13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 3,702 holding rows worth $223,151,276,000.
- Accession
- 0000950123-19-011446
- Filer
- CIK 820027
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A combination report, 9,290 entries on the cover page, a total value of $223,151,276,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $223,151,276,000 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 |
|---|---|---|---|---|---|---|
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 29,801 | $246,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 26,761 | $245,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 15,152 | $245,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 27,449 | $244,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 8,716 | $243,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 5,355 | $239,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 8,773 | $239,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 3,505 | $239,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 8,410 | $237,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,897 | $234,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 15,448 | $233,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 14,098 | $231,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,940 | $231,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 13,741 | $231,000 | thousands by filing date | |
| SPDR S&P 500 Fossil Fuel Reserves Free ETF | 78468R796 | SHS | 3,164 | $230,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 16,779 | $230,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 78,100 | $230,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 225,000 | $226,000 | thousands by filing date | principal |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 43,128 | $225,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 200,000 | $225,000 | thousands by filing date | principal |
| DYNEX CAP INC | 26817Q886 | COM | 15,125 | $224,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 5,671 | $222,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 3,750 | $222,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 6,313 | $221,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 16,346 | $221,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 2,039 | $220,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 4,950 | $219,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 13,615 | $218,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 50,465 | $218,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 14,055 | $216,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V647 | SEMICONDUCTORS | 3,728 | $216,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 117,411 | $216,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 15,225 | $215,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 5,405 | $215,000 | thousands by filing date | |
| AUDENTES THERAPEUTICS INC. | 05070R104 | Common Stock | 7,620 | $214,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 7,768 | $213,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 23,938 | $213,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 8,212 | $213,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 4,346 | $211,000 | thousands by filing date | |
| INVESCO DB MULTI ETF SECTOR COMMODITY TRUST BASE METALS FUND | 46140H700 | ETF | 14,278 | $211,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 8,264 | $211,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 13,306 | $209,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 4,019 | $208,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 4,582 | $208,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 17,806 | $207,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 6,661 | $207,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 26,437 | $206,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 46,005 | $205,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 4,024 | $203,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 820 | $203,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 16,457 | $203,000 | thousands by filing date | |
| Goldman Sachs Equal Weight U.S. Large Cap Equity ETF | 381430438 | SHS | 4,240 | $201,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 60,000 | $201,000 | thousands by filing date | principal |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,434 | $200,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 9,775 | $200,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 9,300 | $198,000 | thousands by filing date | call |
| ARDAGH GROUP S A | L0223L101 | COM | 12,597 | $198,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 62,218 | $196,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 14,631 | $195,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 40,725 | $195,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 12,207 | $193,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 20,631 | $193,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 12,527 | $192,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 15,362 | $192,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 27,699 | $191,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 13,300 | $191,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 25,084 | $190,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 21,962 | $190,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 10,211 | $188,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 21,659 | $188,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 18,280 | $188,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 10,578 | $186,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 20,021 | $184,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 60,054 | $183,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 38,487 | $181,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,696 | $181,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 16,931 | $180,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 12,324 | $179,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 12,517 | $179,000 | thousands by filing date | |
| AVAYA HLDGS CORP | 05351XAB7 | NOTE 2.250% 6/1 | 210,000 | $179,000 | thousands by filing date | principal |
| ELEMENT SOLUTIONS INC COM | 28618M106 | Stock | 17,476 | $178,000 | thousands by filing date | |
| THE STARS GROUP INC | 85570W100 | COMMON STOCK-FO | 11,854 | $178,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 17,641 | $171,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 19,105 | $170,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 45,856 | $166,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 69,994 | $165,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 16,273 | $164,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 53,830 | $164,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 22,974 | $164,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 15,077 | $163,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 10,675 | $163,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 12,324 | $161,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 11,445 | $161,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 11,421 | $160,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 23,110 | $160,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 14,970 | $158,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 13,481 | $158,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,055 | $157,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 12,888 | $157,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 33,634 | $154,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 12,596 | $150,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 11,281 | $150,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 10,332 | $150,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 82,736 | $146,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 16,194 | $146,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 10,225 | $146,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 68,810 | $145,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 32,359 | $142,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 25,000 | $138,000 | thousands by filing date | principal |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 16,943 | $137,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 34,801 | $133,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 10,277 | $132,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 10,738 | $130,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 12,846 | $128,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 21,000 | $128,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 33,947 | $125,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 10,367 | $125,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 11,393 | $125,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 12,395 | $124,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 14,668 | $123,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 20,405 | $119,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,169 | $119,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 16,945 | $118,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 10,899 | $115,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 33,992 | $114,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 10,081 | $110,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 12,553 | $108,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 34,404 | $106,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 12,313 | $105,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 31,054 | $104,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 44,215 | $104,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 11,420 | $102,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 19,009 | $101,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 10,111 | $99,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 182,206 | $99,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $98,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 40,516 | $96,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 15,166 | $88,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 15,885 | $88,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 17,018 | $87,000 | thousands by filing date | |
| LIVERAMP HLDGS INC COM | 53815P108 | Stock | 2,000 | $86,000 | thousands by filing date | put |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 11,260 | $84,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 31,673 | $82,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 21,130 | $82,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 28,000 | $80,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 59,267 | $79,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 10,826 | $78,000 | thousands by filing date | |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 800 | $78,000 | thousands by filing date | put |
| APHRIA INC | 03765K104 | COM | 14,545 | $75,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 23,899 | $70,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 11,655 | $69,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 70,000 | $69,000 | thousands by filing date | principal |
| APTINYX INC | 03836N103 | COM | 19,391 | $68,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 16,097 | $66,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 20,872 | $66,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 21,200 | $65,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 10,431 | $65,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 15,600 | $62,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 14,488 | $61,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 34,022 | $59,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 21,640 | $57,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,767 | $57,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 14,084 | $55,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 24,125 | $55,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 10,656 | $54,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 10,400 | $52,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 20,748 | $50,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 18,241 | $49,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 30,920 | $48,000 | thousands by filing date | |
| COMMUNICATIONS SYSTEMS INC | 203900105 | COM | 10,438 | $48,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 11,390 | $45,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,000 | $44,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 65,510 | $44,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 11,527 | $43,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 15,450 | $42,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 18,683 | $38,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,000 | $33,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 13,543 | $32,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 19,485 | $31,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 10,746 | $30,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 27,000 | $28,000 | thousands by filing date | principal |
| VEON LTD | 91822M106 | SPONSORED ADR | 11,248 | $27,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,333 | $27,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 34,121 | $21,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 16,000 | $19,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 11,205 | $19,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 13,382 | $19,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $16,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 49,347 | $16,000 | thousands by filing date | |
| NEUROTROPE INC | 64129T207 | COM NEW | 17,000 | $14,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 25,025 | $13,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 19,629 | $11,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 12,000 | $11,000 | thousands by filing date | principal |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 14,975 | $10,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 15,113 | $10,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 13,504 | $8,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 18,200 | $8,000 | thousands by filing date | |
| BIOCEPT INC | 09072V402 | COM PAR | 10,000 | $8,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $6,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,754 | $6,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 15,807 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-011446 | this filing | 2019-11-14 | acceptance time not in the bulk data set |