13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 3,753 holding rows worth $281,947,102,000.
- Accession
- 0000950123-21-001845
- Filer
- CIK 820027
- Filed
- 2021-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A combination report, 9,929 entries on the cover page, a total value of $281,947,102,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $281,947,102,000 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, LLC 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, LLC 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 |
|---|---|---|---|---|---|---|
| TRIBUNE PUBG CO NEW | 89609W107 | COM | 22,128 | $303,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 9,966 | $302,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 7,783 | $301,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 21,152 | $299,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 21,801 | $298,000 | thousands by filing date | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 35,707 | $297,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 9,837 | $296,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 21,879 | $294,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 19,533 | $290,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 95 | $288,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 5,577 | $288,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 21,152 | $286,000 | thousands by filing date | |
| ONESPAWORLD HOLDINGS LIMITED | P73684113 | COM | 28,119 | $285,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 20,510 | $285,000 | thousands by filing date | |
| CENTRUS ENERGY CORP | 15643U104 | CL A | 12,300 | $284,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 8,317 | $284,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 20,177 | $284,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 66,573 | $283,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 18,533 | $282,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 8,237 | $282,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 26,760 | $282,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 10,858 | $281,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 9,451 | $281,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 19,594 | $277,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 13,729 | $275,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 90,776 | $275,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 14,586 | $274,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 27,193 | $274,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 4,904 | $273,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 16,500 | $273,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 42,038 | $272,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 21,478 | $271,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 7,793 | $269,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 9,242 | $269,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 6,025 | $269,000 | thousands by filing date | |
| CBTX INC | 12481V104 | COM | 10,474 | $267,000 | thousands by filing date | |
| NETSTREIT CORP | 64119V303 | COM | 13,657 | $266,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 32,880 | $266,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 17,890 | $265,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 12,740 | $264,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 20,178 | $264,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 11,592 | $262,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 18,284 | $262,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 19,633 | $261,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 30,079 | $261,000 | thousands by filing date | |
| MISSION PRODUCE INC | 60510V108 | COM | 19,571 | $260,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 40,813 | $260,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 14,780 | $260,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 68,680 | $260,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 47,447 | $259,000 | thousands by filing date | |
| TIM SA-ADR | 88706T108 | SPONSORED ADR | 18,543 | $259,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 9,923 | $258,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 21,509 | $256,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 5,080 | $256,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 6,269 | $256,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 8,067 | $255,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 17,261 | $255,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 19,415 | $255,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 8,373 | $254,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 8,000 | $253,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 5,854 | $253,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 4,084 | $253,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 3,952 | $253,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 23,765 | $252,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 2,747 | $252,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 7,725 | $252,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 22,090 | $251,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 47,385 | $251,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 1,533 | $251,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 13,600 | $251,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 8,959 | $251,000 | thousands by filing date | |
| RHYTHM PHARMACEUTICALS INC | 76243J105 | COM | 8,410 | $250,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 4,929 | $248,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 18,854 | $248,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 4,511 | $248,000 | thousands by filing date | |
| SOTERA HEALTH CO | 83601L102 | COM | 8,954 | $246,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 14,177 | $245,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 27,909 | $245,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 3,965 | $244,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 16,390 | $244,000 | thousands by filing date | |
| BALLYS CORPORATION | 05875B106 | COM | 4,842 | $243,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 106,495 | $243,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 43,801 | $243,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 12,087 | $242,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,228 | $238,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 37,700 | $238,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 26,820 | $238,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 4,945 | $237,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 1,126 | $235,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V878 | DORSEY WRGT ENRG | 13,387 | $235,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 9,600 | $231,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 7,432 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,804 | $229,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 15,054 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 4,649 | $228,000 | thousands by filing date | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 8,435 | $225,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 92,404 | $225,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 16,781 | $223,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 88,900 | $223,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 6,199 | $222,000 | thousands by filing date | |
| PMV PHARMACEUTICALS INC | 69353Y103 | COM | 3,613 | $222,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 10,259 | $221,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 42,436 | $219,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 4,538 | $219,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 23,400 | $216,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 5,435 | $214,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 15,220 | $213,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,216 | $213,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,097 | $213,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 8,949 | $210,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 13,732 | $209,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 4,100 | $209,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 2,002 | $208,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES BRITISH | 46138m109 | INDX FD | 1,574 | $208,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 3,951 | $206,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 14,417 | $206,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,590 | $204,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 11,603 | $203,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 2,832 | $201,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 14,868 | $198,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 12,477 | $198,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 11,040 | $197,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 34,045 | $194,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 19,715 | $193,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 12,910 | $193,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 25,580 | $189,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 11,003 | $187,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 18,057 | $186,000 | thousands by filing date | |
| SOLID BIOSCIENCES INC COM NEW | 83422E105 | Stock | 24,219 | $183,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $179,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 11,458 | $179,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 37,012 | $178,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 15,321 | $178,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 12,187 | $176,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 15,794 | $175,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 12,168 | $175,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 25,182 | $172,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 19,886 | $171,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D416 | ETRACS MARKETVEC | 10,487 | $170,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,991 | $169,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 14,800 | $169,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,773 | $166,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 11,865 | $165,000 | thousands by filing date | |
| CLEVER LEAVES HOLDINGS INC | 186760104 | COM | 18,560 | $165,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 68,470 | $164,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,853 | $163,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 18,011 | $162,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 11,368 | $160,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 14,006 | $160,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 30,450 | $159,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 12,142 | $156,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,242 | $156,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 10,817 | $155,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 26,308 | $153,000 | thousands by filing date | |
| NEXTCURE INC | 65343E108 | COM | 14,013 | $152,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 21,390 | $151,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 25,445 | $148,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 14,198 | $145,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 50,190 | $144,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 35,857 | $143,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 20,218 | $143,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 34,495 | $134,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 51,992 | $133,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 14,964 | $133,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 15,721 | $129,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 13,133 | $129,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 15,026 | $129,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 45,399 | $128,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 10,484 | $128,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 25,210 | $127,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 18,425 | $126,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 180,174 | $124,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 14,380 | $121,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 12,145 | $120,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 25,385 | $119,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 55,300 | $118,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 34,174 | $115,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 12,424 | $113,000 | thousands by filing date | |
| QUANTUM CORP | 747906501 | COM | 18,606 | $113,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 52,265 | $111,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 46,397 | $108,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,667 | $107,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 10,354 | $107,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 21,435 | $106,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 45,074 | $104,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 28,800 | $103,000 | thousands by filing date | |
| EXANTAS CAP CORP | 30068N105 | COM NEW | 25,726 | $102,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 12,000 | $99,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 19,064 | $99,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 30,983 | $98,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 13,333 | $97,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 22,187 | $95,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 11,704 | $95,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 14,624 | $94,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 11,021 | $93,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 10,712 | $90,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 32,025 | $90,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 17,048 | $89,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 10,848 | $84,000 | thousands by filing date | |
| FILANA THERAPEUTICS INC | 14817C107 | CMN | 12,233 | $83,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 10,324 | $82,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 83,594 | $82,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 12,800 | $80,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 11,328 | $78,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 21,996 | $78,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 34,143 | $72,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 24,630 | $72,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 11,400 | $69,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 20,720 | $69,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 11,266 | $69,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 15,570 | $69,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 24,294 | $68,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 13,984 | $67,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $67,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 16,289 | $61,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 21,935 | $60,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 11,531 | $59,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 37,675 | $57,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 30,000 | $56,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 14,008 | $55,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 10,282 | $54,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 11,662 | $54,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,000 | $50,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 17,479 | $49,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 10,015 | $49,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,000 | $48,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 11,951 | $47,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 11,504 | $46,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 21,400 | $44,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,300 | $43,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,133 | $39,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,000 | $37,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 10,955 | $37,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 16,500 | $36,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,400 | $35,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 28,000 | $29,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 11,000 | $27,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 12,908 | $27,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 13,395 | $26,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 38,527 | $26,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 18,605 | $26,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,371 | $23,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 16,125 | $22,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 17,235 | $21,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 25,150 | $19,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $15,000 | thousands by filing date | principal |
| SENSEONICS HLDGS INC | 81727U105 | COM | 16,200 | $14,000 | thousands by filing date | |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 20,000 | $11,000 | 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 |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 20,000 | $9,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 44,527 | $5,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 10,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-001845 | this filing | 2021-02-12 | acceptance time not in the bulk data set |