13F-HR/A filed by Nuveen Asset Management, LLC
Nuveen Asset Management, LLC filed this 13F-HR/A for the quarter ended 2020-06-30, filed 2020-08-25, with 3,286 holding rows worth $245,731,612,000.
- Accession
- 0000950123-20-009331
- Filer
- CIK 1521019
- Filed
- 2020-08-25
- 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, amendment of type restatement, 7,396 entries on the cover page, a total value of $245,731,612,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $245,731,584,000 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 |
|---|---|---|---|---|---|---|
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 67,007 | $369,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 94,700 | $366,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 30,664 | $364,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 32,807 | $364,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 45,690 | $360,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 128,993 | $360,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 110,212 | $358,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 117,187 | $355,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 34,243 | $353,000 | thousands by filing date | |
| A-MARK PRECIOUS METALS INC | 00181T107 | COM | 18,246 | $348,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 19,012 | $346,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 32,114 | $346,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 26,067 | $345,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 20,960 | $343,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 163,613 | $343,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 214,551 | $339,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 47,508 | $338,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 20,654 | $338,000 | thousands by filing date | |
| CHOICEONE FINANCIAL SVCS INC | 170386106 | COMMON STOCK | 11,318 | $335,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 31,036 | $334,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 51,006 | $333,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 110,539 | $333,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 169,939 | $332,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 42,388 | $330,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 36,455 | $328,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 27,616 | $327,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 157,002 | $325,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 50,425 | $324,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 15,243 | $323,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 22,529 | $319,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 13,703 | $319,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 12,681 | $314,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 57,277 | $313,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 67,632 | $312,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 78,273 | $309,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 6,401 | $308,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 63,412 | $307,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 77,007 | $304,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 209,955 | $298,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 12,200 | $291,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 82,585 | $288,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 17,910 | $285,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 42,614 | $285,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 7,198 | $282,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 11,575 | $281,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 34,283 | $279,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 49,919 | $276,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 30,608 | $271,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 21,592 | $271,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 2,535 | $265,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 9,725 | $265,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 39,457 | $265,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 14,300 | $264,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 10,107 | $261,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 28,944 | $261,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 35,771 | $257,000 | thousands by filing date | |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 28,047 | $257,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 39,120 | $255,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 29,835 | $253,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 13,956 | $249,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 14,304 | $247,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 12,006 | $247,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 29,146 | $246,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 7,344 | $244,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 32,739 | $241,000 | thousands by filing date | |
| SB ONE BANCORP | 78413T103 | COM | 12,240 | $241,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 4,414 | $239,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 6,158 | $238,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 12,007 | $237,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 24,300 | $236,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 132,611 | $236,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 41,174 | $236,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 15,435 | $235,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 18,098 | $235,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 9,550 | $233,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 73,082 | $233,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 11,600 | $232,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 19,049 | $231,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 17,092 | $230,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 34,205 | $228,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 15,078 | $225,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 16,872 | $224,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 3,915 | $224,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 100,075 | $223,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 73,246 | $222,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 28,120 | $221,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 7,955 | $220,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 8,550 | $219,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 21,135 | $219,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 10,089 | $216,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 9,249 | $215,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 16,274 | $215,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 42,299 | $215,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 181,787 | $213,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 23,526 | $210,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 14,377 | $209,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 38,169 | $208,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 9,946 | $206,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 7,033 | $205,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 19,395 | $203,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 119,684 | $202,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 10,396 | $202,000 | thousands by filing date | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 12,508 | $201,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 14,882 | $198,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 11,563 | $195,000 | thousands by filing date | |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 18,000 | $194,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 13,310 | $189,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 11,319 | $188,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 57,978 | $188,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 52,229 | $187,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 47,325 | $185,000 | thousands by filing date | |
| HESS MIDSTREAM LP | 428103105 | CL A SHS | 10,052 | $184,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 10,400 | $183,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 12,117 | $181,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 66,468 | $178,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 46,000 | $177,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 14,226 | $176,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 10,059 | $175,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 33,980 | $175,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 3,700,000 | $173,000 | thousands by filing date | call |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 11,344 | $172,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 11,827 | $169,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 47,961 | $167,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 11,711 | $166,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 16,340 | $166,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 23,534 | $162,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 32,557 | $160,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 30,479 | $157,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 31,830 | $157,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 110,000 | $155,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 21,351 | $154,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 22,900 | $154,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 19,337 | $153,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 17,538 | $150,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 32,355 | $149,000 | thousands by filing date | |
| ATLAS CORP | Y0436Q109 | COM | 19,273 | $146,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 10,917 | $145,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 10,786 | $144,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 10,003 | $143,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DISTRI | 20440T300 | SPONSORED ADR | 10,857 | $142,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 11,388 | $141,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 128,514 | $134,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 30,600 | $133,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 11,060 | $130,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 32,451 | $130,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 30,484 | $129,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 14,374 | $126,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 11,800 | $124,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 13,676 | $122,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 12,642 | $121,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 17,204 | $115,000 | thousands by filing date | |
| DELMAR BANCORP | 247035207 | COM NEW | 17,131 | $113,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 73,289 | $113,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 73,771 | $111,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 48,060 | $107,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 12,600 | $104,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 54,586 | $104,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 15,314 | $103,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 14,536 | $102,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 23,991 | $101,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 29,322 | $100,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 14,027 | $100,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 17,600 | $99,000 | thousands by filing date | |
| NEMAURA MED INC | 640442208 | COMMON | 10,702 | $99,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 12,984 | $92,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 79,000 | $89,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 11,378 | $89,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 1,850,000 | $87,000 | thousands by filing date | put |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 14,089 | $79,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 89,057 | $75,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 206,200 | $74,000 | thousands by filing date | put |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 30,865 | $69,000 | thousands by filing date | |
| LINX S A | 53619W101 | SPONSORED ADS | 14,795 | $68,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 14,585 | $66,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,203 | $66,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 15,500 | $58,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 157,700 | $57,000 | thousands by filing date | call |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 19,140 | $57,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 13,200 | $56,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 32,100 | $55,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 14,100 | $55,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 20,800 | $53,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 31,400 | $53,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 17,800 | $50,000 | thousands by filing date | put |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 23,500 | $43,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 14,800 | $41,000 | thousands by filing date | call |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 13,700 | $41,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 28,200 | $40,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 27,061 | $35,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 13,200 | $29,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 87,100 | $28,000 | thousands by filing date | call |
| NEXTERA ENERGY INC | 65339F770 | CONV | 628,679 | $27,000 | thousands by filing date | principal |
| LULULEMON ATHLETICA INC | 550021109 | COM | 76,300 | $24,000 | thousands by filing date | put |
| NEXTERA ENERGY INC | 65339F796 | COM | 466,062 | $23,000 | thousands by filing date | principal |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 520,456 | $22,000 | thousands by filing date | principal |
| CROWN CASTLE INTL CORP NEW | 22822V309 | 6.875% CON PFD A | 13,956 | $21,000 | thousands by filing date | principal |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 446,644 | $20,000 | thousands by filing date | principal |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 396,006 | $19,000 | thousands by filing date | principal |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 131,408 | $19,000 | thousands by filing date | principal |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 227,400 | $17,000 | thousands by filing date | put |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 169,964 | $17,000 | thousands by filing date | principal |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 360,000 | $14,000 | thousands by filing date | call |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 150,000 | $14,000 | thousands by filing date | principal |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 560,000 | $13,000 | thousands by filing date | call |
| DEXCOM INC COM | 252131107 | Stock | 32,700 | $13,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 81,700 | $11,000 | thousands by filing date | put |
| PG&E CORP | 69331C140 | CONV | 120,000 | $11,000 | thousands by filing date | principal |
| META PLATFORMS INC CL A | 30303M102 | COM | 43,900 | $10,000 | thousands by filing date | call |
| CENTERPOINT ENERGY INC | 15189T503 | DEP RP PFD CV B | 285,349 | $10,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 102,304 | $10,000 | thousands by filing date | principal |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 6,200 | $9,000 | thousands by filing date | put |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 6,200 | $9,000 | thousands by filing date | call |
| CHILDRENS PL INC NEW | 168905107 | COM | 244,900 | $9,000 | thousands by filing date | put |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 230,000 | $8,000 | thousands by filing date | call |
| BIOGEN INC COM | 09062X103 | Stock | 30,800 | $8,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 16,300 | $7,000 | thousands by filing date | call |
| GFL ENVIRONMENTAL INC | 36168Q120 | CONV | 149,001 | $7,000 | thousands by filing date | principal |
| ZSCALERINC | 98980G102 | STOK | 61,300 | $6,000 | thousands by filing date | put |
| CHILDRENS PL INC NEW | 168905107 | COM | 182,000 | $6,000 | thousands by filing date | call |
| DECKERS OUTDOOR CORP | 243537107 | COM | 30,600 | $6,000 | thousands by filing date | put |
| HUMANA INC COM | 444859102 | Stock | 16,300 | $6,000 | thousands by filing date | call |
| FTI CONSULTING INC | 302941109 | COM | 48,000 | $5,000 | thousands by filing date | put |
| KIRBY CORP | 497266106 | COM | 92,000 | $5,000 | thousands by filing date | put |
| WYNN RESORTS LTD | 983134107 | COM | 69,000 | $5,000 | thousands by filing date | put |
| ZENDESK INC | 98936J101 | COM | 53,100 | $5,000 | thousands by filing date | put |
| Citigroup Inc. | 172967424 | COM | 72,800 | $4,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 16,300 | $4,000 | thousands by filing date | put |
| 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 | put |
| MasterCard, Inc | 57636Q104 | COM | 12,200 | $4,000 | thousands by filing date | call |
| BECTON DICKINSON & CO | 075887109 | COM | 17,800 | $4,000 | thousands by filing date | put |
| KBHOME | 48666K109 | COM | 142,800 | $4,000 | thousands by filing date | put |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 49,400 | $4,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 102,200 | $4,000 | thousands by filing date | put |
| ROKU INC COM CL A | 77543R102 | Stock | 32,700 | $4,000 | thousands by filing date | put |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 91,000 | $4,000 | thousands by filing date | put |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 38,000 | $4,000 | thousands by filing date | put |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 28,100 | $3,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 25,500 | $3,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 25,500 | $3,000 | thousands by filing date | call |
| CARLISLE COS INC COM | 142339100 | Stock | 26,500 | $3,000 | thousands by filing date | put |
| CARLISLE COS INC COM | 142339100 | Stock | 26,500 | $3,000 | thousands by filing date | call |
| CORTEVA INC COM | 22052L104 | Stock | 112,000 | $3,000 | thousands by filing date | put |
| CORTEVA INC COM | 22052L104 | Stock | 112,000 | $3,000 | thousands by filing date | call |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 34,000 | $3,000 | thousands by filing date | put |
| V F CORP COM | 918204108 | Stock | 51,100 | $3,000 | thousands by filing date | put |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 20,400 | $3,000 | thousands by filing date | put |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 56,614 | $3,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851505 | PFD | 25,468 | $3,000 | thousands by filing date | principal |
| Boston Scientific Corporation | 101137107 | COM | 51,000 | $2,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 22,700 | $2,000 | thousands by filing date | put |
| Chevron Corporation | 166764100 | COM | 22,700 | $2,000 | thousands by filing date | call |
| Merck & Co.,Inc. | 58933Y105 | COM | 25,000 | $2,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 15,300 | $2,000 | thousands by filing date | put |
| PVH CORPORATION COM | 693656100 | Stock | 49,000 | $2,000 | thousands by filing date | put |
| HASBRO INC COM | 418056107 | Stock | 21,400 | $2,000 | thousands by filing date | put |
| M & T BK CORP COM | 55261F104 | Stock | 16,400 | $2,000 | thousands by filing date | put |
| HESS CORP | 42809H107 | COM | 41,900 | $2,000 | thousands by filing date | put |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 57,407 | $2,000 | thousands by filing date | principal |
| Pfizer Inc. | 717081103 | COM | 25,000 | $1,000 | thousands by filing date | call |
| Southern Company | 842587107 | COM | 19,300 | $1,000 | thousands by filing date | call |
| FMC CORP COM NEW | 302491303 | Stock | 13,100 | $1,000 | thousands by filing date | put |
| FMC CORP COM NEW | 302491303 | Stock | 13,100 | $1,000 | thousands by filing date | call |
| ENBRIDGE INC COM | 29250N105 | Stock | 20,300 | $1,000 | thousands by filing date | call |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 15,412 | $1,000 | thousands by filing date | principal |
| American Tower Corporation | 03027X100 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Duke Energy Corporation | 26441C204 | COM | 3,800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| JPMorgan Chase & Co | 46625H100 | COM | 2,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NextEra Energy,Inc. | 65339F101 | COM | 1,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Prologis,Inc. | 74340W103 | COM | 4,700 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 7,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 1,600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 2,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WELLTOWER INC COM | 95040Q104 | REIT | 1,400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EQUINIX INC COM | 29444U700 | REIT | 600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 5,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 1,400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CROWN CASTLE INC COM | 22822V101 | REIT | 2,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 20,300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| WILLIAMS COS INC COM | 969457100 | Stock | 17,700 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BXP INC COM | 101121101 | REIT | 1,100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 1,200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 11,300 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| DUKE REALTY CORP | 264411505 | COM NEW | 4,700 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-008724 | superseded | 2020-08-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000950123-20-009331 | this filing | 2020-08-25 | acceptance time not in the bulk data set |