13F-HR filed by Nuveen Asset Management, LLC
Nuveen Asset Management, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 3,219 holding rows worth $247,091,985,000.
- Accession
- 0000950123-19-011451
- Filer
- CIK 1521019
- 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, 7,300 entries on the cover page, a total value of $247,091,985,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $247,112,319,000 with VALUE read as thousands by filing date, 13F file number 028-14498. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerNuveen Investments, Inc. 028-11405
- reports for this filerNuveen Fund Advisors, LLC 028-11710
- reports for this filerTIAA-CREF Investment Management, LLC 028-03194
- reports for this filerTeachers Advisors, LLC 028-04800
- reports for this filerSanta Barbara Asset Management, LLC 028-11405
- reports for this filerTeachers Insurance & Annuity Association of America 028-00331
- reports for this filerRussell Investments Group, Ltd 028-17598
- included managerNuveen Investments, Inc. 028-11405
- included managerNuveen Fund Advisors, LLC 028-11710
- included managerTIAA-CREF Investment Management, LLC 028-03194
- included managerTeachers Advisors, LLC 028-04800
- included managerSanta Barbara Asset Management, LLC 028-11405
- included managerTeachers Insurance & Annuity Association of America 028-00331
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 |
|---|---|---|---|---|---|---|
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 21,489 | $414,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 52,608 | $413,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 32,187 | $409,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 113,135 | $407,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 31,411 | $406,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 178,283 | $399,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 37,578 | $398,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 329,826 | $396,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 62,222 | $394,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 74,519 | $393,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 61,441 | $392,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 26,189 | $391,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 35,903 | $391,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 192,797 | $389,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 171,684 | $388,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 23,626 | $383,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 199,639 | $382,000 | thousands by filing date | |
| SUNNOVA ENERGY INTERNATIONAL I | 86745K104 | COM | 35,001 | $376,000 | thousands by filing date | |
| KALA BIO INC COM | 483119103 | Stock | 98,752 | $376,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 26,724 | $376,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 38,741 | $375,000 | thousands by filing date | |
| EVERQUOTE INC | 30041R108 | COM CL A | 17,517 | $374,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 32,200 | $374,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 212,636 | $372,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 86,240 | $363,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 28,963 | $362,000 | thousands by filing date | |
| ALTUS MIDSTREAM CO | 02215L100 | CL A | 125,965 | $357,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 69,197 | $354,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 40,097 | $354,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 14,968 | $351,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 27,616 | $349,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 110,195 | $348,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 40,740 | $347,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 22,529 | $345,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 34,560 | $338,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 38,288 | $335,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 42,814 | $335,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 8,128 | $334,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 51,748 | $331,000 | thousands by filing date | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 23,834 | $330,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 631,750 | $321,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 72,646 | $321,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 54,700 | $319,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 37,667 | $319,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 27,264 | $317,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375106 | COM | 25,411 | $316,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 20,200 | $312,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 25,349 | $311,000 | thousands by filing date | |
| MOLECULAR TEMPLATES INC | 608550109 | COM | 47,332 | $311,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 36,697 | $305,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 20,737 | $303,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,217 | $302,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 254,564 | $302,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 24,407 | $299,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 119,057 | $296,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 175,232 | $294,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 37,583 | $293,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 160,934 | $292,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 35,128 | $291,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 4,969 | $287,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 15,284 | $285,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 26,104 | $284,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 89,451 | $281,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 82,838 | $276,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 12,240 | $276,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 30,036 | $275,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 133,877 | $273,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 134,825 | $270,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 82,307 | $268,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 67,176 | $267,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 76,256 | $265,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 5,693 | $265,000 | thousands by filing date | |
| CONSTELLATION PHARMACEUTICALS INC. | 210373106 | Common Stock | 41,050 | $265,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 15,499 | $264,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 40,786 | $264,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 35,600 | $263,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 10,212 | $262,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 202,741 | $261,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 71,498 | $259,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 10,107 | $259,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 50,252 | $259,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 106,978 | $258,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 28,234 | $257,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 15,933 | $254,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 38,708 | $253,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 13,584 | $252,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 28,564 | $252,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 87,464 | $248,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 15,078 | $247,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 43,868 | $247,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 4,314 | $244,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 17,092 | $244,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 53,500 | $240,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 16,872 | $238,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 15,435 | $238,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 19,662 | $237,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 53,547 | $234,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 9,771 | $232,000 | thousands by filing date | |
| DNB Financial Corporation | 233237106 | Common Stock | 5,168 | $230,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 6,445 | $229,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 24,131 | $227,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 119,497 | $227,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 11,286 | $227,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 70,177 | $227,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 7,486 | $225,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 6,847 | $224,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 56,577 | $224,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 10,592 | $223,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 1,809 | $222,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 116,891 | $220,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 14,600 | $219,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 28,600 | $218,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 4,700 | $217,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 9,151 | $217,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 73,896 | $217,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 15,749 | $215,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 182,318 | $215,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 10,917 | $213,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 13,709 | $212,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 34,395 | $210,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 7,968 | $209,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 7,179 | $209,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 8,718 | $208,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 55,467 | $207,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 10,446 | $205,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 18,718 | $202,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 61,039 | $200,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 133,125 | $200,000 | thousands by filing date | |
| SOUTH PLAINS FINANCIAL INC | 83946P107 | COM | 11,807 | $192,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 57,587 | $190,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 42,100 | $189,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 37,321 | $188,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 80,812 | $186,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 127,989 | $181,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 130,205 | $178,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 26,487 | $174,000 | thousands by filing date | |
| PING IDENTITY HOLDING CORP | 72341T103 | COMMON STOCK | 10,000 | $173,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 11,006 | $173,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 107,809 | $171,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 11,060 | $170,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 28,900 | $166,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 38,894 | $162,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 13,711 | $161,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 63,492 | $158,000 | thousands by filing date | |
| Sohu.Com Ltd-Adr | 83410S108 | COM | 15,400 | $156,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 10,644 | $152,000 | thousands by filing date | |
| Roadrunner Transportation Systems Inc | 76973Q204 | USD | 14,220 | $147,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 1,500,000 | $146,000 | thousands by filing date | principal |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 109,247 | $146,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 13,456 | $144,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 75,800 | $142,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 47,900 | $141,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 66,896 | $141,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 14,105 | $137,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 34,258 | $129,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 36,072 | $128,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 115,438 | $125,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 11,730 | $125,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 10,109 | $124,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 63,473 | $124,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 10,380 | $120,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 13,584 | $114,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,203 | $114,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 50,028 | $110,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 37,100 | $108,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 14,865 | $106,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 10,900 | $105,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 61,206 | $105,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 14,395 | $104,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 11,505 | $104,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 220,378 | $104,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 12,400 | $104,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 27,600 | $102,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 54,586 | $102,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 31,600 | $101,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 81,431 | $100,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 52,072 | $99,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 10,249 | $94,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 40,197 | $88,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 14,300 | $85,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 10,993 | $82,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 120,987 | $80,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 10,694 | $75,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 35,000 | $74,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 10,300 | $73,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 33,397 | $71,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 28,100 | $70,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 11,728 | $68,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 31,517 | $63,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 16,700 | $60,000 | thousands by filing date | |
| X FINL SPONSORED ADS | 98372W103 | ADR | 25,300 | $57,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 10,600 | $56,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 12,281 | $55,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 27,421 | $53,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 17,500 | $52,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 12,570 | $51,000 | thousands by filing date | |
| AURORA MOBILE LTD | 051857100 | ADS | 11,200 | $45,000 | thousands by filing date | |
| FANG HLDGS LTD | 30711Y201 | ADR NEW | 19,639 | $44,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 19,639 | $44,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 18,500 | $42,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 10,452 | $33,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 247,708 | $26,000 | thousands by filing date | principal |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 430,058 | $24,000 | thousands by filing date | principal |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 400,000 | $21,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F796 | COM | 400,000 | $20,000 | thousands by filing date | principal |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 16,117 | $20,000 | thousands by filing date | principal |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 18,700 | $19,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 145,640 | $18,000 | thousands by filing date | principal |
| CENTERPOINT ENERGY INC | 15189T503 | DEP RP PFD CV B | 313,184 | $16,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 150,000 | $15,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 111,130 | $13,000 | thousands by filing date | principal |
| GLOBALSTAR INC | 378973408 | COM | 27,780 | $11,000 | thousands by filing date | |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 297,981 | $6,000 | thousands by filing date | principal |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 135,803 | $4,000 | thousands by filing date | principal |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 61,546 | $4,000 | thousands by filing date | principal |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 53,746 | $3,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851505 | PFD | 29,517 | $3,000 | thousands by filing date | principal |
| WINDSTREAM HLDGS INC | 97382A309 | COM PAR | 10,037 | $2,000 | thousands by filing date | |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 51,181 | $1,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-19-011451 | this filing | 2019-11-14 | acceptance time not in the bulk data set |