13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 3,703 holding rows worth $240,566,532,000.
- Accession
- 0000950123-20-002286
- Filer
- CIK 820027
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A combination report, 9,313 entries on the cover page, a total value of $240,566,532,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $240,566,532,000 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 |
|---|---|---|---|---|---|---|
| PG&E CORP COM | 69331C108 | Stock | 25,621 | $278,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 21,031 | $277,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 7,301 | $277,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 14,600 | $277,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 139 | $275,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 4,417 | $275,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 56,723 | $273,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 5,345 | $271,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 15,165 | $270,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 17,107 | $270,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 14,874 | $270,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 29,459 | $269,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 13,344 | $268,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 2,000 | $267,000 | thousands by filing date | put |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 20,391 | $264,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 4,370 | $263,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G680 | S&P FINCIAL REVE | 3,505 | $259,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 3,615 | $258,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 18,032 | $257,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 32,984 | $257,000 | thousands by filing date | |
| PROGYNY INC COM | 74340E103 | Stock | 9,312 | $256,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 21,537 | $256,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 19,385 | $256,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $256,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 12,814 | $252,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 2,120 | $250,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 14,666 | $248,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 8,212 | $248,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 59,000 | $248,000 | thousands by filing date | principal |
| CALIX INC | 13100M509 | COM | 30,550 | $245,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 12,519 | $244,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 19,700 | $243,000 | thousands by filing date | put |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 28,108 | $241,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 27,539 | $240,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y889 | S&P 500 CATHOLIC | 6,025 | $238,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 17,961 | $238,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 37,676 | $238,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 7,668 | $237,000 | thousands by filing date | |
| ALLIANZGI ARTIFICIAL INTELLI | 01883M101 | COM | 11,808 | $237,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 13,865 | $236,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 805 | $234,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 5,265 | $234,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,165 | $233,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 16,627 | $233,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 16,100 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 5,764 | $229,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 6,757 | $227,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 200,000 | $227,000 | thousands by filing date | principal |
| CRONOS GROUP INC | 22717L101 | COM | 30,500 | $226,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 13,198 | $224,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 17,457 | $224,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 4,446 | $222,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 4,764 | $222,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 6,584 | $222,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 31,225 | $222,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 7,073 | $220,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 13,218 | $218,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 24,764 | $218,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 9,072 | $214,000 | thousands by filing date | |
| MR COOPER GROUP INC | 62482R107 | COM | 16,961 | $213,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 10,294 | $213,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 43,025 | $213,000 | thousands by filing date | |
| ISHARES TR | 46434V787 | YLD OPTIM BD | 8,264 | $212,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y206 | DORSEY WRIGT ADR | 3,929 | $212,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 9,910 | $211,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081507 | Stock | 9,365 | $211,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 13,806 | $208,000 | thousands by filing date | |
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 15,820 | $208,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 10,641 | $207,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 1,747 | $206,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 15,441 | $205,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V829 | DWA NASDAQ MNT | 1,602 | $205,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 4,131 | $204,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 22,949 | $204,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,434 | $203,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 50,115 | $202,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 60,804 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 2,602 | $201,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 520,400 | $200,000 | thousands by filing date | |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 14,176 | $198,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 22,717 | $196,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 10,000 | $196,000 | thousands by filing date | |
| HAPPEN INC COM NEW | 52603A208 | Stock | 15,432 | $195,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 13,370 | $194,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 38,810 | $193,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 45,334 | $188,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 13,300 | $187,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 47,660 | $187,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 15,122 | $184,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,780 | $181,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 16,304 | $179,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 26,837 | $178,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 12,495 | $177,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 22,281 | $176,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 175,000 | $175,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375N103 | COM | 116,859 | $172,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 15,330 | $172,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 11,709 | $171,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 24,553 | $170,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 11,640 | $170,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 41,424 | $167,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 15,058 | $167,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 40,110 | $165,000 | thousands by filing date | |
| RISE ED CAYMAN LTD | 76761L102 | SPONSORED ADR | 23,500 | $164,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 44,800 | $163,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 10,675 | $163,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 80,242 | $163,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 14,364 | $161,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 35,094 | $161,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 73,830 | $158,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 37,064 | $156,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 68,510 | $154,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 48,709 | $151,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 13,615 | $150,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 12,502 | $148,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 11,229 | $147,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 10,225 | $147,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 12,344 | $145,000 | thousands by filing date | |
| FRONT YD RESIDENTIAL CORP | 35904G107 | COM | 11,577 | $143,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 10,672 | $133,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 12,222 | $132,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 14,859 | $132,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 18,175 | $131,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 30,524 | $129,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 15,792 | $127,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 11,756 | $127,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 27,659 | $127,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 15,454 | $126,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 21,730 | $120,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 10,781 | $120,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 10,099 | $119,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 10,070 | $119,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 22,962 | $117,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 37,644 | $116,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 11,765 | $115,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 10,786 | $115,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,640 | $111,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 12,377 | $108,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 49,900 | $108,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 20,397 | $106,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 11,420 | $104,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 15,981 | $98,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 92,646 | $96,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 33,167 | $95,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 23,600 | $94,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 11,067 | $91,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 20,272 | $88,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 10,842 | $88,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 13,892 | $83,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 25,100 | $78,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 17,085 | $76,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 13,439 | $75,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $70,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 70,000 | $70,000 | thousands by filing date | principal |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,013 | $68,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 10,757 | $67,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 11,094 | $66,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 19,386 | $66,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 11,185 | $65,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 10,640 | $64,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 30,710 | $64,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 16,692 | $63,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 18,938 | $62,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 22,500 | $62,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 14,084 | $61,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,507 | $61,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 37,767 | $60,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 10,498 | $55,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 21,005 | $54,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 13,357 | $50,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 11,900 | $50,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 35,000 | $50,000 | thousands by filing date | principal |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 14,142 | $50,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,635 | $49,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 10,720 | $49,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 13,000 | $48,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 22,367 | $48,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 12,135 | $47,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,005 | $43,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,333 | $42,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 38,845 | $42,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 16,607 | $42,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 11,916 | $41,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 13,327 | $40,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 38,000 | $39,000 | thousands by filing date | principal |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 16,000 | $37,000 | thousands by filing date | call |
| MCEWEN MNG INC | 58039P107 | COM | 27,895 | $36,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 14,943 | $35,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 19,446 | $32,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,150 | $20,000 | thousands by filing date | principal |
| SANOFI | 80105N113 | COMMON STOCK-FO | 19,209 | $16,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $16,000 | thousands by filing date | principal |
| RA MED SYS INC | 74933X104 | COM | 12,418 | $14,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 13,275 | $13,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 35,815 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 49,347 | $13,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 13,000 | $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 |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 20,500 | $10,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,754 | $9,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 15,113 | $6,000 | 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 0000950123-20-002286 | this filing | 2020-02-14 | acceptance time not in the bulk data set |