13F-HR filed by Nuveen Asset Management, LLC
Nuveen Asset Management, LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 3,239 holding rows worth $263,527,230,000.
- Accession
- 0000950123-20-002382
- Filer
- CIK 1521019
- 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, 7,256 entries on the cover page, a total value of $263,527,230,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $263,527,190,000 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 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 |
|---|---|---|---|---|---|---|
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 107,272 | $307,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 4,898 | $305,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 43,918 | $305,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 12,240 | $305,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 25,200 | $304,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 77,178 | $303,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 119,057 | $301,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 11,563 | $301,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 7,581 | $300,000 | thousands by filing date | |
| SUTRO BIOPHARMA INC | 869367102 | COM | 27,239 | $300,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 67,072 | $299,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 212,879 | $298,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 7,818 | $298,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 33,134 | $296,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 10,212 | $294,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 18,779 | $293,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 6,894 | $293,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 44,259 | $293,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 9,610 | $293,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 114,480 | $292,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 8,014 | $287,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 110,195 | $285,000 | thousands by filing date | |
| PREVAIL THERAPEUTICS INC | 74140Y101 | COM | 17,831 | $282,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 50,971 | $279,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 14,539 | $276,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 8,406 | $276,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 277,050 | $276,000 | thousands by filing date | |
| OPORTUN FINANCIAL CORP | 68376D104 | COMMON STOCK | 11,561 | $275,000 | thousands by filing date | |
| Applied Therapeutics Inc | 03828A101 | Common Stock | 10,067 | $275,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 24,131 | $274,000 | thousands by filing date | |
| BIGLARI HOLDINGS INC B | 08986R309 | COMMON STOCK | 2,384 | $273,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 4,389 | $271,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 38,288 | $271,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 73,896 | $268,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 17,353 | $266,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 8,550 | $260,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 28,913 | $258,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 15,078 | $255,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 31,581 | $253,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 29,700 | $249,000 | thousands by filing date | |
| FRANKLIN FINANCIAL SERVICES | 353525108 | COMMON STOCK | 6,445 | $249,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 50,252 | $247,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 159,365 | $247,000 | thousands by filing date | |
| ATRECA INC | 04965G109 | COM | 15,900 | $246,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 15,284 | $245,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 10,592 | $244,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 6,141 | $241,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 17,092 | $241,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 15,435 | $240,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 6,614 | $240,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 34,214 | $240,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 16,340 | $240,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 16,872 | $239,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 8,838 | $239,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 13,709 | $239,000 | thousands by filing date | |
| MMA Capital Management LLC | 55315D105 | COM | 7,486 | $238,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 14,377 | $237,000 | thousands by filing date | |
| VIELA BIO INC. | 926613100 | Common Stock | 8,607 | $234,000 | thousands by filing date | |
| HARPOON THERAPEUTICS INC | 41358P106 | COM | 15,749 | $233,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 37,321 | $230,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 37,013 | $226,000 | thousands by filing date | |
| THE BANK OF PRINCETON | 064520109 | COMMON | 7,179 | $226,000 | thousands by filing date | |
| HAWTHORN BANCSHARES INC | 420476103 | COMMON STOCK | 8,718 | $222,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 631,750 | $222,000 | thousands by filing date | |
| HF FOODS GROUP INC | 40417F109 | COM | 11,408 | $222,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 161,938 | $222,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 42,100 | $218,000 | thousands by filing date | |
| Ascena Retail Group Inc | 04351G200 | Common Stock | 28,343 | $218,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 13,000 | $214,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 10,917 | $213,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 113,075 | $212,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 118,740 | $210,000 | thousands by filing date | |
| Misonix Inc | 604871103 | COM | 11,286 | $210,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 15,933 | $206,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 68,923 | $205,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 69,914 | $201,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 11,965 | $199,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 50,527 | $196,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 101,151 | $191,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 133,877 | $190,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 11,060 | $182,000 | thousands by filing date | |
| CATASYS INC | 149049504 | COM PAR | 11,006 | $180,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 17,863 | $179,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 168,928 | $176,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 97,361 | $171,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 14,909 | $168,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 40,914 | $164,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 14,105 | $162,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 63,668 | $160,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 103,390 | $160,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 23,800 | $159,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 34,920 | $157,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 10,694 | $156,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 10,644 | $153,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 34,922 | $149,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 13,711 | $147,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 10,357 | $145,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 13,456 | $144,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 11,340 | $143,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 34,395 | $140,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 201,494 | $140,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,126 | $139,000 | thousands by filing date | |
| MENLO THERAPEUTICS INC | 586858102 | COM | 29,581 | $137,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 199,463 | $135,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 18,718 | $135,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 10,993 | $134,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 58,878 | $132,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 50,484 | $130,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 49,272 | $129,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 17,800 | $128,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 14,435 | $128,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 26,487 | $127,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,203 | $126,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 56,162 | $123,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 23,991 | $120,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 119,066 | $120,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 11,730 | $118,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 32,734 | $117,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 29,736 | $116,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 63,473 | $115,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 133,125 | $114,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 14,200 | $111,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 22,700 | $110,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 63,492 | $110,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 54,586 | $105,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 13,900 | $101,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 68,554 | $101,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 14,865 | $100,000 | thousands by filing date | |
| QFIN HOLDINGS INC AMERICAN DEP | 88557W101 | ADR | 10,000 | $98,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 17,500 | $97,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 14,395 | $97,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 50,028 | $95,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 2,000,000 | $90,000 | thousands by filing date | call |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 12,570 | $80,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 3,863 | $71,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 89,115 | $71,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 17,800 | $66,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 32,100 | $66,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 31,517 | $66,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 40,197 | $64,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 47,732 | $54,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 12,813 | $51,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 19,000 | $50,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 13,700 | $47,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 12,281 | $40,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 10,000 | $36,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 27,421 | $35,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 14,057 | $32,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 15,700 | $32,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 24,108 | $28,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 534,262 | $27,000 | thousands by filing date | principal |
| Amazon.com, Inc | 023135106 | COM | 13,300 | $25,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 13,300 | $25,000 | thousands by filing date | call |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 15,800 | $24,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 81,100 | $23,000 | thousands by filing date | put |
| X FINL SPONSORED ADS | 98372W103 | ADR | 13,900 | $23,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 212,995 | $23,000 | thousands by filing date | principal |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 399,592 | $22,000 | thousands by filing date | principal |
| OKTAINCCLASSA | 679295105 | STOK | 166,200 | $20,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F796 | COM | 399,482 | $20,000 | thousands by filing date | principal |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 15,718 | $20,000 | thousands by filing date | principal |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 358,738 | $19,000 | thousands by filing date | principal |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 145,920 | $19,000 | thousands by filing date | principal |
| LULULEMON ATHLETICA INC | 550021109 | COM | 73,000 | $17,000 | thousands by filing date | call |
| Advanced Micro Devices,Inc. | 007903107 | COM | 340,600 | $16,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 40,800 | $15,000 | thousands by filing date | put |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 150,000 | $15,000 | thousands by filing date | principal |
| ServiceNow,Inc. | 81762P102 | COM | 45,000 | $13,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 81,700 | $13,000 | thousands by filing date | put |
| CENTERPOINT ENERGY INC | 15189T503 | DEP RP PFD CV B | 276,948 | $13,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 111,464 | $13,000 | thousands by filing date | principal |
| Costco Wholesale Corporation | 22160K105 | COM | 40,800 | $12,000 | thousands by filing date | put |
| ESCROW WINTHROP REALTYTRUST NE | 976ESC301 | COM | 39,142 | $11,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 83,100 | $10,000 | thousands by filing date | call |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 68,000 | $10,000 | thousands by filing date | call |
| ANAPLAN INC | 03272L108 | COM | 179,000 | $9,000 | thousands by filing date | call |
| ROKU INC COM CL A | 77543R102 | Stock | 65,400 | $8,000 | thousands by filing date | put |
| DEXCOM INC COM | 252131107 | Stock | 32,700 | $7,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 32,700 | $7,000 | thousands by filing date | put |
| Apple Inc | 037833100 | COM | 21,500 | $6,000 | thousands by filing date | call |
| Chubb Limited | H1467J104 | COM | 38,000 | $6,000 | thousands by filing date | put |
| Costco Wholesale Corporation | 22160K105 | COM | 20,400 | $6,000 | thousands by filing date | call |
| ZSCALERINC | 98980G102 | STOK | 122,600 | $6,000 | thousands by filing date | put |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 224,800 | $6,000 | thousands by filing date | put |
| BRAEMAR HOTELS & RESORTS INC | 10482B200 | 5.5 CUM CV PFD B | 300,279 | $6,000 | thousands by filing date | principal |
| Elevance Health, Inc. | 036752103 | COM | 16,400 | $5,000 | thousands by filing date | put |
| Elevance Health, Inc. | 036752103 | COM | 16,400 | $5,000 | thousands by filing date | call |
| CHILDRENS PL INC NEW | 168905107 | COM | 79,300 | $5,000 | thousands by filing date | put |
| DECKERS OUTDOOR CORP | 243537107 | COM | 30,600 | $5,000 | thousands by filing date | put |
| FEDEX CORP COM | 31428X106 | Stock | 32,200 | $5,000 | thousands by filing date | put |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 34,000 | $5,000 | thousands by filing date | put |
| TERADATA CORP DEL | 88076W103 | COM | 170,200 | $5,000 | thousands by filing date | put |
| COUPA SOFTWARE INCORPORATED | 22266L106 | COM | 37,000 | $5,000 | thousands by filing date | put |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 81,600 | $5,000 | thousands by filing date | put |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 2,800 | $4,000 | thousands by filing date | call |
| Boeing Company | 097023105 | COM | 12,900 | $4,000 | thousands by filing date | call |
| CME Group Inc. Class A | 12572Q105 | COM | 20,400 | $4,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 16,300 | $4,000 | thousands by filing date | call |
| MasterCard, Inc | 57636Q104 | COM | 12,200 | $4,000 | thousands by filing date | call |
| PepsiCo,Inc. | 713448108 | COM | 32,700 | $4,000 | thousands by filing date | put |
| Qualcomm Incorporated | 747525103 | COM | 45,500 | $4,000 | thousands by filing date | put |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 4,500 | $4,000 | thousands by filing date | call |
| CASEYS GEN STORES INC | 147528103 | COM | 28,100 | $4,000 | thousands by filing date | put |
| CHILDRENS PL INC NEW | 168905107 | COM | 56,200 | $4,000 | thousands by filing date | call |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 28,100 | $4,000 | thousands by filing date | put |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 28,100 | $4,000 | thousands by filing date | call |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 40,800 | $4,000 | thousands by filing date | put |
| HASBRO INC COM | 418056107 | Stock | 43,400 | $4,000 | thousands by filing date | put |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 38,000 | $4,000 | thousands by filing date | put |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 10,200 | $4,000 | thousands by filing date | call |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 23,000 | $4,000 | thousands by filing date | put |
| SHAKE SHACK INC | 819047101 | CL A | 71,500 | $4,000 | thousands by filing date | put |
| RH | 74967X103 | COM | 20,400 | $4,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 53,100 | $4,000 | thousands by filing date | put |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 33,700 | $4,000 | thousands by filing date | put |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 152,000 | $4,000 | thousands by filing date | put |
| NEKTAR THERAPEUTICS | 640268108 | COM | 206,200 | $4,000 | thousands by filing date | put |
| RLJ LODGING TR | 74965L200 | CUM CONV PFD A | 135,852 | $4,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851505 | PFD | 29,502 | $4,000 | thousands by filing date | principal |
| STRATEGIC ED INC COM | 86272C103 | Stock | 16,300 | $3,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 16,400 | $3,000 | thousands by filing date | call |
| XILINX INC | 983919101 | COM | 32,700 | $3,000 | thousands by filing date | put |
| ARISTA NETWORKS INC | 040413106 | COM | 16,300 | $3,000 | thousands by filing date | put |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 53,734 | $3,000 | thousands by filing date | principal |
| CREE INC | 225447101 | COM | 55,200 | $3,000 | thousands by filing date | put |
| ONEOK INC NEW | 682680103 | COM | 20,100 | $2,000 | thousands by filing date | call |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 76,100 | $2,000 | thousands by filing date | put |
| PVH CORPORATION COM | 693656100 | Stock | 24,500 | $2,000 | thousands by filing date | put |
| Southern Company | 842587107 | COM | 21,200 | $1,000 | thousands by filing date | call |
| ENBRIDGE INC COM | 29250N105 | Stock | 29,600 | $1,000 | thousands by filing date | call |
| WILLIAMS COS INC COM | 969457100 | Stock | 22,000 | $1,000 | thousands by filing date | call |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 28,100 | $1,000 | thousands by filing date | call |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 11,500 | $1,000 | thousands by filing date | call |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 51,171 | $1,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 19,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 19,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 524 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| COVANTA HLDG CORP | 22282E102 | COM | 18,800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ENERGY TRANSFER LP | CET1294F0 | COM UT LTD PTN | 29,300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-002382 | this filing | 2020-02-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-20-002760 | added | 2020-03-05 | acceptance time not in the bulk data set |