13F-HR filed by Nuveen Asset Management, LLC
Nuveen Asset Management, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 3,289 holding rows worth $260,064,828,000.
- Accession
- 0000950123-20-011986
- Filer
- CIK 1521019
- Filed
- 2020-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A combination report, 7,348 entries on the cover page, a total value of $260,064,828,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $260,064,799,000 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
- included managerSymphony Asset Management, LLC 028-05958
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 |
|---|---|---|---|---|---|---|
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 16,950 | $422,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 63,675 | $419,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 29,204 | $417,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 37,346 | $416,000 | thousands by filing date | |
| PARKE BANCORP INC | 700885106 | COMMON STOCK | 34,535 | $412,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 37,746 | $403,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 31,795 | $403,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 32,524 | $402,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 97,884 | $402,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 165,325 | $400,000 | thousands by filing date | |
| FULCRUM THERAPEUTICS INC | 359616109 | COMMON STOCK | 50,156 | $397,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 123,658 | $397,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 101,282 | $396,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 157,920 | $392,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 89,154 | $391,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 74,468 | $391,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 223,484 | $391,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 26,189 | $390,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 171,003 | $389,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 149,575 | $388,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 130,679 | $385,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 42,862 | $385,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 23,734 | $384,000 | thousands by filing date | |
| DZS INC | 268211109 | COMMON STOCK | 41,056 | $384,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 155,495 | $382,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 133,946 | $382,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 93,599 | $380,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 58,020 | $380,000 | thousands by filing date | |
| HBT FINANCIAL INC DE | 404111106 | COMMON STOCK | 33,669 | $377,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 76,100 | $375,000 | thousands by filing date | |
| EMERALD HOLDING INC | 29103W104 | COM | 183,006 | $373,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 46,610 | $373,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 39,402 | $372,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 68,015 | $368,000 | thousands by filing date | |
| JANUS HENDERSON GROUP PLC ORD SHS | G4474Y214 | Stock | 16,844 | $366,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588307 | COM | 61,636 | $366,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 29,540 | $365,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 31,480 | $364,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 367,060 | $360,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 46,263 | $358,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 32,979 | $357,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 91,184 | $356,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 232,657 | $356,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 31,532 | $348,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B109 | CL A COM | 142,829 | $348,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 98,702 | $347,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 78,951 | $347,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 174,598 | $346,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 67,694 | $344,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 10,018 | $343,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 171,171 | $342,000 | thousands by filing date | |
| PCB BANCORP | 69320M109 | COMMON STOCK | 38,796 | $341,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 32,333 | $340,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 32,438 | $339,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 163,749 | $339,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 22,064 | $337,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 28,944 | $335,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 55,174 | $334,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 71,900 | $333,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 77,090 | $332,000 | thousands by filing date | |
| AVENUE THERAPEUTICS INC | 05360L205 | COM | 30,629 | $332,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 157,002 | $331,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 43,625 | $329,000 | thousands by filing date | |
| PAVMED INC | 70387R106 | COM | 184,291 | $328,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 73,926 | $327,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 27,616 | $326,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 22,529 | $324,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 25,227 | $324,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 12,063 | $321,000 | thousands by filing date | |
| GENPREX INC | 372446104 | COM | 95,369 | $321,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 313,303 | $320,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 57,870 | $319,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 25,003 | $319,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 127,088 | $319,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 216,630 | $318,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 32,025 | $317,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 22,716 | $316,000 | thousands by filing date | |
| DERMTECH INC | 24984K105 | COM | 26,067 | $312,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 6,401 | $312,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 49,289 | $311,000 | thousands by filing date | |
| CREATIVE MEDIA & CMNTY TR | 125525584 | TRUS | 31,375 | $310,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 12,681 | $308,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 221,341 | $308,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | 362409104 | COM | 115,798 | $307,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 91,449 | $304,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 72,938 | $303,000 | thousands by filing date | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 38,169 | $301,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 18,098 | $299,000 | thousands by filing date | |
| PROFESSIONAL HLDG CORP | 743139107 | COM | 22,293 | $298,000 | thousands by filing date | |
| TRANSCAT INC | 893529107 | COM | 10,107 | $296,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 197,149 | $295,000 | thousands by filing date | |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 15,847 | $293,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 628,679 | $293,000 | thousands by filing date | principal |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 46,813 | $293,000 | thousands by filing date | |
| FEDNAT HOLDING COMPANY | 31431B109 | Common Stock | 46,247 | $292,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 108,007 | $291,000 | thousands by filing date | |
| TIMBERLAND BANCORP INC | 887098101 | COMMON STOCK | 16,110 | $290,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 200,884 | $289,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 69,311 | $288,000 | thousands by filing date | |
| ENVELA CORP | 29402E102 | COMMON STOCK | 67,218 | $288,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 126,722 | $284,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 107,781 | $283,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 9,725 | $281,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 119,527 | $280,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 29,618 | $269,000 | thousands by filing date | |
| ONESMART INTL ED GROUP LTD | 68276W103 | CMN | 59,911 | $269,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 6,451 | $264,000 | thousands by filing date | |
| EVELO BIOSCIENCES INC | 299734103 | COM | 50,083 | $264,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 42,903 | $262,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 241,378 | $258,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 24,716 | $257,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 246,517 | $254,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 17,910 | $253,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 12,282 | $252,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 466,062 | $252,000 | thousands by filing date | principal |
| PIONEER BANCORP INC/NY | 723561106 | COMMON STOCK | 28,047 | $249,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 14,300 | $248,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 34,283 | $247,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 101,546 | $247,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 68,622 | $245,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 39,387 | $244,000 | thousands by filing date | |
| SCPHARMACEUTICALS INC | 810648105 | COM | 32,739 | $244,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING INC | 33832D205 | COM NEW | 48,004 | $243,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 35,762 | $242,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 44,381 | $241,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 10,806 | $240,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 158,280 | $239,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 14,882 | $238,000 | thousands by filing date | |
| LOMA NEGRA C I A S A MTN 14 | 54150E104 | SPONSORED ADS | 54,883 | $237,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 169,939 | $236,000 | thousands by filing date | |
| GRIFFIN LAND + NURSERIES | 398231100 | CL A | 4,414 | $236,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 15,435 | $235,000 | thousands by filing date | |
| DTE ENERGY CO | 233331842 | UNIT 11/01/2022 | 520,456 | $235,000 | thousands by filing date | principal |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 16,872 | $231,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 34,617 | $231,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 109,474 | $230,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 15,078 | $229,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 17,092 | $229,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 11,682 | $228,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 222,589 | $227,000 | thousands by filing date | principal |
| FIRST CHOICE BANCORP | 31948P104 | COM | 17,095 | $227,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 12,007 | $226,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 183,331 | $224,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 37,077 | $222,000 | thousands by filing date | |
| BEYOND AIR INC | 08862L103 | COM | 42,672 | $222,000 | thousands by filing date | |
| FNCB BANCORP INC | 302578109 | COM | 41,750 | $222,000 | thousands by filing date | |
| ISHARES MSCI INDIA SMALL-CAP ETF | 46429B614 | ETF | 6,176 | $221,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 28,349 | $221,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 13,145 | $220,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 5,000 | $219,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 7,344 | $218,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 46,245 | $217,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 10,089 | $211,000 | thousands by filing date | |
| SOUTHERN CO | 842587602 | UNIT 08/01/2022 | 446,644 | $208,000 | thousands by filing date | principal |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 13,146 | $207,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 36,352 | $205,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 9,550 | $204,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 21,135 | $204,000 | thousands by filing date | |
| CENTRAL PUERTO S A | 155038201 | SPONSORED ADR | 89,367 | $200,000 | thousands by filing date | |
| MAINSTREET BANCSHARES INC | 56064Y100 | COMMON STOCK | 16,274 | $199,000 | thousands by filing date | |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 22,428 | $199,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 93,873 | $193,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 025537127 | UNIT 03/15/2022 | 396,006 | $192,000 | thousands by filing date | principal |
| FVCBANKCORP INC | 36120Q101 | COMMON STOCK | 18,668 | $187,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 101,353 | $186,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 191,671 | $186,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 83,126 | $186,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 10,048 | $183,000 | thousands by filing date | |
| LEGACY HOUSING CORP | 52472M101 | COMMON STOCK | 13,310 | $182,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | 68621F102 | COMMON STOCK | 46,483 | $178,000 | thousands by filing date | |
| GREENTREE HOSPITALITY GROUP | 39579V100 | SPONSORED ADS | 13,128 | $178,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 32,533 | $178,000 | thousands by filing date | |
| EAGLE BANCORP MONTANA INC | 26942G100 | COMMON STOCK | 10,059 | $177,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 14,377 | $176,000 | thousands by filing date | |
| ESQUIRE FINL HLDGS INC | 29667J101 | COM | 11,563 | $173,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 137,680 | $171,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 24,054 | $170,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 14,226 | $169,000 | thousands by filing date | |
| BANCO BBVA ARGENTINA S A | 058934100 | SPONSORED ADS | 66,511 | $168,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 114,260 | $162,000 | thousands by filing date | principal |
| STERLING BANCORP INC | 85917W102 | COM | 52,802 | $159,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 49,062 | $158,000 | thousands by filing date | |
| 111 INC | 68247Q102 | ADR | 25,113 | $156,000 | thousands by filing date | |
| KURA SUSHI USA INC | 501270102 | CL A COM | 11,827 | $155,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 11,344 | $155,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 58,097 | $153,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 11,319 | $153,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 30,484 | $150,000 | thousands by filing date | |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 122,115 | $149,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC | 02557T307 | UNIT 08/15/2023 | 300,000 | $147,000 | thousands by filing date | principal |
| PDL CMNTY BANCORP | 69290X101 | COM | 16,340 | $144,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 33,368 | $139,000 | thousands by filing date | |
| CALIFORNIA BANCORP INC | 13005U101 | COM | 12,117 | $137,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F739 | CONV | 285,000 | $136,000 | thousands by filing date | principal |
| OP BANCORP | 67109R109 | COMMON STOCK | 23,534 | $135,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 43,996 | $131,000 | thousands by filing date | |
| FIRST WESTERN FINANCIAL INC | 33751L105 | COMMON STOCK | 10,003 | $130,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 14,027 | $127,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 10,786 | $126,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 29,833 | $126,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 10,917 | $126,000 | thousands by filing date | |
| YINTECH INVT HLDGS LTD | 98585M108 | SPONSORED ADR | 17,427 | $125,000 | thousands by filing date | |
| EXAGEN INC | 30068X103 | COM | 11,388 | $123,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 110,000 | $122,000 | thousands by filing date | |
| COLONY BANKCORP | 19623P101 | COMMON STOCK | 11,060 | $119,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 18,627 | $119,000 | thousands by filing date | |
| AYTU BIOSCIENCE INC | 054754700 | COM PAR | 99,123 | $118,000 | thousands by filing date | |
| PANDION THERAPEUTICS INC | 698340106 | COM | 10,281 | $118,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 12,642 | $117,000 | thousands by filing date | |
| QUTOUTIAO INC ADS REP SHS A | 74915J107 | ADR | 52,754 | $116,000 | thousands by filing date | |
| VENUS CONCEPT INC | 92332W105 | COM | 49,277 | $115,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 14,840 | $114,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 12,091 | $111,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 126,623 | $110,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 17,204 | $109,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 102,304 | $101,000 | thousands by filing date | principal |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 15,696 | $100,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 15,942 | $97,000 | thousands by filing date | |
| PARTNERS BANCORP | 70213Q108 | COM | 17,131 | $96,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 52,583 | $95,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 12,318 | $91,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 11,378 | $87,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 14,536 | $86,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 23,991 | $86,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 22,383 | $85,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC | 36168Q120 | CONV | 149,201 | $80,000 | thousands by filing date | principal |
| LINX S A | 53619W101 | SPONSORED ADS | 12,990 | $80,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 11,025 | $78,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 15,645 | $76,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 41,412 | $74,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 75,703 | $72,000 | thousands by filing date | |
| CORPORACION AMER ARPTS S A | L1995B107 | COM | 31,367 | $70,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 54,586 | $68,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 76,289 | $67,000 | thousands by filing date | |
| IRSA INVERSIONES Y REP S A SPON GDS ECH 10 | 450047204 | ADR | 23,498 | $66,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 66,468 | $65,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 16,803 | $62,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 12,203 | $60,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 96,450 | $59,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 18,070 | $56,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 12,747 | $52,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 14,374 | $52,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 443,600 | $51,000 | thousands by filing date | call |
| NEMAURA MED INC | 640442208 | COMMON | 10,702 | $38,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 316,800 | $37,000 | thousands by filing date | put |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 54,997 | $36,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 56,614 | $33,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851505 | PFD | 25,468 | $25,000 | thousands by filing date | principal |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 10,700 | $24,000 | thousands by filing date | |
| ESSENTIAL UTILS INC | 29670G201 | UNIT 04/30/2022 | 45,516 | $24,000 | thousands by filing date | principal |
| EQUITY COMWLTH | 294628201 | 6.5% CNV PFD D | 57,407 | $17,000 | thousands by filing date | principal |
| Netflix, Inc | 64110L106 | COM | 32,600 | $16,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 38,300 | $13,000 | thousands by filing date | call |
| Stryker Corporation | 863667101 | COM | 47,600 | $10,000 | thousands by filing date | call |
| ZSCALERINC | 98980G102 | STOK | 61,300 | $9,000 | thousands by filing date | put |
| Netflix, Inc | 64110L106 | COM | 16,300 | $8,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 16,300 | $7,000 | thousands by filing date | call |
| CHILDRENS PL INC NEW | 168905107 | COM | 188,700 | $6,000 | thousands by filing date | put |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 81,600 | $6,000 | thousands by filing date | put |
| ROKU INC COM CL A | 77543R102 | Stock | 32,700 | $6,000 | thousands by filing date | put |
| TIFFANY & CO NEW | 886547108 | COM | 48,400 | $6,000 | thousands by filing date | put |
| Advanced Micro Devices,Inc. | 007903107 | COM | 65,300 | $5,000 | thousands by filing date | put |
| American Tower Corporation | 03027X100 | COM | 20,400 | $5,000 | thousands by filing date | put |
| Stryker Corporation | 863667101 | COM | 23,800 | $5,000 | thousands by filing date | put |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 51,000 | $5,000 | thousands by filing date | put |
| CAESARS ENTERTAINMENT INC NE | 12769G100 | COM | 91,800 | $5,000 | thousands by filing date | put |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 15,412 | $5,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 90,800 | $4,000 | thousands by filing date | put |
| Citigroup Inc. | 172967424 | COM | 90,800 | $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 |
| Salesforce.com, Inc | 79466L302 | COM | 16,300 | $4,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 16,300 | $4,000 | thousands by filing date | call |
| BRINKER INTL INC COM | 109641100 | Stock | 102,200 | $4,000 | thousands by filing date | put |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 34,000 | $4,000 | thousands by filing date | put |
| ILLUMINA INC | 452327109 | COM | 13,800 | $4,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 32,700 | $3,000 | thousands by filing date | put |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 40,800 | $3,000 | thousands by filing date | call |
| 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 |
| BJS WHSL CLUB HLDGS INC COM | 05550J101 | Stock | 61,200 | $3,000 | thousands by filing date | call |
| BRUNSWICK CORP | 117043109 | COM | 54,300 | $3,000 | thousands by filing date | call |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 61,200 | $3,000 | 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 |
| M & T BK CORP COM | 55261F104 | Stock | 16,400 | $2,000 | thousands by filing date | put |
| WYNN RESORTS LTD | 983134107 | COM | 23,000 | $2,000 | thousands by filing date | put |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 19,400 | $2,000 | thousands by filing date | put |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 10,800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-20-011986 | this filing | 2020-11-16 | acceptance time not in the bulk data set |