13F-HR filed by GOLDMAN SACHS GROUP INC
GOLDMAN SACHS GROUP INC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 5,271 holding rows worth $352,353,681,000.
- Accession
- 0000769993-20-000365
- Filer
- CIK 886982
- Filed
- 2020-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 10,174 entries on the cover page, a total value of $352,353,681,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $352,353,681,000 with VALUE read as thousands by filing date, 13F file number 028-04981. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerUNITED CAPITAL FINANCIAL ADVISERS, LLC028-13508
- included managerGOLDMAN SACHS & CO. LLC028-00687
- included managerGOLDMAN SACHS ASSET MANAGEMENT, L.P.028-10981
- included managerGOLDMAN SACHS INTERNATIONAL028-05109
- included managerGOLDMAN SACHS BANK AG028-05111
- included managerAYCO CO L P028-06738
- included managerGoldman Sachs Trust Company, N.A.028-12021
- included managerGoldman Sachs Financial Markets, L.P.028-14253
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 |
|---|---|---|---|---|---|---|
| MACKINAC FINL CORP | 554571109 | COM | 15,642 | $151,000 | thousands by filing date | |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 91,266 | $151,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 24,800 | $150,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 12,301 | $150,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 44,400 | $150,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 12,818 | $148,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 12,719 | $147,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 285,343 | $147,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 33,758 | $145,000 | thousands by filing date | |
| CHECKMATE PHARMACEUTICALS IN | 162818108 | COM | 12,600 | $145,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 12,543 | $144,000 | thousands by filing date | |
| Carter Bank and Trust | 146102108 | Ordinary Shares | 21,613 | $144,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 79,900 | $144,000 | thousands by filing date | call |
| STERLING BANCORP INC | 85917W102 | COM | 47,224 | $142,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 83,565 | $138,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 21,708 | $138,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 11,004 | $135,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 22,893 | $135,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 15,305 | $135,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 34,313 | $134,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643111 | *W EXP 11/30/202 | 250,000 | $134,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 31,968 | $133,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 58,934 | $132,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 107,442 | $131,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 120,093 | $131,000 | thousands by filing date | |
| WORKIVA INC | 98139AAB1 | NOTE 1.125% 8/1 | 132,000 | $131,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 85,000 | $131,000 | thousands by filing date | principal |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 10,893 | $131,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 62,566 | $131,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 10,324 | $130,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 12,597 | $130,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 79,964 | $130,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 15,519 | $129,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 19,999 | $128,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 33,620 | $128,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 10,007 | $127,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 83,970 | $127,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 14,538 | $126,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 10,452 | $126,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 11,712 | $126,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 24,959 | $126,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 10,350 | $126,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 11,955 | $125,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 22,502 | $125,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 13,688 | $124,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 343,006 | $124,000 | thousands by filing date | |
| QUALIGEN THERAPEUTICS INC | 74754R103 | COM | 24,768 | $123,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 36,321 | $122,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 16,121 | $122,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 40,227 | $121,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 47,674 | $120,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 13,031 | $120,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 12,821 | $118,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 78,934 | $117,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 13,916 | $116,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675108 | COM | 11,700 | $116,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 56,571 | $115,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 500,000 | $115,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 16,835 | $114,000 | thousands by filing date | |
| BORR DRILLING LTD | G1466R207 | SHS | 207,470 | $114,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 89,519 | $113,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 23,201 | $112,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 29,087 | $112,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 20,228 | $112,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 44,763 | $112,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 10,361 | $111,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 206,192 | $111,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W203 | COM | 33,548 | $111,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 24,098 | $110,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 38,223 | $110,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 309,273 | $109,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 16,917 | $109,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 41,771 | $109,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L101 | COM CL A | 10,882 | $109,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 38,152 | $108,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 21,915 | $108,000 | thousands by filing date | |
| DIGITAL MEDIA SOLUTIONS INC | 25401G114 | WTS | 125,000 | $108,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 20,883 | $106,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 86,531 | $106,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 87,179 | $106,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 18,620 | $105,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 40,495 | $105,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 135,691 | $105,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 11,921 | $104,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 44,513 | $104,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 10,415 | $103,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 23,230 | $102,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 10,080 | $101,000 | thousands by filing date | call |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 14,624 | $101,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 16,463 | $101,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 15,058 | $100,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 45,707 | $100,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 51,689 | $100,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 21,000 | $99,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 141,356 | $99,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 19,061 | $99,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 111,322 | $97,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 12,996 | $95,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 34,861 | $94,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 89,519 | $94,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 43,228 | $93,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 13,737 | $92,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 21,964 | $91,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 16,168 | $91,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 14,616 | $91,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 14,809 | $90,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 10,592 | $90,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 14,685 | $89,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 12,830 | $89,000 | thousands by filing date | |
| Milestone Pharmaceuticals Inc | 59935V107 | COM | 12,004 | $88,000 | thousands by filing date | |
| NEW FRONTIER HEALTH CORP | G6461G114 | *W EXP 11/30/202 | 50,000 | $88,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 34,741 | $87,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 62,241 | $86,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 17,640 | $86,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,144 | $85,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F117 | *W EXP 08/26/202 | 128,200 | $85,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 15,735 | $84,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J300 | CMN | 89,388 | $83,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 98,118 | $83,000 | thousands by filing date | |
| AUTOWEB INC | 05335B100 | COM | 26,281 | $83,000 | thousands by filing date | |
| REKOR SYSTEMS INC | 759419104 | COM | 14,197 | $82,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 31,165 | $82,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 31,594 | $82,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 11,939 | $81,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 123,116 | $81,000 | thousands by filing date | |
| HARROW INC | 415858109 | COM | 13,973 | $78,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 13,403 | $76,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 15,097 | $76,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC COM | 903214104 | COM | 32,500 | $76,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 18,246 | $75,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 31,451 | $75,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 13,915 | $73,000 | thousands by filing date | |
| AMERICAN VRTUAL CLOUD TECH I | 030382113 | *W EXP 04/07/202 | 250,000 | $73,000 | thousands by filing date | |
| BIOMERICA INC | 09061H307 | COM NEW | 10,541 | $73,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 12,562 | $73,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 10,000 | $72,000 | thousands by filing date | call |
| ENVESTNET INC | 29404KAB2 | BOND | 56,000 | $72,000 | thousands by filing date | principal |
| PAYSIGN INC | 70451A104 | COM | 12,494 | $71,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W408 | COM NEW | 13,578 | $71,000 | thousands by filing date | |
| CELSION CORP | 15117N503 | COM PAR NEW | 96,430 | $71,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 40,212 | $70,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 34,857 | $70,000 | thousands by filing date | |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 117,500 | $70,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 66,280 | $69,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 250,000 | $69,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 26,307 | $68,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 32,303 | $68,000 | thousands by filing date | |
| GRINDROD SHIPPING HOLDINGS L | Y28895103 | COM | 17,383 | $67,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 11,895 | $67,000 | thousands by filing date | |
| RESEARCH SOLUTIONS INC | 761025105 | CMN | 29,107 | $66,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 10,664 | $64,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 54,422 | $64,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 42,970 | $64,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 23,783 | $64,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 122,975 | $64,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 10,263 | $62,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 63,089 | $62,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 70,327 | $62,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 18,226 | $62,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 20,433 | $62,000 | thousands by filing date | |
| ObsEva SA | H5861P103 | COM | 24,439 | $61,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D303 | COM | 10,910 | $60,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 11,419 | $59,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 23,811 | $59,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 37,794 | $59,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 46,621 | $59,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 125,000 | $59,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 23,614 | $58,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 35,458 | $58,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 24,546 | $58,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 92,854 | $57,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 55,992 | $56,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 20,277 | $56,000 | thousands by filing date | |
| Galiano Gold Inc | 36352H100 | COM | 40,803 | $56,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 77,324 | $56,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 12,600 | $56,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 52,675 | $56,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 20,654 | $55,000 | thousands by filing date | |
| CHINA JO-JO DRUGSTORES INC | 16949A206 | COM NEW | 57,093 | $55,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 17,484 | $55,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D508 | Common Stock | 11,488 | $55,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 29,595 | $54,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 10,194 | $54,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 16,625 | $53,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 21,304 | $52,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 65,318 | $52,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 12,453 | $52,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 10,551 | $52,000 | thousands by filing date | |
| AIKIDO PHARMA INC | 008875106 | COM | 83,560 | $51,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 343,579 | $50,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 18,991 | $50,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 54,558 | $50,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 75,193 | $50,000 | thousands by filing date | |
| KITOV PHARMA LTD SPONSORD ADS NEW | 49803V206 | Stock | 11,305 | $50,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 13,906 | $49,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 13,412 | $48,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 204,012 | $48,000 | thousands by filing date | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 15,686 | $48,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 20,359 | $47,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 13,546 | $46,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 13,645 | $46,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 20,402 | $43,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 58,868 | $40,000 | thousands by filing date | |
| MIRAGEN THERAPEUTICS INC | 60463E103 | COM | 51,297 | $40,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 20,306 | $39,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 35,000 | $39,000 | thousands by filing date | principal |
| NULL | 09071M205 | NULL | 23,916 | $39,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 15,785 | $39,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 16,615 | $39,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 34,400 | $38,000 | thousands by filing date | put |
| EMCORE CORP | 290846203 | COM | 11,760 | $38,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 19,000 | $38,000 | thousands by filing date | principal |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 14,992 | $37,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 26,575 | $37,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 54,107 | $37,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 11,888 | $36,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 70,010 | $36,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 18,980 | $35,000 | thousands by filing date | |
| SILICON LABORATORIES INC | 826919AB8 | NOTE 1.375% 3/0 | 29,000 | $35,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 32,200 | $34,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 65,705 | $34,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 13,817 | $34,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 19,215 | $34,000 | thousands by filing date | |
| 9F INC SPON ADS NEW | 65442R109 | ADR | 37,784 | $34,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 32,000 | $33,000 | thousands by filing date | principal |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 35,000 | $33,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 35,000 | $32,000 | thousands by filing date | principal |
| HALL OF FAME RESORT & ENTMT | 40619L110 | *W EXP 07/01/202 | 122,980 | $32,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 18,208 | $32,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 19,000 | $31,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 56,537 | $30,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 30,000 | $28,000 | thousands by filing date | principal |
| Kintara Therapeutics, Inc. | 49720K101 | Equities | 19,985 | $28,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 23,160 | $28,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 28,000 | $28,000 | thousands by filing date | principal |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 56,195 | $27,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 11,126 | $27,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 12,938 | $26,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 12,724 | $26,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 14,400 | $25,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| CONFORMIS INC | 20717E101 | COM | 30,117 | $25,000 | thousands by filing date | |
| AKERNA CORP | 00973W110 | WTS | 65,300 | $25,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 83,334 | $25,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 37,030 | $24,000 | thousands by filing date | |
| HYCROFT MINING HOLDING CORP | 44862P125 | W EXP 10/12/202 | 85,819 | $24,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 52603BAA5 | NOTE | 14,000 | $22,000 | thousands by filing date | principal |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 32,019 | $21,000 | thousands by filing date | |
| GLOBAL BLUE GROUP HOLDING AG | H33700115 | *W EXP 08/28/202 | 33,333 | $21,000 | thousands by filing date | |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 21,000 | $20,000 | thousands by filing date | principal |
| Dawson Geophysical Co Ne | 239360100 | COM | 10,901 | $19,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 13,187 | $19,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 68,876 | $19,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 10,803 | $18,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 14,587 | $17,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 15,054 | $15,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 64,889 | $15,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328874 | COM NEW | 12,132 | $15,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B208 | *W EXP 07/21/202 | 250,000 | $15,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R117 | WARR | 24,857 | $13,000 | thousands by filing date | |
| INPIXON | 45790J800 | COM | 10,800 | $12,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 27,898 | $11,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 15,196 | $10,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 14,618 | $9,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 12,362 | $8,000 | thousands by filing date | |
| ORISUN ACQUISITION CORP | 68632T125 | RIGHT 05/31/2024 | 13,700 | $8,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R125 | WARR | 16,272 | $5,000 | thousands by filing date | |
| TIDEWATER INC NEW | 88642R174 | *W EXP 11/14/202 | 18,956 | $5,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 27,557 | $4,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 13,120 | $2,000 | thousands by filing date | |
| TARGET HOSPITALITY CORP | 87615L115 | *W EXP 03/15/202 | 19,444 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000769993-20-000365 | this filing | 2020-11-13 | acceptance time not in the bulk data set |