13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-12, with 3,631 holding rows worth $219,255,316,000.
- Accession
- 0000950123-18-001385
- Filer
- CIK 820027
- Filed
- 2018-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A combination report, 6,902 entries on the cover page, a total value of $219,255,316,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $219,255,316,000 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 |
|---|---|---|---|---|---|---|
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 59,200 | $170,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 14,882 | $169,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 14,514 | $167,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 59,300 | $166,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 39,263 | $163,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 19,539 | $162,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 11,361 | $161,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 14,863 | $161,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 12,374 | $161,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 15,481 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,611 | $159,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 78,210 | $159,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 32,212 | $158,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 13,287 | $158,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,645 | $157,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 15,345 | $155,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,304 | $154,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 13,068 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 10,590 | $153,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 27,085 | $153,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 11,692 | $151,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 17,161 | $149,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 11,262 | $148,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 36,910 | $146,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 23,416 | $146,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 10,384 | $145,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,558 | $145,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 33,620 | $144,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 21,761 | $143,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 22,500 | $142,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 12,354 | $141,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 20,305 | $141,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 16,157 | $139,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 100,000 | $139,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 11,476 | $138,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 61,630 | $133,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 15,419 | $133,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 68,904 | $129,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,100 | $125,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 18,057 | $125,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 22,179 | $122,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 123,000 | $120,000 | thousands by filing date | principal |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 11,392 | $119,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 33,407 | $118,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 11,530 | $118,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 13,970 | $118,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 23,970 | $117,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 49,100 | $117,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 11,400 | $115,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 29,471 | $115,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 13,049 | $114,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 15,104 | $113,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 43,830 | $111,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 18,146 | $110,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 34,616 | $110,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 10,125 | $107,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 13,963 | $106,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 15,700 | $106,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 12,639 | $106,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 15,908 | $104,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 16,782 | $102,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 101,048 | $102,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,270 | $99,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 24,421 | $94,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 10,861 | $92,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 37,068 | $88,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 15,444 | $87,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 47,110 | $84,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,974 | $81,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,650 | $81,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 24,089 | $80,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 80,000 | $80,000 | thousands by filing date | principal |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 19,224 | $79,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 22,259 | $79,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 18,900 | $78,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 10,288 | $77,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 17,428 | $75,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 14,600 | $73,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 40,095 | $72,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 10,256 | $72,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 12,014 | $71,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 13,317 | $70,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 11,552 | $68,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,772 | $68,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 12,075 | $68,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 31,088 | $66,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,616 | $64,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 10,350 | $62,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 13,888 | $61,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 14,560 | $59,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 11,037 | $56,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 12,636 | $54,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 21,000 | $52,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,394 | $51,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 10,000 | $50,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 14,350 | $49,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 20,881 | $44,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 12,000 | $43,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 13,623 | $43,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 11,791 | $43,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 15,972 | $42,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 16,885 | $42,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 12,569 | $42,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 24,069 | $39,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 15,525 | $35,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 13,488 | $33,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,150 | $33,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 20,000 | $31,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 019621309 | COMMON STOCK | 16,500 | $30,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 10,000 | $28,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 10,997 | $27,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,376 | $26,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 13,154 | $25,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 33,680 | $24,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 17,480 | $21,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 21,810 | $19,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,000 | $18,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 36,278 | $14,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $12,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 12,085 | $12,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,500 | $11,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $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 |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 10,100 | $9,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 10,000 | $8,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 40,000 | $7,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 25,758 | $6,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 14,056 | $5,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,600 | $5,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 60,000 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 11,515 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-001385 | this filing | 2018-02-12 | acceptance time not in the bulk data set |