13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 3,669 holding rows worth $233,440,965,000.
- Accession
- 0000950123-20-008828
- Filer
- CIK 820027
- Filed
- 2020-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A combination report, 9,177 entries on the cover page, a total value of $233,440,965,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $233,440,965,000 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 |
|---|---|---|---|---|---|---|
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 13,599 | $192,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 19,572 | $190,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 19,420 | $190,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 18,015 | $188,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 48,983 | $187,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 12,635 | $186,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 16,053 | $186,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 14,723 | $185,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $185,000 | thousands by filing date | |
| ARDAGH GROUP S A | L0223L101 | COM | 14,185 | $183,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 65,890 | $183,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 15,259 | $181,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 21,400 | $181,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 13,193 | $181,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 13,722 | $180,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 18,160 | $180,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 17,282 | $179,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 24,591 | $178,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 10,634 | $176,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,893 | $174,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 185,000 | $174,000 | thousands by filing date | principal |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 14,637 | $173,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,367 | $173,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 12,069 | $172,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 10,908 | $172,000 | thousands by filing date | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 18,450 | $170,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 18,802 | $170,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 10,900 | $162,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 12,168 | $161,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 11,093 | $158,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 42,552 | $157,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 30,744 | $156,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 14,161 | $152,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 43,304 | $150,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 19,563 | $150,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 13,372 | $149,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 11,649 | $148,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 17,656 | $147,000 | thousands by filing date | |
| T-Mobile US Inc Rights 20 | 872590112 | RIGHT 07/27/2020 | 915,560 | $145,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 27,682 | $144,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 22,417 | $142,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 14,329 | $142,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 21,443 | $141,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 17,850 | $140,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 10,380 | $140,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 10,265 | $139,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 54,762 | $139,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 14,050 | $139,000 | thousands by filing date | |
| CONSTELLIUM SE | F21107101 | CL A SHS | 17,943 | $138,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 14,167 | $138,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 46,410 | $136,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 18,603 | $136,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 18,574 | $136,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 48,000 | $136,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 16,701 | $134,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 14,859 | $133,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 68,580 | $131,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 10,950 | $130,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 12,674 | $128,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 49,620 | $126,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 10,415 | $125,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 26,792 | $124,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 22,022 | $124,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 29,525 | $123,000 | thousands by filing date | |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 37,000 | $123,000 | thousands by filing date | principal |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 10,295 | $122,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 18,393 | $119,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 14,070 | $117,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 29,231 | $117,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 42,959 | $116,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 26,190 | $116,000 | thousands by filing date | |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 13,720 | $115,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 34,909 | $110,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 10,634 | $110,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 52,497 | $109,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 19,236 | $108,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 15,862 | $107,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 41,522 | $104,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 10,714 | $101,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 11,870 | $100,000 | thousands by filing date | |
| PRECISION BIOSCIENCES INC | 74019P108 | COM | 11,910 | $99,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 13,848 | $97,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 17,075 | $97,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 12,219 | $97,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 17,295 | $95,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 11,811 | $92,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 66,136 | $92,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 60,337 | $91,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 26,231 | $91,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 12,261 | $87,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 10,570 | $87,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 13,452 | $87,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 34,643 | $84,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 46,461 | $82,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 34,688 | $80,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 21,019 | $79,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 32,385 | $78,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 19,845 | $78,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW COM NEW | 171871502 | Stock | 5,200 | $77,000 | thousands by filing date | call |
| MONROE CAPITAL CORP | 610335101 | COM | 10,875 | $76,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 18,453 | $76,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 15,070 | $74,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 24,000 | $74,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 13,846 | $73,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 26,610 | $71,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 23,175 | $70,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 11,839 | $67,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 11,337 | $67,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 13,984 | $64,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 20,199 | $62,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 17,021 | $60,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 60,000 | $60,000 | thousands by filing date | principal |
| COMSTOCK RES INC COM | 205768302 | Stock | 13,019 | $57,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 22,067 | $55,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 23,161 | $54,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 11,057 | $53,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 11,158 | $52,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 28,212 | $51,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,773 | $50,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 11,671 | $49,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $48,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,300 | $45,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 17,150 | $42,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 10,605 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,000 | $40,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 44,000 | $40,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 16,808 | $39,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 12,184 | $39,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 13,000 | $39,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 11,852 | $38,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 41,594 | $37,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 18,410 | $32,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 31,000 | $31,000 | thousands by filing date | principal |
| SAVARA INC | 805111101 | COM | 12,256 | $30,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 32,089 | $30,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,916 | $29,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 30,000 | $27,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 16,366 | $26,000 | thousands by filing date | |
| MARINUS PHARMACEUTICALS INC | 56854Q101 | COM | 10,200 | $26,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 17,085 | $25,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 16,892 | $24,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 13,192 | $21,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 52,719 | $21,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,787 | $20,000 | thousands by filing date | principal |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 16,962 | $19,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 18,000 | $19,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 19,000 | $18,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 16,000 | $16,000 | thousands by filing date | principal |
| MCEWEN MNG INC | 58039P107 | COM | 15,395 | $16,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 29,807 | $16,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 11,000 | $15,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 12,000 | $15,000 | thousands by filing date | principal |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,400 | $15,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 10,702 | $14,000 | thousands by filing date | |
| FORTIVE CORP | 34959JAK4 | NOTE 0.875% 2/1 | 14,000 | $14,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 14,000 | $14,000 | thousands by filing date | principal |
| 22ND CENTY GROUP INC | 90137F103 | COM | 16,500 | $13,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 51,490 | $12,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAK6 | DBCV 1.000%12/1 | 10,000 | $12,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAB1 | NOTE 2.000%10/0 | 14,000 | $12,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NOBLE CORP PLC | G65431101 | SHS USD | 30,801 | $10,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $10,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,750 | $8,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $6,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 19,409 | $6,000 | thousands by filing date | |
| RA MED SYS INC | 74933X104 | COM | 11,727 | $6,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 13,082 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-008828 | this filing | 2020-08-14 | acceptance time not in the bulk data set |