13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2019-03-31, filed 2019-05-15, with 3,685 holding rows worth $217,418,067,000.
- Accession
- 0000950123-19-005250
- Filer
- CIK 820027
- Filed
- 2019-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2019
A combination report, 9,088 entries on the cover page, a total value of $217,418,067,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $217,418,067,000 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 028-18942
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 |
|---|---|---|---|---|---|---|
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 36,900 | $244,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 6,536 | $243,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 9,955 | $241,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 11,821 | $240,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 2,022 | $238,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C807 | S&P FINCIAL REVE | 3,795 | $238,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,929 | $237,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 17,779 | $236,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 16,367 | $236,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 261,335 | $235,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 21,737 | $233,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 17,224 | $233,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 20,197 | $233,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 6,865 | $232,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 7,815 | $232,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 2,610 | $231,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 36,739 | $230,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 11,764 | $230,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 14,706 | $228,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 12,420 | $227,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 17,654 | $226,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 225,000 | $226,000 | thousands by filing date | principal |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 8,178 | $225,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 17,932 | $225,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 7,605 | $223,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 3,747 | $222,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 8,759 | $222,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 9,492 | $221,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 235,000 | $219,000 | thousands by filing date | principal |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 4,224 | $217,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 22,218 | $216,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 51,953 | $214,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 33,583 | $213,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 16,607 | $213,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 2,333 | $213,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 25,049 | $213,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 16,379 | $213,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,168 | $211,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 4,682 | $210,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 10,280 | $208,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 6,289 | $208,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 8,217 | $208,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 49,500 | $208,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 10,659 | $207,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 17,036 | $207,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 18,223 | $206,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 7,699 | $205,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 4,019 | $204,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 5,301 | $204,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 1,927 | $204,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 9,359 | $204,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 8,264 | $204,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 4,649 | $203,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 11,794 | $202,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 17,176 | $200,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 6,064 | $200,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 65,961 | $199,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 12,288 | $196,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,055 | $195,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 14,464 | $194,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 10,345 | $191,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 11,095 | $191,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 21,930 | $190,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 11,088 | $187,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 10,079 | $185,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 20,475 | $184,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 10,015 | $182,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 104,835 | $179,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 14,340 | $176,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 46,230 | $176,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 28,070 | $176,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 59,210 | $175,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 14,118 | $173,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 21,916 | $172,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 14,488 | $172,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 18,117 | $169,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 12,890 | $169,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 12,124 | $168,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 15,905 | $168,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 54,574 | $167,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 15,638 | $166,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,719 | $165,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 12,594 | $165,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 12,710 | $163,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 16,672 | $163,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 21,786 | $162,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 18,092 | $161,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 56,541 | $160,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,177 | $156,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 25,044 | $154,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 21,214 | $154,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 17,910 | $153,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 26,015 | $151,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 14,240 | $151,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 24,919 | $150,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 160,000 | $149,000 | thousands by filing date | principal |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 16,465 | $148,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,291 | $148,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 12,252 | $147,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 17,340 | $146,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,765 | $145,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 14,933 | $144,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 15,693 | $144,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 13,151 | $142,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 10,500 | $141,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 17,900 | $141,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 14,078 | $140,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 51,270 | $137,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 46,903 | $135,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 10,090 | $130,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 12,590 | $129,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 15,200 | $127,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 19,229 | $126,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 13,400 | $126,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 15,900 | $124,000 | thousands by filing date | call |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,582 | $123,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,679 | $119,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 29,677 | $117,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,905 | $110,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 20,670 | $108,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 33,362 | $103,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 11,539 | $102,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 10,742 | $100,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $99,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 18,095 | $99,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 17,522 | $97,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 16,603 | $96,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 12,591 | $95,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 25,700 | $94,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 28,838 | $93,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 11,300 | $90,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 23,412 | $88,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 139,234 | $87,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 14,125 | $86,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 121,582 | $85,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 44,000 | $84,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 30,643 | $80,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 23,948 | $80,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 10,220 | $80,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 10,594 | $80,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 80,000 | $80,000 | thousands by filing date | principal |
| GOPRO INC | 38268T103 | CL A | 12,186 | $79,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 13,170 | $79,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 123,003 | $78,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 21,455 | $78,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 27,835 | $68,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 70,000 | $67,000 | thousands by filing date | principal |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 18,321 | $65,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,200 | $60,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,670 | $60,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 69,110 | $60,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,683 | $55,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 4,400 | $50,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 30,920 | $46,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 17,937 | $43,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 30,491 | $42,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,128 | $42,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 11,420 | $40,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 20,120 | $40,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 14,605 | $39,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 14,850 | $36,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,295 | $32,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,133 | $30,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 10,000 | $29,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 44,251 | $28,000 | thousands by filing date | |
| OPGEN INC | 68373L208 | COM NEW | 47,116 | $28,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 10,000 | $25,000 | thousands by filing date | principal |
| BIOCEPT INC | 09072V402 | COM PAR | 20,000 | $23,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 20,855 | $21,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,754 | $20,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,959 | $17,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 16,000 | $16,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 12,000 | $15,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 27,257 | $12,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,712 | $12,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 12,000 | $11,000 | thousands by filing date | principal |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 13,926 | $10,000 | thousands by filing date | |
| AVINGER INC | 053734208 | COM NEW | 10,025 | $10,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $9,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,800 | $9,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 15,989 | $9,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,725 | $9,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,000 | $7,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 21,053 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-005250 | this filing | 2019-05-15 | acceptance time not in the bulk data set |