13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-07, with 3,666 holding rows worth $210,102,682,000.
- Accession
- 0000950123-17-009689
- Filer
- CIK 820027
- Filed
- 2017-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A combination report, 6,930 entries on the cover page, a total value of $210,102,682,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $210,102,682,000 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 |
|---|---|---|---|---|---|---|
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,502 | $210,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 14,105 | $209,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 8,818 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 7,753 | $207,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,324 | $207,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 15,695 | $207,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 5,095 | $206,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 12,590 | $205,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 10,675 | $204,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 6,503 | $204,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 45,200 | $204,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 11,926 | $203,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 13,214 | $203,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 7,268 | $203,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 9,716 | $202,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 35,931 | $202,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 15,000 | $202,000 | thousands by filing date | call |
| WEYCO GROUP INC COM | 962149100 | Stock | 7,075 | $201,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,621 | $201,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 13,637 | $198,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 21,492 | $197,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 21,915 | $193,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 11,905 | $193,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 25,594 | $192,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 19,539 | $188,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 32,690 | $187,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 19,686 | $187,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 18,753 | $187,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 27,845 | $184,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 125,000 | $184,000 | thousands by filing date | principal |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 15,881 | $184,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 24,227 | $182,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 10,011 | $182,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 8,900 | $180,000 | thousands by filing date | call |
| Bowater Inc | 09066L105 | COMMON STOCKS | 63,340 | $180,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 17,976 | $179,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,070 | $179,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 140,000 | $179,000 | thousands by filing date | principal |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 10,249 | $178,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 15,018 | $178,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 22,700 | $177,000 | thousands by filing date | put |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 12,179 | $172,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 12,247 | $172,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 13,650 | $172,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 10,307 | $170,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 28,479 | $170,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 14,638 | $168,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 11,361 | $167,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 11,854 | $166,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 10,439 | $165,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 26,370 | $165,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 12,229 | $164,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 11,717 | $164,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 30,672 | $161,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 27,719 | $160,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 12,156 | $160,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 12,607 | $160,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,543 | $159,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 11,617 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 11,450 | $156,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 22,500 | $154,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 17,339 | $150,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 14,792 | $150,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 24,348 | $149,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 1,300 | $147,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 10,684 | $147,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,612 | $147,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 15,000 | $146,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 22,984 | $145,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 30,055 | $143,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 31,906 | $143,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 11,476 | $139,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 10,627 | $137,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 12,600 | $137,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 15,409 | $136,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 10,484 | $135,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 19,050 | $135,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 15,309 | $135,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 20,237 | $133,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 11,352 | $131,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 23,651 | $131,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 11,177 | $131,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 24,092 | $128,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 11,458 | $128,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 10,825 | $127,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 11,117 | $126,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 10,595 | $124,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 22,425 | $123,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 12,238 | $122,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 123,000 | $120,000 | thousands by filing date | principal |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 15,069 | $119,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 27,445 | $117,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 11,558 | $116,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 35,375 | $115,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 18,374 | $110,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 13,049 | $110,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 25,724 | $109,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 11,617 | $106,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 79,010 | $105,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 20,550 | $103,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 10,358 | $100,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 10,276 | $97,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,974 | $97,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 33,557 | $97,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 14,950 | $94,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 13,263 | $94,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 17,299 | $94,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 20,869 | $89,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 14,600 | $89,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 15,687 | $88,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 15,910 | $88,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 18,646 | $88,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 10,325 | $86,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 23,813 | $85,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 15,972 | $84,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 13,927 | $84,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 13,440 | $84,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 24,067 | $82,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 15,822 | $81,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 11,818 | $77,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 13,382 | $76,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 11,800 | $74,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 14,010 | $73,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,633 | $72,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,650 | $72,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 185,000 | $68,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 42,900 | $64,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 24,069 | $61,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 41,928 | $59,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 20,881 | $56,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 12,691 | $56,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 19,000 | $53,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 30,202 | $53,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 10,126 | $52,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 50,000 | $50,000 | thousands by filing date | principal |
| JOINT CORP | 47973J102 | COM | 10,000 | $48,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 13,949 | $47,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 12,014 | $45,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 23,517 | $42,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 25,233 | $41,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 35,125 | $39,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 11,791 | $39,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 200 | $36,000 | thousands by filing date | put |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 17,835 | $34,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 12,292 | $33,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,750 | $33,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 21,233 | $32,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 15,525 | $30,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 11,500 | $25,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 10,000 | $24,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 11,350 | $20,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 12,000 | $15,000 | thousands by filing date | principal |
| RADISYS CORP | 750459109 | COM | 10,910 | $15,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 12,500 | $15,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $14,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 36,454 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 21,810 | $13,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 28,584 | $10,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,500 | $10,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 10,000 | $10,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $8,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,000 | $7,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,100 | $5,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 11,885 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-17-009689 | this filing | 2017-11-07 | acceptance time not in the bulk data set |