206 | COM NEW | 18,632 | $39,314 | dollars as filed | |
| CLIMB BIO INC | 28658R106 | COMMON STOCK | 14,650 | $38,529 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 39,275 | $38,401 | dollars as filed | |
| HERITAGE GLOBAL INC | 42727E103 | COM | 12,274 | $38,295 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 150,099 | $38,066 | dollars as filed | |
| THE REALREAL INC | 88339P101 | COM | 16,931 | $35,725 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 44,750 | $35,691 | dollars as filed | |
| OCEANPAL INC | Y6430L202 | COM | 12,136 | $35,561 | dollars as filed | |
| GLOBALSTAR INC | 378973408 | COM | 27,096 | $35,496 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 35,333 | $35,333 | dollars as filed | principal |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 20,295 | $34,907 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 33,213 | $34,217 | dollars as filed | |
| LIBERTY LATIN AMERICA LTD | 53069QAB5 | BOND | 36,000 | $33,992 | dollars as filed | principal |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 33,870 | $33,870 | dollars as filed | principal |
| WESTWATER RES INC | 961684206 | COM NEW | 49,900 | $33,316 | dollars as filed | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 18,209 | $32,779 | dollars as filed | |
| The Alkaline Wtr Co | 01643A306 | COM | 88,473 | $32,293 | dollars as filed | |
| Rent the Runway, Inc. | 76010Y103 | COM CL A | 46,786 | $31,841 | dollars as filed | |
| BLUEBIRD BIO INC | 09609G100 | COM | 10,376 | $31,543 | dollars as filed | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAE0 | NOTE 5.500% 3/1 | 31,128 | $31,128 | dollars as filed | principal |
| OPPFI INC | 68386H103 | COMMON STOCK | 12,225 | $30,807 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 19,200 | $30,336 | dollars as filed | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 15,000 | $30,000 | dollars as filed | |
| COMPASS THERAPEUTICS INC | 20454B104 | COM | 15,000 | $29,550 | dollars as filed | |
| WM TECHNOLOGY INC | 92971A109 | COM *D* | 22,139 | $29,223 | dollars as filed | |
| NANOVIRICIDES INC | 630087302 | COM | 21,200 | $28,408 | dollars as filed | |
| SKYX PLATFORMS CORP | 78471E105 | COM | 20,000 | $28,400 | dollars as filed | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 32,000 | $28,072 | dollars as filed | principal |
| OPKO HEALTH INC | 68375N103 | COM | 17,449 | $27,918 | dollars as filed | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 10,275 | $27,537 | dollars as filed | |
| ZYNGA INC | 98986TAB4 | NOTE 0.250% 6/0 | 26,000 | $27,532 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 26,000 | $27,087 | dollars as filed | principal |
| WAYFAIR INC | 94419LAF8 | NOTE 1.000% 8/1 | 33,000 | $27,020 | dollars as filed | principal |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 30,000 | $26,972 | dollars as filed | principal |
| LIANBIO ADR | 53000N108 | COM | 18,034 | $26,872 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 43,050 | $26,241 | dollars as filed | |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 13,400 | $26,130 | dollars as filed | |
| VAXART INC NEW | 92243A200 | COM | 32,790 | $24,723 | dollars as filed | |
| PIONEER NAT RES CO | 723787AP2 | NOTE 0.250% 5/1 | 24,494 | $24,494 | dollars as filed | principal |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,542 | $24,401 | dollars as filed | |
| VROOM INC | 92918V109 | COM | 21,160 | $23,700 | dollars as filed | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 29,833 | $23,270 | dollars as filed | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 19,525 | $23,040 | dollars as filed | |
| HYZON MOTORS INC | 44951Y102 | COM CL A | 17,000 | $21,250 | dollars as filed | |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 20,457 | $20,457 | dollars as filed | principal |
| BREEZE HOLDINGS ACQUISITN CO | 106762115 | *W EXP 05/25/202 | 100,000 | $19,000 | dollars as filed | |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 15,786 | $18,628 | dollars as filed | |
| PRECIGEN INC | 74017N105 | COM | 13,000 | $18,460 | dollars as filed | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 10,400 | $18,304 | dollars as filed | |
| BLACKLINE INC | 09239BAB5 | NOTE 0.125% 8/0 | 18,000 | $17,903 | dollars as filed | principal |
| CENTOGENE N V | N1976T109 | COM | 16,450 | $17,437 | dollars as filed | |
| BREEZE HOLDINGS ACQUISITION CORP | 106762123 | COM | 200,000 | $16,220 | dollars as filed | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 17,400 | $15,592 | dollars as filed | |
| TELLURIAN INC NEW | 87968A104 | COM | 13,210 | $15,324 | dollars as filed | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 45,500 | $14,797 | dollars as filed | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15,590 | $14,342 | dollars as filed | |
| ORIGIN MATERIALS INC | 68622D106 | COM | 10,840 | $13,875 | dollars as filed | |
| TWO HARBORS INVENTMENT CORPO | 90187BAB7 | NOTE 6.250% 1/1 | 13,800 | $13,800 | dollars as filed | principal |
| CANOPY GROWTH CORP | 138035100 | COM | 17,415 | $13,634 | dollars as filed | |
| EFFECTOR THERAPEUTICS INC | 28202V108 | COM | 22,660 | $13,594 | dollars as filed | |
| GUESS INC | 401617AD7 | BOND | 13,000 | $13,323 | dollars as filed | principal |
| ALTERYX INC | 02156BAD5 | BOND | 13,000 | $12,426 | dollars as filed | principal |
| SCIENCE 37 HOLDINGS INC | 808644108 | COM | 30,000 | $12,000 | dollars as filed | |
| ARQIT QUANTUM ORD | G0567U101 | COM | 19,807 | $11,785 | dollars as filed | |
| ALTERYX INC | 02156BAF0 | BOND | 13,000 | $11,477 | dollars as filed | principal |
| Q2 HLDGS INC | 74736LAD1 | NOTE 0.750% 6/0 | 12,000 | $10,493 | dollars as filed | |
| CANOO INC | 13803R102 | COM CL A | 21,363 | $10,467 | dollars as filed | |
| Instil Bio, Inc. | 45783C101 | Common Stock | 16,500 | $7,062 | dollars as filed | |
| VIRNETX HLDG CORP | 92823T108 | COM | 24,400 | $6,200 | dollars as filed | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 14,400 | $6,048 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 12,329 | $4,801 | dollars as filed | |
| MSP RECOVERY INC | 553745100 | COM CL A | 17,500 | $3,759 | dollars as filed | |
| LGL GROUP INC | 50186A132 | *W EXP 11/16/202 | 24,876 | $3,732 | dollars as filed | |
| ATRECA INC | 04965G109 | COM | 10,191 | $2,661 | dollars as filed | |
| WTS MSP Recovery Inc | 553745118 | Warrant | 10,000 | $1,743 | dollars as filed | |
| MSP RECOVERY INC | 553745126 | *W EXP 05/20/202 | 10,200 | $81 | dollars as filed | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 22,074 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-23-000014 | this filing | 2023-11-13 | acceptance time not in the bulk data set |