13F-HR filed by TRUIST FINANCIAL CORP
TRUIST FINANCIAL CORP filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-08-16, with 2,709 holding rows worth $61,153,702,000.
- Accession
- 0000764116-21-000008
- Filer
- CIK 92230
- Filed
- 2021-08-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A holdings report, 6,609 entries on the cover page, a total value of $61,153,702,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $61,153,702,000 with VALUE read as thousands by filing date, 13F file number 028-03501. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerTRUIST BANK /NC/028-01507
- included managerSunTrust Advisory Services, Inc.028-18010
- included managerSterling Capital Management LLC028-11465
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 |
|---|---|---|---|---|---|---|
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 24,050 | $240,000 | thousands by filing date | |
| PDD HOLDINGS INC SPONSORED ADS | 722304102 | ADR | 1,875 | $238,000 | thousands by filing date | |
| DREAM FINDERS HOMES INC COM CL A | 26154D100 | Stock | 9,696 | $237,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 4,345 | $237,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424105 | COM CL A | 10,810 | $237,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 64,950 | $237,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 23,615 | $236,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 5,632 | $234,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 14,590 | $234,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 3,861 | $233,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 3,333 | $233,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R696 | CMN | 7,436 | $233,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 3,280 | $232,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 10,572 | $232,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 10,958 | $232,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 2,245 | $231,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,379 | $231,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 3,782 | $231,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 39,939 | $231,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 16,060 | $231,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 2,671 | $231,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 5,335 | $230,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 225,000 | $230,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 5,517 | $230,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,940 | $229,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 2,111 | $229,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E842 | DORSEY WRGT SMLC | 2,554 | $229,000 | thousands by filing date | |
| GOHEALTH INC | 38046W105 | COM CL A | 20,411 | $229,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 22,426 | $228,000 | thousands by filing date | |
| WILLSCOT HLDGS CORP | 971378104 | COM CL A | 8,184 | $228,000 | thousands by filing date | |
| NUVEEN MUNICIPAL CREDIT OPP FU | 670663103 | COM | 14,808 | $228,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE CORP | 11284V105 | CL A SUB VTG | 5,421 | $227,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 16,700 | $227,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 25,448 | $226,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 28,949 | $226,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 38,112 | $225,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 19,432 | $224,000 | thousands by filing date | |
| PHREESIA INC | 71944F106 | COM | 3,645 | $223,000 | thousands by filing date | |
| RANPAK HOLDINGS CORP | 75321W103 | COMMON STOCK | 8,879 | $223,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 11,825 | $223,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 4,314 | $223,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 7,568 | $222,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L662 | HIG YLD VL ETF | 4,433 | $222,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 5,604 | $221,000 | thousands by filing date | |
| 3D PRINTING ETF | 00214Q500 | ETF | 5,561 | $221,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 21,472 | $221,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 2,604 | $220,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 1,956 | $220,000 | thousands by filing date | |
| BTRS HOLDINGS INC | 11778X104 | COM CL 1 | 17,455 | $220,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 1,469 | $219,000 | thousands by filing date | |
| BROOKFIELD PPTY REIT INC | 11282X103 | CL A | 11,641 | $219,000 | thousands by filing date | |
| SCORPIUS HOLDINGS INC | 42237K409 | COMMON | 32,600 | $219,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 8,110 | $218,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 28,800 | $218,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 2,511 | $218,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 8,900 | $218,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 3,897 | $218,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 13,825 | $217,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 7,129 | $217,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 14,437 | $216,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 3,637 | $216,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 7,879 | $216,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 10,200 | $215,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 25,000 | $215,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 16,217 | $214,000 | thousands by filing date | |
| PGIM ETF TR | 69344A206 | ACTV HY BD ETF | 5,176 | $214,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 12,608 | $214,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 8,260 | $213,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 1,606 | $211,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 14,156 | $211,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 12,441 | $211,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 13,394 | $210,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 3,857 | $210,000 | thousands by filing date | |
| FIRST TR HIGH YIELD OPPRT 20 | 33741Q107 | COM | 10,421 | $209,000 | thousands by filing date | |
| INVESCO S&P 500 EQUAL WEIGHT ENERGY ETF | 46137V365 | ETF | 4,602 | $208,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 3,192 | $208,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 19,313 | $207,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 1,285 | $207,000 | thousands by filing date | |
| API GROUP CORP COM STK | 00187Y100 | Stock | 9,839 | $206,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 7,837 | $205,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 31,410 | $205,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 3,500 | $204,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 14,160 | $204,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 36,496 | $204,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 20,930 | $203,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 2,695 | $203,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351X101 | COM | 7,534 | $202,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 1,073 | $201,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 1,197 | $201,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 69,900 | $200,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,500 | $199,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 33,200 | $199,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 14,444 | $198,000 | thousands by filing date | |
| DIGITALBRIDGE GROUP INC | 25401T108 | CL A COM | 24,708 | $195,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 70,100 | $194,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 17,851 | $192,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 174,500 | $192,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 10,935 | $188,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 10,029 | $187,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 19,961 | $186,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,001 | $183,000 | thousands by filing date | |
| PROSHARES TR | 74347G861 | ULTRAPRO SHT QQQ | 20,000 | $183,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 27,000 | $182,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 170,000 | $182,000 | thousands by filing date | principal |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 13,316 | $180,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 16,273 | $176,000 | thousands by filing date | |
| RPT REALTY | 74971D101 | SH BEN INT | 13,453 | $175,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 10,745 | $173,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 24,287 | $173,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 20,000 | $172,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 27,021 | $169,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 59,257 | $169,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 37,744 | $168,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 42,754 | $167,000 | thousands by filing date | |
| REDBALL ACQUISITION CORP | G7417R105 | COM CL A | 16,874 | $165,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 18,076 | $164,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 154,000 | $161,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 23,394 | $161,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 205,100 | $159,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 15,702 | $157,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 17,727 | $155,000 | thousands by filing date | |
| INVESCO HIG INCM 2023 TARG T | 46135X108 | COM | 15,796 | $154,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 24,081 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 10,557 | $153,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 39,224 | $152,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 21,780 | $151,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 14,233 | $150,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,000 | $147,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 50,000 | $147,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 10,450 | $146,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 10,481 | $146,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 17,695 | $146,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 20,862 | $145,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 12,988 | $145,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 10,794 | $145,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 128,000 | $139,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 88,025 | $139,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 20,300 | $138,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 31,884 | $130,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 10,000 | $129,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,041 | $126,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W205 | UNIT 99/99/9999 | 11,700 | $126,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 14,070 | $124,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 16,500 | $123,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 11,559 | $116,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 10,000 | $116,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 20,200 | $110,000 | thousands by filing date | |
| MYOMO INC | 62857J201 | COM NEW | 10,000 | $108,000 | thousands by filing date | |
| MOLECULIN BIOTECH INC | 60855D200 | COMMON | 29,167 | $107,000 | thousands by filing date | |
| ODYSSEY MARINE EXPL INC | 676118201 | COM NEW | 16,666 | $106,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 13,190 | $104,000 | thousands by filing date | |
| NEW PAC METALS CORP | 64782A107 | COM | 21,200 | $103,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 12,000 | $98,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,136 | $93,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 25,500 | $89,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 42,373 | $85,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 11,288 | $84,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 10,000 | $83,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 11,903 | $80,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T409 | COM | 20,000 | $80,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 13,093 | $77,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 20,000 | $75,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 41,593 | $68,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 17,195 | $67,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 12,341 | $66,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 58,000 | $59,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 15,000 | $58,000 | thousands by filing date | |
| BK Technologies Corp. | 05587G104 | COM | 18,411 | $58,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 22,116 | $58,000 | thousands by filing date | |
| CORVUS PHARMACEUTICALS INC | 221015100 | COM | 21,000 | $56,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 10,900 | $55,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 21,000 | $55,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 48,000 | $52,000 | thousands by filing date | principal |
| SENSEONICS HLDGS INC | 81727U105 | COM | 13,233 | $51,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 10,250 | $47,000 | thousands by filing date | |
| CORVUS GOLD INC | 221013105 | COM | 16,527 | $45,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 11,750 | $44,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,024 | $44,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 40,000 | $43,000 | thousands by filing date | principal |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 37,000 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 40,000 | $41,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 14,078 | $40,000 | thousands by filing date | |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 11,468 | $40,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 11,000 | $36,000 | thousands by filing date | principal |
| DRIVE SHACK INC | 262077100 | COM | 10,000 | $33,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 10,964 | $32,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 15,000 | $31,000 | thousands by filing date | principal |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 29,000 | $29,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 20,000 | $20,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 20,000 | $20,000 | thousands by filing date | principal |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 14,000 | $18,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 12,000 | $16,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AK5 | NOTE 8/1 | 11,000 | $14,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 13,000 | $14,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 13,000 | $13,000 | thousands by filing date | principal |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 15,433 | $11,000 | thousands by filing date | |
| Cresud S A C I F Y A Warrant Exp 03/09/202 | P3311R259 | Warrant | 35,880 | $11,000 | thousands by filing date | |
| CALAMP CORP | 128126AD1 | BOND | 12,000 | $11,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 10,000 | $8,000 | thousands by filing date | principal |
| INNOVATOR ETFS TRUST | 45782C748 | US EQTY PWR BUF | 28,336 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GLOBAL X FDS | 37954Y376 | RATE PREFERRED | 17,249 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST TR EXCHNG TRADED FD VI | 33740F789 | ACTIVE FACTOR LA | 83,379 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLUMBIA ETF TR I | 19761L805 | RESH ENHNC VLU | 14,144 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WORKIVA INC | 98139AAB1 | NOTE 1.125% 8/1 | 1,500,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GABELLI EQUITY TR INC | 362397218 | RIGHT 07/14/2021 | 14,240 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALGONQUIN PWR UTILS CORP | 015857873 | CONV | 45,870 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK SCIENCE & TECHNOLO | 09258G112 | RIGHT 07/14/2021 | 28,982 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CONVEY HEALTH SOLUTIONS HLDG | 21258C108 | CMN | 19,980 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUANTUMSCAPE CORP | 74767V117 | *W EXP 11/25/202 | 242,395 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000764116-21-000008 | this filing | 2021-08-16 | acceptance time not in the bulk data set |