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 |
|---|---|---|---|---|---|---|
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 66,337 | $136,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 59,366 | $136,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 12,125 | $134,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,731 | $134,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 35,928 | $133,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 25,044 | $131,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 24,636 | $129,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 10,419 | $129,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 20,246 | $128,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 14,850 | $124,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,964 | $123,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 25,786 | $123,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 13,565 | $122,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 130,000 | $122,000 | thousands by filing date | principal |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 11,813 | $120,000 | thousands by filing date | |
| FUNKO INC CLASS A | 361008105 | COMMON STOCK | 10,306 | $120,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,854 | $120,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 12,130 | $119,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 14,346 | $118,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 17,748 | $118,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 10,215 | $116,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 21,412 | $114,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 1,032 | $112,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 14,569 | $111,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,646 | $111,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 25,700 | $108,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 18,340 | $107,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 20,670 | $106,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 11,840 | $105,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 11,200 | $105,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 4,050 | $100,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 13,400 | $100,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 10,500 | $98,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 11,022 | $97,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 34,582 | $96,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 13,100 | $95,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 59,210 | $94,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $93,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 22,509 | $89,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 12,650 | $88,000 | thousands by filing date | |
| FLEX PHARMA INC | 33938A105 | COM | 270,187 | $88,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 27,448 | $86,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 27,500 | $86,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 30,359 | $86,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 36,145 | $85,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 17,435 | $85,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,910 | $84,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 10,000 | $83,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 11,800 | $81,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 109,903 | $80,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 901 | $79,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 31,474 | $78,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 179,300 | $78,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 17,900 | $74,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 24,418 | $73,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 13,980 | $73,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 25,416 | $73,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 20,120 | $72,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 14,479 | $71,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q886 | DIVERSFED RTRN | 1,200 | $69,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 10,950 | $67,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 1,559 | $66,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 137,534 | $66,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 70,000 | $64,000 | thousands by filing date | principal |
| TELENAV INC | 879455103 | COMMON STOCK | 14,125 | $57,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 1,733 | $55,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 55,000 | $55,000 | thousands by filing date | principal |
| GOPRO INC | 38268T103 | CL A | 12,743 | $54,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 94,104 | $54,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 10,325 | $53,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 14,279 | $51,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 28,120 | $51,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 59,367 | $50,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 11,369 | $49,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 34,405 | $49,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 1,419 | $47,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 10,000 | $44,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 12,265 | $44,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 23,200 | $41,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 14,650 | $39,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 12,420 | $36,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 16,991 | $35,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 48,400 | $34,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 17,926 | $32,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,980 | $31,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 25,055 | $28,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 11,974 | $28,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,128 | $25,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 68,084 | $25,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 20,000 | $22,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 297 | $19,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 403 | $18,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,750 | $18,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 293 | $16,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 35,074 | $16,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,615 | $15,000 | thousands by filing date | |
| CHINA NEW BORUN CORP | 16890T105 | ADR | 23,060 | $15,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 12,000 | $15,000 | thousands by filing date | principal |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 530 | $14,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,835 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,712 | $14,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 2,500 | $14,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 1,000 | $14,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 500 | $13,000 | thousands by filing date | |
| ISHARES INC MSCI SPAIN ETF | 464286764 | MSCI SPAIN ETF | 447 | $12,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 12,000 | $12,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 12,000 | $11,000 | thousands by filing date | principal |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,509 | $11,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 581 | $9,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $8,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 11,100 | $8,000 | thousands by filing date | |
| SWITCH INC | 87105L104 | CL A | 1,100 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,000 | $6,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 1,000 | $6,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,725 | $6,000 | thousands by filing date | |
| VANECK VECTORS ETF TRUST | 92189F288 | ENERGY INCOME | 306 | $5,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $5,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 40,025 | $4,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 76 | $3,000 | thousands by filing date | |
| STITCH FIX INC | 860897107 | COM CL A | 153 | $3,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 12,700 | $3,000 | thousands by filing date | |
| UPLAND SOFTWARE INC | 91544A109 | COMMON STOCK | 111 | $3,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 241 | $3,000 | thousands by filing date | |
| ISHARES TR | 46435G862 | MSCI UN KNGDOM | 126 | $3,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 26,000 | $3,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 64 | $2,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 81 | $2,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 127 | $2,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 30 | $2,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 146 | $2,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 115 | $2,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750201 | COM NEW | 11,400 | $2,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 61 | $1,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 95 | $1,000 | 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 | |
| TERRENO RLTY CORP | 88146M101 | COM | 38 | $1,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 54 | $1,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 17 | $1,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 53 | $1,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 700 | $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. |
| LANDS END INC | 51509F105 | COMMON STOCK | 21 | $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. |
| 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. |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 107 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 10,956 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |