13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-10, with 3,719 holding rows worth $199,783,017,000.
- Accession
- 0000950123-17-007183
- Filer
- CIK 820027
- Filed
- 2017-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A combination report, 6,999 entries on the cover page, a total value of $199,783,017,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $199,783,017,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Co 028-10458
- reports for this filerAmeriprise Certificate Co 028-00140
- reports for this filerRiverSource Life Insurance Co 028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- included managerThreadneedle Asset Management Holdings LTD 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 11,935 | $240,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 47,401 | $240,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 4,781 | $240,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 20,709 | $239,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 14,286 | $238,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 4,425 | $238,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 7,688 | $235,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 5,424 | $234,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 13,330 | $234,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 18,518 | $234,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 25,740 | $233,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,734 | $232,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 15,222 | $230,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 10,384 | $230,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 6,847 | $229,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 18,599 | $229,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 5,975 | $228,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 18,541 | $227,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 15,782 | $227,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y830 | GLOBAL X COPPER | 10,777 | $226,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 22,307 | $226,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 16,040 | $225,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 22,089 | $225,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 15,900 | $225,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 5,835 | $225,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 21,402 | $224,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 46,075 | $224,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 24,435 | $223,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 7,184 | $223,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 3,711 | $222,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 6,369 | $222,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 14,682 | $221,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 12,643 | $221,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 68,425 | $218,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 24,272 | $217,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 10,786 | $217,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 2,514 | $216,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 41,274 | $216,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 15,020 | $216,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 15,000 | $215,000 | thousands by filing date | call |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 8,198 | $215,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 5,850 | $214,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 8,169 | $212,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 5,747 | $211,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 5,702 | $211,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 25,411 | $210,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 8,160 | $209,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 11,334 | $209,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 7,908 | $208,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,840 | $208,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 17,803 | $208,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 5,927 | $208,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,064 | $207,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 25,484 | $206,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,466 | $206,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 14,273 | $205,000 | thousands by filing date | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 13,898 | $205,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 3,232 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 4,126 | $202,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 8,700 | $201,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 7,115 | $201,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 7,170 | $200,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 23,671 | $200,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 11,824 | $199,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 15,167 | $199,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,800 | $197,000 | thousands by filing date | call |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 11,242 | $197,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 19,337 | $196,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 13,839 | $193,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 14,123 | $193,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 42,935 | $191,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 22,653 | $191,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 12,718 | $190,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 16,881 | $190,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 14,225 | $189,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 29,764 | $188,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 35,837 | $186,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 15,767 | $185,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 12,664 | $184,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,441 | $184,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 10,743 | $183,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,271 | $182,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,623 | $181,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 16,618 | $181,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 12,181 | $181,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 29,458 | $180,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 30,051 | $180,000 | thousands by filing date | |
| FNFV GROUP | 31620R402 | COM | 11,305 | $179,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 12,422 | $174,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 13,033 | $173,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 10,390 | $173,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,794 | $171,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 10,494 | $171,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 25,115 | $171,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 35,037 | $171,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 12,357 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 12,450 | $167,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 23,892 | $167,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 24,685 | $167,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 12,475 | $166,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 11,386 | $165,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 12,229 | $164,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 35,525 | $164,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 13,801 | $163,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 22,800 | $162,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 11,196 | $161,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 11,150 | $161,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 20,601 | $159,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 19,332 | $158,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 12,213 | $157,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 17,254 | $155,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 15,930 | $151,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 40,539 | $149,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 11,776 | $147,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 10,658 | $146,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 17,325 | $146,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 22,024 | $146,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 11,201 | $146,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 12,560 | $143,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 45,285 | $142,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 18,449 | $141,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 29,339 | $141,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 13,993 | $138,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 10,087 | $138,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 10,536 | $137,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 28,674 | $134,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 24,551 | $133,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 14,990 | $132,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 82,720 | $130,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 29,831 | $129,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 12,538 | $128,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 19,106 | $128,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 14,414 | $128,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 10,869 | $125,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 14,177 | $123,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 43,999 | $123,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 15,232 | $121,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 13,479 | $121,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 123,000 | $120,000 | thousands by filing date | principal |
| HECLA MNG CO | 422704106 | COM | 23,302 | $119,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 22,233 | $119,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 600 | $117,000 | thousands by filing date | put |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 11,989 | $117,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 77,456 | $117,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 29,176 | $116,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 11,501 | $108,000 | thousands by filing date | |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 11,739 | $108,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 19,212 | $106,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 19,040 | $105,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,326 | $102,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 17,498 | $102,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 13,023 | $98,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 23,054 | $98,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 10,100 | $96,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 10,551 | $95,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,632 | $95,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 10,873 | $93,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 14,600 | $93,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 13,058 | $91,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,974 | $90,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 14,157 | $88,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 13,049 | $87,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 20,000 | $85,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 13,284 | $84,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 35,500 | $83,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 19,161 | $83,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 24,001 | $81,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,312 | $80,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 32,987 | $80,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 13,477 | $74,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 16,117 | $74,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,763 | $73,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 11,401 | $65,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,442 | $65,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 16,516 | $65,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 11,870 | $65,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,542 | $64,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 11,044 | $63,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 31,120 | $58,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 13,014 | $55,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 24,069 | $55,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 19,319 | $51,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 10,000 | $51,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 50,000 | $50,000 | thousands by filing date | principal |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 10,541 | $49,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 30,202 | $49,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 13,349 | $48,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 18,272 | $48,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 129,000 | $48,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 11,791 | $46,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 11,000 | $42,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 13,000 | $42,000 | thousands by filing date | principal |
| RADISYS CORP | 750459109 | COM | 10,910 | $41,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 50,000 | $40,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,107 | $33,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 30,000 | $29,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,500 | $28,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 12,721 | $28,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 600 | $25,000 | thousands by filing date | call |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 16,000 | $23,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 13,000 | $23,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 14,159 | $18,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 42,896 | $15,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 36,409 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 12,000 | $14,000 | thousands by filing date | principal |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 10,000 | $14,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| Female Health Company | 314462102 | COM | 12,292 | $13,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $12,000 | thousands by filing date | principal |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 20,441 | $12,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 11,000 | $12,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 10,000 | $10,000 | thousands by filing date | principal |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 11,362 | $9,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $8,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,010 | $8,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,100 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,500 | $6,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 12,065 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-007183 | this filing | 2017-08-10 | acceptance time not in the bulk data set |