13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 3,653 holding rows worth $199,951,206,000.
- Accession
- 0000950123-19-001995
- Filer
- CIK 820027
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A combination report, 9,005 entries on the cover page, a total value of $199,951,206,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $199,951,206,000 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 028-18942
- 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 999-99999
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 |
|---|---|---|---|---|---|---|
| CNA FINL CORP | 126117100 | COM | 19,585 | $863,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 116,322 | $862,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 23,055 | $862,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 68,309 | $857,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 63,657 | $854,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 26,042 | $851,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 67,941 | $845,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 66,252 | $844,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 77,131 | $843,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 14,018 | $842,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 38,910 | $841,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 79,428 | $836,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 20,310 | $832,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 9,814 | $831,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 27,342 | $830,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 90,961 | $828,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 56,178 | $828,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 70,939 | $826,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 39,656 | $820,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 22,032 | $812,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 188,697 | $811,000 | thousands by filing date | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 7,156 | $807,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 138,736 | $802,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 35,774 | $801,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 9,419 | $800,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 68,090 | $800,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 65,285 | $799,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 97,441 | $799,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 18,788 | $797,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 6,010 | $792,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 53,460 | $789,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 9,308 | $789,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 82,809 | $789,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 19,700 | $784,000 | thousands by filing date | put |
| Apollo Global Management | 037612306 | COM | 31,761 | $779,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 24,342 | $776,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 155,796 | $775,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 171,139 | $766,000 | thousands by filing date | |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 33,409 | $763,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 40,785 | $762,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 12,870 | $758,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 47,925 | $757,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 11,701 | $746,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 57,252 | $744,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 56,735 | $743,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 16,898 | $742,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 6,705 | $742,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 21,478 | $741,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 36,265 | $741,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X194 | SST SPDR MSCI | 9,693 | $739,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 56,989 | $738,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 44,776 | $738,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 28,462 | $737,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 25,528 | $734,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 14,593 | $733,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 57,598 | $731,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 88,354 | $730,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 28,772 | $730,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 16,582 | $729,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 25,792 | $728,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 39,134 | $727,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 36,208 | $726,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 169,294 | $726,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 108,401 | $725,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 50,557 | $724,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 24,244 | $724,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 24,794 | $723,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 25,466 | $722,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 565,400 | $721,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 6,396 | $719,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 96,371 | $719,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 63,939 | $717,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 93,330 | $714,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 22,486 | $709,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 61,613 | $709,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 125,820 | $707,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 68,796 | $707,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 11,774 | $706,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 28,141 | $704,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 15,187 | $698,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 61,138 | $696,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 37,586 | $694,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 96,294 | $694,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 53,184 | $693,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 16,410 | $693,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 115,245 | $692,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 138,299 | $686,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 119,280 | $686,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 20,987 | $685,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 42,528 | $679,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 45,652 | $674,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 20,161 | $673,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 39,146 | $673,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 2,203 | $671,000 | thousands by filing date | |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 27,467 | $668,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 37,764 | $667,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 57,597 | $663,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 5,528 | $663,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 32,169 | $655,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 39,599 | $654,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 57,002 | $654,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 34,122 | $654,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 12,533 | $653,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 141,408 | $652,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 64,919 | $651,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 224,473 | $649,000 | thousands by filing date | |
| CRISPR THERAPEUTICS AG NAMEN AKT | H17182108 | Stock | 22,673 | $648,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 55,787 | $643,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 37,736 | $643,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 57,661 | $642,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 22,729 | $641,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 125,525 | $641,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 17,625 | $640,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 32,798 | $640,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 49,388 | $638,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 115,380 | $637,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 10,002 | $636,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 35,035 | $634,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 158,496 | $634,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 44,543 | $629,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 46,196 | $625,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 9,921 | $621,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 23,856 | $621,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 137,412 | $617,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 30,637 | $617,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 32,025 | $616,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 10,753 | $612,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 10,727 | $609,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 48,894 | $605,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 90,158 | $604,000 | thousands by filing date | |
| WIDEOPENWEST INC | 96758W101 | COM | 84,397 | $602,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 95,254 | $601,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 12,385 | $598,000 | thousands by filing date | |
| INNOVATIVE INDL PPTYS INC COM | 45781V101 | REIT | 13,134 | $597,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 15,707 | $595,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 151,658 | $593,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 10,399 | $593,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 21,804 | $593,000 | thousands by filing date | |
| METROPOLITAN BANK HOLDING CO | 591774104 | COMMON STOCK | 19,208 | $592,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 44,648 | $590,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 28,526 | $589,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 13,079 | $588,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 78,520 | $583,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 4,580 | $583,000 | thousands by filing date | |
| LEGG MASON ETF INVT TR | 52468L604 | EMRG MKTS VOLA | 22,535 | $580,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 80,042 | $579,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 42,602 | $577,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 112,724 | $575,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J775 | BLOO PRI PWR ETF | 13,030 | $574,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 46,562 | $568,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 15,541 | $563,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 91,585 | $550,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 17,153 | $550,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 113,175 | $550,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 436,410 | $550,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 18,710 | $548,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 10,566 | $546,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 11,185 | $546,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 13,250 | $546,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 1,008 | $546,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 45,033 | $543,000 | thousands by filing date | |
| H WORLD GROUP LTD SPONSORED ADS | 44332N106 | ADR | 18,872 | $542,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 31,852 | $542,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 28,584 | $541,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 50,918 | $536,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 434,722 | $535,000 | thousands by filing date | |
| PROTEOSTASIS THERAPEUTICS IN | 74373B109 | COM | 165,126 | $535,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 121,716 | $534,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 10,755 | $529,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 40,325 | $527,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 36,888 | $525,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 11,235 | $524,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 12,300 | $523,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y475 | S&P 500 COVERED | 11,716 | $519,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 12,031 | $518,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 52,580 | $516,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 36,232 | $514,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 349,800 | $508,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 19,500 | $507,000 | thousands by filing date | put |
| RANDGOLD RES LTD | 752344309 | ADR | 6,115 | $506,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 160,106 | $505,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 10,103 | $503,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 34,757 | $499,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 107,625 | $498,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 9,183 | $497,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 13,717 | $497,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E172 | S&P SMLCP STAP | 7,188 | $497,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 36,391 | $496,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 87,651 | $496,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 29,915 | $495,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 60,933 | $495,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 12,655 | $492,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 26,542 | $488,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 11,234 | $488,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 14,888 | $487,000 | thousands by filing date | |
| TECTONIC THERAPEUTIC INC COM | 05455M100 | Stock | 29,103 | $485,000 | thousands by filing date | |
| AQUAVENTURE HLDGS LTD | G0443N107 | SHS | 25,702 | $485,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 18,970 | $484,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 199,105 | $484,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 46,417 | $484,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 34,183 | $481,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 213,117 | $481,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 7,077 | $478,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 77,350 | $475,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 19,284 | $473,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742W430 | LKD PERF BCLY | 7,907 | $473,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B396 | IQ U.S. SMALL CA | 21,114 | $471,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 11,486 | $470,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 16,228 | $470,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 21,497 | $468,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 13,266 | $468,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 44,641 | $467,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 31,292 | $466,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 87,890 | $464,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 5,870 | $463,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 51,336 | $463,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 9,450 | $463,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 19,446 | $462,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 17,776 | $461,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 47,582 | $460,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 91,648 | $459,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 31,991 | $457,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 38,640 | $457,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 35,398 | $456,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 37,650 | $455,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 116,000 | $455,000 | thousands by filing date | principal |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 17,246 | $455,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 10,000 | $454,000 | thousands by filing date | put |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 25,042 | $453,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 11,418 | $452,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 6,273 | $449,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 128,448 | $448,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 40,850 | $445,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 51,942 | $443,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 40,674 | $443,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 15,082 | $442,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 31,580 | $439,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 7,088 | $438,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 12,214 | $437,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 27,500 | $436,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 27,215 | $432,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 28,905 | $431,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 29,283 | $428,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 44,950 | $427,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 101,997 | $425,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 17,384 | $424,000 | thousands by filing date | |
| FIVE POINT HOLDINGS LLC | 33833Q106 | COM CL A | 61,073 | $423,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 16,072 | $421,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 7,011 | $421,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 4,988 | $420,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 14,749 | $419,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 11,075 | $418,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 28,710 | $418,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 19,550 | $417,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 8,388 | $414,000 | thousands by filing date | |
| COWEN GROUP INC | 223622606 | COMMON STOCK | 30,543 | $413,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 6,085 | $411,000 | thousands by filing date | |
| ATLANTICA YIELD PLC | G0751N103 | SHS | 21,634 | $411,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 18,993 | $410,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 36,671 | $410,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 22,152 | $410,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 95,864 | $410,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 12,570 | $407,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 7,664 | $407,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 25,070 | $404,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 26,020 | $403,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 12,526 | $402,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 41,045 | $400,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 30,048 | $400,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 79,843 | $399,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 7,554 | $399,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 18,928 | $398,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 116,197 | $398,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 11,541 | $398,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 38,974 | $398,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 36,487 | $396,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 19,850 | $395,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 7,831 | $392,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 31,388 | $389,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 38,900 | $388,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W430 | HEDGED HI YLD BD | 17,222 | $386,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 43,774 | $379,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 14,459 | $379,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 24,061 | $379,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 19,308 | $377,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 16,034 | $377,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 125,378 | $376,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 5,231 | $376,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 38,918 | $376,000 | thousands by filing date | |
| CERIDIAN HCM HLDG INC | 15677J108 | COM | 16,097 | $373,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 47,800 | $373,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 103,000 | $373,000 | thousands by filing date | principal |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 17,734 | $371,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 19,951 | $370,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 14,867 | $370,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 28,507 | $367,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 22,395 | $367,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 20,237 | $363,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 49,806 | $360,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 47,542 | $358,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 20,040 | $357,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 6,827 | $355,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 20,599 | $355,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 13,794 | $353,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 35,563 | $352,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 28,031 | $349,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 18,517 | $348,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 23,501 | $348,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 8,645 | $347,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 37,302 | $346,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 74,771 | $345,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 42,709 | $344,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 6,413 | $343,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 72,566 | $342,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 91,534 | $342,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 7,483 | $341,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 340,534 | $340,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 14,223 | $339,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 61,194 | $339,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 104,335 | $338,000 | thousands by filing date | |
| TALOS ENERGY INC | 87484T108 | COM | 20,706 | $338,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 6,182 | $338,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 17,949 | $336,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 14,838 | $333,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 8,612 | $331,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 3,318 | $330,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 37,482 | $329,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 8,950 | $326,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 5,950 | $325,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 12,860 | $324,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 6,241 | $323,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 12,804 | $323,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 22,929 | $321,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 11,767 | $320,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 15,599 | $319,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 7,356 | $318,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 13,570 | $316,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 29,879 | $314,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 114,776 | $311,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 20,188 | $310,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 15,687 | $306,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 21,777 | $306,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 20,650 | $304,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 21,025 | $304,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 2,707 | $304,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 11,693 | $302,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 5,726 | $301,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 32,798 | $301,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 20,995 | $300,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 16,725 | $299,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 22,125 | $298,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 23,860 | $298,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 101,928 | $298,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 15,115 | $296,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 14,173 | $296,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 10,321 | $295,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 28,085 | $293,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 5,082 | $293,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 33,778 | $291,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 75,013 | $290,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 50,551 | $290,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 8,427 | $290,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 23,214 | $288,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 9,689 | $287,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 8,679 | $287,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 6,483 | $287,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 4,015 | $287,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 5,914 | $285,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 3,615 | $285,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U836 | UNIT 08/15/2019 | 5,925 | $284,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 24,923 | $283,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 15,628 | $281,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 12,505 | $281,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 21,714 | $279,000 | thousands by filing date | |
| BANCO SANTANDER MEXICO SA | 05969B103 | SPONSORED ADS B | 44,941 | $278,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 21,944 | $277,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 41,178 | $275,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 17,100 | $275,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 4,366 | $275,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 50,196 | $270,000 | thousands by filing date | |
| SAFETY INCOME & GROWTH INC | 78649D104 | COM | 14,335 | $270,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 17,808 | $269,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 16,373 | $269,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 113,472 | $268,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,693 | $268,000 | thousands by filing date | |
| INVESCO TR II ETF S&P 500 EMERGING MKTS LOW VOLATILITY | 46138E297 | ETF | 11,695 | $266,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 31,167 | $264,000 | thousands by filing date | |
| MIDLAND STATES BANCORP INC | 597742105 | COMMON STOCK | 11,735 | $262,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 16,359 | $259,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 60,763 | $258,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 23,133 | $257,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 35,791 | $257,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 49,910 | $256,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 6,408 | $255,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 18,082 | $255,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 8,927 | $254,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 59,278 | $253,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 11,574 | $245,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 10,112 | $244,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 19,363 | $244,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 19,503 | $241,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 10,108 | $241,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 43,183 | $238,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 7,751 | $238,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 28,560 | $237,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 16,717 | $235,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 13,683 | $235,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 58,098 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 4,153 | $233,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 62,823 | $233,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 4,215 | $227,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 19,512 | $226,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | 500688106 | COM | 55,470 | $226,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 15,321 | $225,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 47,559 | $224,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 27,085 | $224,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 3,604 | $222,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 3,644 | $222,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 11,764 | $222,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 12,836 | $221,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 29,354 | $221,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 42,369 | $217,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 9,978 | $216,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 17,111 | $216,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 9,069 | $216,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 8,478 | $215,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 6,136 | $214,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 215,000 | $213,000 | thousands by filing date | principal |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 5,016 | $212,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 106,014 | $212,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 56,979 | $210,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 6,150 | $210,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,900 | $208,000 | thousands by filing date | call |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 12,241 | $207,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 7,260 | $207,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 9,886 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 5,537 | $205,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,630 | $204,000 | thousands by filing date | |
| AXA EQUITABLE HLDGS INC | 054561105 | COM | 12,261 | $203,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 29,677 | $201,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 14,770 | $201,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 12,260 | $200,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793104 | COM | 201,825 | $196,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 81,650 | $195,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 23,640 | $194,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 17,370 | $194,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 17,036 | $193,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 70,801 | $193,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 21,618 | $193,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 19,679 | $192,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 66,318 | $190,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 11,859 | $188,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 26,759 | $188,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 21,214 | $188,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 20,191 | $186,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 13,637 | $184,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 15,833 | $184,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 28,070 | $182,000 | thousands by filing date | |
| READY CAPITAL CORP | 75574U101 | COM | 13,109 | $181,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 17,507 | $180,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 24,179 | $180,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 20,610 | $174,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 30,075 | $171,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,055 | $171,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 18,829 | $168,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 15,934 | $168,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 13,757 | $167,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 13,881 | $166,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 57,227 | $166,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 4,213 | $163,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 53,979 | $163,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 185,000 | $163,000 | thousands by filing date | principal |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 14,754 | $161,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 10,787 | $158,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 28,350 | $158,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 263,976 | $158,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 9,000 | $157,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 11,000 | $156,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 6,590 | $156,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 427,434 | $156,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,661 | $155,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 14,012 | $155,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 4,701 | $154,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 14,488 | $154,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 59,469 | $153,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 12,420 | $152,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 38,372 | $151,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 14,341 | $151,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 14,007 | $150,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 18,418 | $149,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 160,000 | $149,000 | thousands by filing date | principal |
| CUSHING RENAISSANCE FD | 231647108 | COM | 10,972 | $147,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 15,432 | $144,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 12,285 | $144,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 10,596 | $142,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 10,955 | $140,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 78,170 | $140,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 10,808 | $138,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 16,672 | $137,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 17,219 | $136,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-001995 | this filing | 2019-02-14 | acceptance time not in the bulk data set |