13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-17, with 3,828 holding rows worth $300,883,352,000.
- Accession
- 0000950123-21-006837
- Filer
- CIK 820027
- Filed
- 2021-05-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A combination report, 10,124 entries on the cover page, a total value of $300,883,352,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $300,883,352,000 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 |
|---|---|---|---|---|---|---|
| SFL CORP LTD | G7738W106 | COMMON STOCK | 47,830 | $383,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 25,208 | $381,000 | thousands by filing date | |
| SOTERA HEALTH CO | 83601L102 | COM | 15,316 | $380,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J834 | MULTFCTR EMRNG | 12,629 | $380,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 10,093 | $380,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 28,313 | $379,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 27,669 | $378,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 7,457 | $377,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 14,144 | $377,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 28,014 | $375,000 | thousands by filing date | |
| TALEND S A | 874224207 | ADS | 5,900 | $375,000 | thousands by filing date | call |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 7,907 | $373,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 4,444 | $372,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 9,674 | $369,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 79,516 | $369,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 317,000 | $369,000 | thousands by filing date | principal |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 21,942 | $368,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 15,482 | $365,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 20,400 | $365,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 21,604 | $364,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 65,873 | $364,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 5,010 | $363,000 | thousands by filing date | |
| SOLARWINDS CORP | 83417Q105 | COM | 20,815 | $363,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 7,269 | $362,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 67,367 | $361,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 200,327 | $360,000 | thousands by filing date | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 30,874 | $360,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 10,282 | $359,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 88,216 | $359,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 15,220 | $358,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 8,116 | $358,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 97 | $357,000 | thousands by filing date | |
| MISSION PRODUCE INC | 60510V108 | COM | 18,835 | $357,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 34,251 | $357,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 15,865 | $356,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 7,124 | $356,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 25,711 | $353,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 26,581 | $351,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 4,210 | $351,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 20,452 | $349,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 12,618 | $348,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 215,025 | $348,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 4,853 | $346,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 13,569 | $346,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 5,435 | $346,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 125,556 | $345,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 34,156 | $345,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 21,675 | $345,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 9,496 | $344,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 3,585 | $342,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 5,475 | $341,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 44,751 | $338,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 13,600 | $336,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 20,232 | $334,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 12,664 | $334,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 27,104 | $333,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 27,228 | $333,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 14,035 | $332,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 8,437 | $332,000 | thousands by filing date | |
| FIRST TRUST TCW OPPORTUNISTIC | 33740F805 | TCW OPPORTUNIS | 6,272 | $331,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 6,100 | $330,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 11,255 | $329,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 38,647 | $328,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS INC | 02875D109 | COM | 13,122 | $328,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 6,203 | $327,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 71,816 | $325,000 | thousands by filing date | |
| PANDION THERAPEUTICS INC | 698340106 | COM | 5,418 | $325,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 32,331 | $324,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 32,836 | $323,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 27,233 | $323,000 | thousands by filing date | |
| FUTU HLDGS LTD SPON ADS CL A | 36118L106 | ADR | 2,023 | $322,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 9,693 | $322,000 | thousands by filing date | |
| BALLYS CORPORATION | 05875B106 | COM | 4,959 | $322,000 | thousands by filing date | |
| BGSF INC | 05601C105 | COM | 23,030 | $322,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G649 | COM | 2,047 | $321,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 2,680 | $321,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 5,779 | $320,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 3,717 | $320,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 8,065 | $319,000 | thousands by filing date | |
| ORTHO CLINICAL DIAGNOSTICS H | G6829J107 | ORD SHS | 16,504 | $318,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 8,457 | $317,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 20,853 | $317,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 4,703 | $316,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 15,431 | $315,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 5,599 | $315,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 46,753 | $310,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 5,552 | $310,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 35,728 | $305,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 9,311 | $304,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F841 | NATURAL RESOURC | 6,766 | $303,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 4,958 | $303,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 43,148 | $301,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 5,066 | $301,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 23,765 | $301,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 21,100 | $301,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 92,600 | $299,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 9,895 | $298,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 28,330 | $298,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 25,390 | $298,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P103 | COM CL A | 27,094 | $297,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 5,262 | $295,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 12,607 | $295,000 | thousands by filing date | |
| LAZYDAYS HLDGS INC | 52110H100 | COM | 16,558 | $295,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 5,831 | $294,000 | thousands by filing date | |
| COREPOINT LODGING INC | 21872L104 | COM | 32,562 | $294,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 29,145 | $291,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 24,340 | $290,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 4,477 | $289,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 81,297 | $288,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 11,715 | $288,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 9,211 | $286,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 3,605 | $285,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 12,728 | $285,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 28,367 | $284,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 23,900 | $284,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 33,910 | $284,000 | thousands by filing date | |
| GOSSAMER BIO INC COM | 38341P102 | Stock | 30,602 | $283,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 70,035 | $283,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 70,000 | $283,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G664 | S&P SMALLCAP 600 | 2,474 | $281,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V480 | S&P SMCP VLU MNT | 5,749 | $279,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 89,300 | $278,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 10,471 | $277,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 14,868 | $276,000 | thousands by filing date | |
| BENTLEY SYS INC COM CL B | 08265T208 | Stock | 5,856 | $275,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 30,079 | $273,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 11,125 | $273,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 20,713 | $273,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 5,383 | $272,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 4,949 | $267,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 21,656 | $267,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDI | 83012A109 | COM | 12,677 | $266,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 18,889 | $266,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 79,700 | $265,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 17,890 | $264,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 28,144 | $263,000 | thousands by filing date | |
| TERRITORAL BANCORP INC | 88145X108 | COMMON STOCK | 9,923 | $263,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424105 | COM CL A | 10,769 | $262,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 14,191 | $259,000 | thousands by filing date | |
| CHARGEPOINT HLDGS INC | 15961R105 | COM CL A | 10,412 | $259,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 3,486 | $258,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,136 | $257,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 53,747 | $257,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 25,100 | $257,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 805 | $255,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 1,163 | $254,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 11,300 | $252,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 192,450 | $251,000 | thousands by filing date | |
| VERACYTE INC COM | 92337F107 | Stock | 4,652 | $250,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 13,025 | $250,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,575 | $249,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 38,097 | $247,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J104 | COM | 26,327 | $246,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 8,069 | $245,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 16,659 | $245,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 20,381 | $245,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 19,299 | $245,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 48,385 | $244,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 13,848 | $244,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 8,902 | $243,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 15,990 | $243,000 | thousands by filing date | |
| Gaotu Techedu Inc | 36257Y109 | COM | 7,129 | $241,000 | thousands by filing date | |
| PROSHARES TR | 74347B375 | LONG ONLINE SHRT | 2,847 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 7,553 | $236,000 | thousands by filing date | |
| FISKER INC | 33813J106 | CL A COM STK | 13,631 | $235,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 6,825 | $235,000 | thousands by filing date | |
| CTO REALTY GROWTH INC | 22948Q101 | REIT | 4,497 | $234,000 | thousands by filing date | |
| TIM SA-ADR | 88706T108 | SPONSORED ADR | 20,654 | $234,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 8,347 | $233,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 7,043 | $232,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 16,240 | $232,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 14,748 | $232,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 24,674 | $232,000 | thousands by filing date | |
| RIBBON COMMUNICATIONS INC | 762544104 | COMMON STOCK | 28,169 | $231,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 6,878 | $230,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 73,310 | $228,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 10,373 | $227,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 50,190 | $226,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 28,500 | $226,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 2,858 | $224,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 10,461 | $223,000 | thousands by filing date | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 6,055 | $221,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 32,078 | $220,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 35,323 | $220,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 31,900 | $219,000 | thousands by filing date | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 23,037 | $217,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 27,390 | $217,000 | thousands by filing date | |
| PIEDMONT LITHIUM LTD | 720162106 | SPONSORED ADS | 3,107 | $216,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 23,994 | $215,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 14,793 | $215,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 14,125 | $214,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 36,199 | $214,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 14,762 | $214,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 14,556 | $213,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 9,087 | $213,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 19,633 | $212,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,284 | $210,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 12,970 | $208,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 86,223 | $208,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 7,592 | $208,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 24,601 | $207,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 6,491 | $207,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 7,436 | $207,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 3,648 | $206,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,254 | $206,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y201 | COM | 6,302 | $205,000 | thousands by filing date | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 8,673 | $205,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 14,303 | $201,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 43,695 | $197,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 15,324 | $196,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 20,316 | $193,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 45,046 | $191,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 12,556 | $187,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,290 | $186,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $185,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,400 | $185,000 | thousands by filing date | |
| ACUTUS MED INC | 005111109 | COM | 13,733 | $183,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 10,518 | $181,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 14,190 | $175,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 18,650 | $170,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 21,885 | $168,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 19,938 | $168,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 24,758 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,773 | $166,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 10,823 | $164,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 11,101 | $162,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 14,532 | $162,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,860 | $161,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 35,625 | $161,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 15,096 | $161,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,110 | $160,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 10,215 | $160,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 15,193 | $159,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 19,679 | $159,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 10,350 | $156,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 30,700 | $155,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 15,242 | $152,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 35,870 | $151,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 17,563 | $149,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 19,469 | $149,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 16,292 | $148,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 14,786 | $148,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 11,877 | $147,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 13,506 | $140,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 10,059 | $137,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 24,690 | $137,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 11,120 | $134,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 14,144 | $133,000 | thousands by filing date | |
| SUZANO S A SPON ADS | 86959K105 | ADR | 10,834 | $132,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 13,378 | $132,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 14,945 | $129,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 49,600 | $129,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 34,461 | $123,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 12,000 | $123,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 11,972 | $122,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 47,300 | $121,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 12,632 | $119,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 11,179 | $118,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 16,675 | $117,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 28,569 | $116,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $116,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 13,422 | $115,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 11,034 | $113,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 62,400 | $112,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 14,607 | $107,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,481 | $107,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 10,887 | $107,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 17,232 | $106,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 24,451 | $106,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 14,242 | $105,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 30,627 | $104,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 17,528 | $102,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 10,041 | $101,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 78,092 | $101,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 34,160 | $100,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,707 | $99,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,320 | $95,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 41,797 | $95,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 15,166 | $94,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 14,798 | $90,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,456 | $88,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 21,799 | $87,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 26,300 | $87,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,109 | $84,000 | thousands by filing date | |
| RADIANT LOGISTICS INC | 75025X100 | COM | 12,030 | $84,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC | 594837403 | SPON ADR NEW | 10,633 | $82,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 12,370 | $81,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 24,064 | $80,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 16,960 | $78,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 15,280 | $78,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 26,179 | $72,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 28,570 | $70,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 12,299 | $69,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 20,497 | $69,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,741 | $62,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 13,800 | $59,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 30,000 | $57,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,300 | $52,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 11,310 | $51,000 | thousands by filing date | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 19,270 | $51,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 10,955 | $50,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,000 | $49,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 16,890 | $49,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 15,300 | $46,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P206 | COM NEW | 15,230 | $44,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 15,333 | $42,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 12,650 | $41,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 17,000 | $41,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 19,300 | $40,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 12,202 | $40,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 10,203 | $39,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 11,042 | $34,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 15,546 | $34,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 20,000 | $33,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 12,000 | $32,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 15,554 | $31,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 28,000 | $29,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 14,208 | $28,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 11,957 | $26,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,465 | $25,000 | thousands by filing date | principal |
| WASHINGTON PRIME GROUP NEW | 93964W405 | COM | 10,832 | $24,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 88,000 | $20,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 25,150 | $17,000 | thousands by filing date | |
| LANDSEA HOMES CORP | 51509P111 | *W EXP 01/08/202 | 65,000 | $17,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $15,000 | thousands by filing date | principal |
| ROCKWELL MED INC | 774374102 | COM | 10,791 | $13,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-006837 | this filing | 2021-05-17 | acceptance time not in the bulk data set |