13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 3,735 holding rows worth $286,058,725,000.
- Accession
- 0000950123-18-011841
- Filer
- CIK 820027
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, 9,339 entries on the cover page, a total value of $286,058,725,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $286,058,725,000 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
- reports for this filerColumbia Wanger Asset Management, LLC. 028-03639
- reports for this filerAmeriprise National Trust Bank
- 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
- included managerColumbia Wanger Asset Management, LLC. 028-03639
- included managerAmeriprise National Trust Bank
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 |
|---|---|---|---|---|---|---|
| SINA CORP | G81477104 | ORD | 3,432 | $238,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 10,108 | $238,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 15,235 | $238,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 67,613 | $237,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 10,902 | $237,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 2,540 | $235,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 3,636 | $235,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 72,998 | $234,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 5,526 | $233,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 28,070 | $233,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 4,473 | $232,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 23,918 | $232,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 9,750 | $231,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 35,050 | $230,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 15,707 | $230,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 16,364 | $230,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 5,635 | $230,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 7,993 | $229,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 27,275 | $227,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 3,470 | $226,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 4,054 | $226,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 17,030 | $224,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 8,465 | $224,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 203,779 | $224,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 7,158 | $223,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 2,616 | $222,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 3,374 | $218,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V381 | S&P500 EQL DIS | 2,060 | $218,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 2,840 | $218,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 59,210 | $218,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 25,364 | $217,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 243,199 | $215,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 4,912 | $214,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 8,083 | $214,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,556 | $212,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 4,485 | $212,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 2,450 | $211,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 9,938 | $208,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 4,457 | $208,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 5,965 | $207,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 5,487 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 5,966 | $205,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 13,003 | $205,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 6,905 | $204,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 845 | $204,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,187 | $203,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,115 | $202,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,534 | $201,000 | thousands by filing date | |
| KLX INC | 482539103 | COM | 3,200 | $201,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 20,400 | $200,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L300 | SUSTANABLE US | 6,590 | $200,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 10,739 | $199,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 11,918 | $199,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 10,277 | $198,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 16,672 | $198,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 72,871 | $197,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 14,021 | $197,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 18,168 | $194,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 4,213 | $194,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 10,674 | $193,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 14 | $188,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| CSS INDS INC | 125906107 | COMMON STOCK | 13,175 | $188,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,600 | $187,000 | thousands by filing date | put |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 13,022 | $186,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 65,942 | $184,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 61,289 | $180,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 16,988 | $176,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 107 | $175,000 | thousands by filing date | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 13,967 | $172,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 15,479 | $171,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,711 | $168,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 30,230 | $166,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 12,309 | $164,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 13,418 | $164,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 14,368 | $164,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 14,251 | $162,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 59,416 | $160,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 11,946 | $159,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 26,786 | $159,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 20,610 | $157,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 11,290 | $157,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 120,441 | $154,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 73,429 | $154,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 21,238 | $151,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 12,966 | $149,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 12,422 | $149,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 12,462 | $148,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,931 | $147,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 11,889 | $146,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 10,794 | $144,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 25,280 | $144,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 12,000 | $142,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 12,750 | $138,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 23,100 | $137,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 135,000 | $136,000 | thousands by filing date | principal |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 12,313 | $136,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 32,305 | $136,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,484 | $135,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 10,300 | $134,000 | thousands by filing date | put |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 22,363 | $134,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 14,752 | $132,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 14,872 | $130,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 28,049 | $129,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 15,650 | $129,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,664 | $128,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 130,000 | $128,000 | thousands by filing date | principal |
| FLEX PHARMA INC | 33938A105 | COM | 275,603 | $128,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 13,667 | $127,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 24,044 | $125,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 21,331 | $123,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 14,679 | $122,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 16,885 | $121,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 22,160 | $119,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 123,000 | $118,000 | thousands by filing date | principal |
| LEAF GROUP LTD | 52177G102 | COM | 11,800 | $118,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 10,920 | $116,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 11,850 | $116,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 36,392 | $115,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,527 | $115,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 82,677 | $115,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,493 | $113,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 10,947 | $112,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 1,024 | $110,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 10,549 | $106,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 901 | $105,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 17,385 | $103,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 4,050 | $100,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 36,372 | $98,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 18,324 | $93,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 26,108 | $91,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,613 | $87,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 15,929 | $87,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058203 | COM NEW | 14,669 | $87,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 33,791 | $87,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 10,000 | $86,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 19,330 | $85,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 32,126 | $83,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,650 | $83,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 30,435 | $82,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 1,559 | $80,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 13,130 | $80,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 60,460 | $78,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 12,992 | $76,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 12,697 | $75,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,128 | $74,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 68,084 | $73,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 16,171 | $70,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 20,701 | $70,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 24,500 | $68,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 26,724 | $67,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 14,423 | $67,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,857 | $66,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 12,690 | $66,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 14,827 | $64,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 20,120 | $62,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 1,419 | $58,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 20,420 | $57,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 28,120 | $54,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,974 | $53,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 55,000 | $53,000 | thousands by filing date | principal |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 3,000 | $51,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 17,979 | $51,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 23,049 | $51,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 23,890 | $51,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 18,856 | $50,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 12,420 | $50,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 10,527 | $47,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 3,625 | $46,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 3,450 | $45,000 | thousands by filing date | |
| NAVIOS MARITIME MIDSTREAM LP COM UNIT LTD | Y62134104 | MLP | 15,248 | $45,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 11,850 | $44,000 | thousands by filing date | |
| IMMUTEP LTD | 45257L108 | SPONSORED ADS | 11,330 | $42,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 3,948 | $34,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 2,554 | $33,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 21,590 | $33,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 40,117 | $32,000 | thousands by filing date | |
| MYOMO INC | 62857J102 | COM | 16,000 | $31,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 1,000 | $30,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 23,060 | $29,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 1,000 | $27,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 19,475 | $25,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,750 | $23,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,533 | $23,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 1,660 | $22,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 866 | $22,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,335 | $21,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 293 | $21,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 417 | $21,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 830 | $21,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 35,786 | $19,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 1,200 | $16,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 15,462 | $16,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 12,025 | $16,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 155 | $15,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $12,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 1,100 | $12,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,509 | $12,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 444 | $11,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 12,000 | $11,000 | thousands by filing date | principal |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,000 | $10,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 581 | $10,000 | thousands by filing date | |
| EMERALD EXPOSITIONS EVENTS I | 29103B100 | COM | 546 | $9,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 778 | $8,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 367 | $8,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 610 | $8,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 306 | $7,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $7,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,000 | $6,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 239 | $4,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 76 | $4,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 111 | $4,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 409 | $4,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 241 | $4,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 26,000 | $4,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 42 | $3,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 227 | $3,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 500 | $2,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 88 | $1,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 18 | $1,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 30 | $1,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 700 | $1,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 28 | $1,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 205 | $1,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 87 | $1,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 92 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY LATIN AMERICA LTD | G9001E102 | COM CL A | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY | 531229888 | COMMON STOCK | 11 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 15 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R125 | WARR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 10,966 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-18-011841 | this filing | 2018-11-14 | acceptance time not in the bulk data set |