13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-14, with 3,716 holding rows worth $223,253,931,000.
- Accession
- 0000950123-19-008074
- Filer
- CIK 820027
- Filed
- 2019-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A combination report, 9,326 entries on the cover page, a total value of $223,253,931,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $223,253,931,000 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 Bank, FSB 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 Bank, FSB 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 |
|---|---|---|---|---|---|---|
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 11,426 | $280,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 18,013 | $279,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 59,262 | $277,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 15,794 | $277,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 9,488 | $274,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 2,679 | $274,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 26,799 | $273,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 6,727 | $273,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 37,600 | $272,000 | thousands by filing date | call |
| TIPTREE INC | 88822Q103 | COM | 43,008 | $271,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 108,645 | $271,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $270,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 65 | $269,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 5,302 | $267,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 32,456 | $267,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 15,261 | $267,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 47,879 | $265,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 6,926 | $264,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 3,898 | $264,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 5,643 | $263,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 26,080 | $262,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 20,257 | $261,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 15,584 | $261,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 50,681 | $260,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 20,358 | $258,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 37,145 | $257,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 11,263 | $255,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 28,549 | $255,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 28,486 | $253,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 31,900 | $252,000 | thousands by filing date | put |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 2,640 | $252,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 11,641 | $251,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 8,612 | $251,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 6,426 | $250,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,802 | $249,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 6,867 | $249,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 8,422 | $249,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 5,321 | $248,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 9,538 | $247,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 45,479 | $246,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 69,130 | $245,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 20,391 | $244,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 5,959 | $242,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 18,191 | $242,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 4,646 | $242,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 21,345 | $240,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 6,653 | $240,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 17,632 | $239,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 15,089 | $238,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 5,102 | $236,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 13,615 | $236,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 4,334 | $235,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 3,092 | $232,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 9,322 | $232,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,702 | $232,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC NEW COM | 84790A105 | Stock | 4,298 | $231,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 6,176 | $231,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 5,138 | $230,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 59,000 | $230,000 | thousands by filing date | principal |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 14,720 | $228,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 225,000 | $227,000 | thousands by filing date | principal |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 8,103 | $225,000 | thousands by filing date | |
| JELD-WEN HLDG INC | 47580P103 | COM | 10,535 | $223,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 5,243 | $223,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 5,759 | $223,000 | thousands by filing date | |
| INVESCO QQQ TR | 46090E103 | COM | 1,200 | $222,000 | thousands by filing date | call |
| AFFIMED N V | N01045108 | COM | 77,300 | $222,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 16,696 | $221,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 51,502 | $219,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 104,125 | $218,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 10,294 | $215,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 235,000 | $215,000 | thousands by filing date | principal |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 7,693 | $214,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 9,360 | $210,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 22,491 | $209,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 8,264 | $209,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 2,896 | $207,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 12,226 | $207,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 19,201 | $207,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 16,998 | $207,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 47,633 | $206,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,046 | $206,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 4,124 | $205,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 25,070 | $204,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 26,720 | $203,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 7,168 | $202,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 14,518 | $201,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 81,336 | $199,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 16,039 | $198,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 49,750 | $198,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 10,800 | $196,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,645 | $193,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 49,400 | $191,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 11,172 | $191,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 22,734 | $189,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 12,866 | $188,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 35,459 | $186,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 14,509 | $185,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 17,954 | $182,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 14,848 | $173,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 50,541 | $173,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 76,204 | $172,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 47,531 | $172,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,055 | $171,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 13,540 | $170,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 10,008 | $170,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 67,300 | $168,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 49,130 | $167,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 91,156 | $164,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 29,597 | $164,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 11,453 | $163,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 11,011 | $163,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 12,845 | $161,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 39,866 | $161,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 15,598 | $160,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 11,300 | $159,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 14,234 | $159,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 10,957 | $159,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 12,380 | $159,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 10,174 | $156,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 3,800 | $149,000 | thousands by filing date | put |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 11,500 | $149,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 13,347 | $148,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 17,410 | $148,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 11,382 | $147,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 12,888 | $147,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 160,000 | $147,000 | thousands by filing date | principal |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 15,693 | $146,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 15,423 | $146,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 12,520 | $145,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 13,727 | $144,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 10,006 | $141,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 17,595 | $141,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 28,956 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 15,160 | $139,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 183,281 | $138,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 25,419 | $134,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 53,479 | $132,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 13,818 | $129,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 12,017 | $129,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 13,832 | $128,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 12,542 | $126,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 17,951 | $126,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 10,262 | $126,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 23,000 | $125,000 | thousands by filing date | principal |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 16,868 | $121,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,104 | $119,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,214 | $119,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 37,054 | $119,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 24,772 | $116,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 23,680 | $115,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 27,650 | $115,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 20,019 | $115,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 22,935 | $113,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 19,600 | $111,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $107,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 34,081 | $106,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 19,614 | $103,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 14,397 | $103,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 17,005 | $102,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 10,000 | $99,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 10,279 | $98,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 10,234 | $96,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 11,420 | $96,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 12,503 | $95,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 41,000 | $93,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 10,605 | $92,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 11,521 | $92,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 15,134 | $90,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,047 | $90,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 10,790 | $86,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 25,700 | $85,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,369 | $83,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 3,600 | $82,000 | thousands by filing date | call |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 34,741 | $82,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 800 | $82,000 | thousands by filing date | put |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 80,000 | $80,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 121,311 | $79,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 10,598 | $77,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 70,000 | $69,000 | thousands by filing date | principal |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 14,084 | $65,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 12,500 | $61,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 10,936 | $60,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 1,200 | $60,000 | thousands by filing date | call |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 19,751 | $58,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 11,500 | $55,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 30,920 | $54,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 69,110 | $50,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 16,650 | $49,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 20,195 | $46,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,683 | $43,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 10,128 | $38,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 12,167 | $37,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 14,000 | $37,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 14,366 | $35,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,580 | $34,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 14,450 | $34,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 10,877 | $32,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 11,185 | $31,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 26,000 | $26,000 | thousands by filing date | principal |
| 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 | $22,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,931 | $18,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 10,000 | $16,000 | thousands by filing date | |
| OPGEN INC | 68373L208 | COM NEW | 40,850 | $16,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,754 | $15,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $15,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 26,152 | $13,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 14,590 | $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 |
| POLYMET MINING CORP | 731916102 | COM | 25,032 | $11,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $10,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,800 | $10,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 17,159 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 13,504 | $8,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-008074 | this filing | 2019-08-14 | acceptance time not in the bulk data set |