13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-08-16, with 3,880 holding rows worth $323,402,963,000.
- Accession
- 0000950123-21-011254
- Filer
- CIK 820027
- Filed
- 2021-08-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A combination report, 10,387 entries on the cover page, a total value of $323,402,963,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $323,402,963,000 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, LLC028-10477
- reports for this filerAmeriprise Trust Co028-10458
- reports for this filerAmeriprise Certificate Co028-00140
- reports for this filerRiverSource Life Insurance Co028-00143
- reports for this filerRiverSource Life Insurance Co of New York028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- reports for this filerColumbia Wanger Asset Management, LLC. 028-03639
- reports for this filerAmeriprise Bank, FSB028-18942
- 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288521 | CRE U S REIT ETF | 7,587 | $443,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 10,017 | $442,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 18,200 | $441,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 5,738 | $440,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 27,936 | $440,000 | thousands by filing date | |
| DAQO NEW ENERGY CORP. (ADR) | 23703Q203 | SPNSRD ADS NEW | 6,743 | $439,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 37,030 | $439,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 45,560 | $438,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 6,408 | $433,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 94,166 | $433,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R107 | SHS | 30,402 | $433,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 19,585 | $433,000 | thousands by filing date | |
| INVESCO FUNDAMENTAL INVESTMENT GRADE CORPORATE BOND ETF | 46138E693 | ETF | 15,981 | $431,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 4,400 | $431,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 9,551 | $428,000 | thousands by filing date | |
| AMALGAMATED FINANCIAL CORP | 022671101 | COM | 27,385 | $428,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 8,815 | $426,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 2,187 | $423,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 18,497 | $421,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 50,788 | $421,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 29,630 | $420,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 62,940 | $420,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 57,100 | $420,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 18,894 | $418,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 31,944 | $418,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 4,925 | $417,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 40,705 | $417,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 9,816 | $415,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 33,719 | $412,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 34,310 | $412,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 7,605 | $411,000 | thousands by filing date | |
| FULL TRUCK ALLIANCE CO LTD SPONSORED ADS | 35969L108 | ADR | 20,000 | $408,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 12,813 | $407,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 8,103 | $404,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 10,466 | $404,000 | thousands by filing date | |
| IMMUNITYBIO INC | 45256X103 | COM | 28,135 | $402,000 | thousands by filing date | |
| LUMINAR TECHNOLOGIES INC | 550424105 | COM CL A | 18,302 | $402,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,744 | $400,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 17,734 | $399,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 7,560 | $398,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 25,270 | $397,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 11,925 | $396,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 5,922 | $396,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 9,925 | $395,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F796 | COM | 7,050 | $395,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 57,390 | $394,000 | thousands by filing date | |
| Sun Country Airlines Holding | 866683105 | COM | 10,549 | $393,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 48,059 | $393,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 12,301 | $392,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 12,276 | $392,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 100 | $388,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 7,521 | $388,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 12,483 | $388,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 21,338 | $386,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 7,036 | $386,000 | thousands by filing date | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 30,869 | $385,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 42,989 | $383,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 17,800 | $381,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 24,577 | $378,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 4,332 | $377,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 30,817 | $377,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 11,248 | $374,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROUP SPONSORED ADS | 45857P806 | ADR | 5,596 | $373,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 25,775 | $373,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 27,309 | $372,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 10,438 | $369,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 43,774 | $368,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 4,608 | $368,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 13,600 | $368,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 26,451 | $368,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 26,145 | $367,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 29,963 | $366,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 7,078 | $365,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 7,767 | $365,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 6,956 | $364,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 25,194 | $363,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 2,492 | $362,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 10,166 | $360,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 8,017 | $360,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 4,794 | $357,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 9,071 | $356,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 4,137 | $355,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 8,668 | $352,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 24,282 | $351,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 7,238 | $351,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 7,079 | $350,000 | thousands by filing date | |
| RUSH STREET INTERACTIVE INC | 782011100 | COM | 28,467 | $349,000 | thousands by filing date | |
| ASSETMARK FINL HLDGS INC | 04546L106 | COM | 13,884 | $348,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 24,616 | $348,000 | thousands by filing date | |
| FIRST TRUST LOW DURATION OPPORTUNITIES ETF | 33739Q200 | ETF | 6,801 | $347,000 | thousands by filing date | |
| COMMERCE.COM INC | 08975P108 | COM SER 1 | 5,326 | $347,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 15,712 | $346,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 21,495 | $344,000 | thousands by filing date | |
| DILLARDS INC CL A | 254067101 | Stock | 1,891 | $342,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 5,692 | $342,000 | thousands by filing date | |
| PAYA HOLDINGS INC | 70434P103 | COM CL A | 30,900 | $341,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 5,627 | $340,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 4,702 | $335,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 20,287 | $334,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 33,654 | $333,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 5,400 | $331,000 | thousands by filing date | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 39,100 | $330,000 | thousands by filing date | |
| SOTERA HEALTH CO | 83601L102 | COM | 13,578 | $329,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 37,265 | $328,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 27,379 | $328,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 4,854 | $327,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 74,365 | $327,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 20,189 | $326,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 4,176 | $325,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 5,580 | $324,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 24,752 | $323,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 47,283 | $322,000 | thousands by filing date | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 35,100 | $322,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 39,702 | $322,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 67,713 | $322,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 15,217 | $321,000 | thousands by filing date | |
| IDEAYA BIOSCIENCES INC COM | 45166A102 | Stock | 15,220 | $319,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 21,171 | $319,000 | thousands by filing date | |
| SPROTT ETF TRUST | 85210B102 | GOLD MINERS ETF | 11,319 | $316,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 15,055 | $316,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 44,636 | $315,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 13,786 | $314,000 | thousands by filing date | |
| KNOWBE4 INC | 49926T104 | COMMON STOCK | 10,014 | $314,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 7,921 | $313,000 | thousands by filing date | |
| SABA CAPITAL INCOME & OPRNT | 78518H103 | SHARES | 66,449 | $313,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 3,211 | $312,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 26,290 | $311,000 | thousands by filing date | |
| DIGITALBRIDGE GROUP INC | 25401T108 | CL A COM | 39,299 | $311,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J859 | MULTI INTL ETF | 9,219 | $311,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 19,066 | $309,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,665 | $309,000 | thousands by filing date | |
| BRIGHTVIEW HLDGS INC | 10948C107 | COM | 18,957 | $309,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 4,770 | $308,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 10,422 | $308,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 21,243 | $308,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 103,253 | $307,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDI | 83012A109 | COM | 13,776 | $306,000 | thousands by filing date | |
| ORTHO CLINICAL DIAGNOSTICS H | G6829J107 | ORD SHS | 14,247 | $305,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 4,511 | $304,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 3,535 | $300,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 3,541 | $299,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 7,807 | $299,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 99,900 | $299,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 6,932 | $298,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 9,466 | $298,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 10,684 | $298,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,419 | $297,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 50,300 | $294,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 3,875 | $293,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 12,909 | $291,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 2,654 | $291,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 23,670 | $290,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 83,972 | $289,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 27,084 | $289,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 12,361 | $288,000 | thousands by filing date | |
| MOMO INC | 60879B107 | ADR | 18,658 | $287,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 17,065 | $286,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 18,556 | $286,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 13,360 | $286,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 10,063 | $284,000 | thousands by filing date | |
| CORSAIR GAMING INC | 22041X102 | COM | 8,730 | $284,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 19,725 | $284,000 | thousands by filing date | |
| GFL ENVIRONMENTAL INC SUB VTG SHS | 36168Q104 | Stock | 8,903 | $283,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,551 | $283,000 | thousands by filing date | |
| BGSF INC | 05601C105 | COM | 22,915 | $283,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 4,408 | $282,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 14,277 | $282,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 30,647 | $282,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 13,579 | $282,000 | thousands by filing date | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 46,827 | $279,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 9,194 | $278,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 22,758 | $278,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 68,406 | $278,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 1,600 | $277,000 | thousands by filing date | call |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 11,371 | $277,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 33,135 | $277,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 24,881 | $275,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 27,412 | $274,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 25,804 | $274,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 8,071 | $273,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 10,184 | $272,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 805 | $272,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 5,430 | $272,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 82,000 | $272,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 11,167 | $271,000 | thousands by filing date | |
| PIEDMONT LITHIUM INC | 72016P105 | COM | 3,448 | $270,000 | thousands by filing date | |
| ACADEMY SPORTS & OUTDOORS INC COM | 00402L107 | Stock | 6,429 | $265,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 19,784 | $265,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,314 | $264,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 4,501 | $263,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 18,188 | $262,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 11,300 | $261,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 7,003 | $257,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 32,000 | $256,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 10,948 | $255,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 4,891 | $255,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 14,868 | $251,000 | thousands by filing date | |
| Up Fintech Holding Ltd | 91531W106 | COM | 8,538 | $247,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 6,685 | $247,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 16,791 | $246,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 14,677 | $246,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 73,305 | $246,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 8,069 | $245,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 2,575 | $244,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 204,703 | $244,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 8,095 | $243,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 35,775 | $243,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 25,627 | $242,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 6,706 | $240,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 9,267 | $240,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q478 | DISRUPTIVE TECH | 4,945 | $240,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 33,000 | $239,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 6,413 | $237,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 13,025 | $235,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 15,522 | $234,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 21,170 | $233,000 | thousands by filing date | |
| ISHARES INC | 464286251 | JP MRG EM CRP BD | 4,399 | $231,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 13,350 | $231,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 5,626 | $230,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,264 | $230,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,312 | $230,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 6,676 | $228,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 3,723 | $227,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 9,880 | $226,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 24,025 | $224,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 17,568 | $224,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 10,372 | $223,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 14,404 | $222,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 2,422 | $222,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 11,957 | $219,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 21,786 | $219,000 | thousands by filing date | |
| ALBERTSONS COMPANIES INC COMMON STOCK | 013091103 | Stock | 11,006 | $217,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 15,740 | $217,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 6,512 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 6,966 | $216,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 18,856 | $214,000 | thousands by filing date | |
| INVESCO | 46138J874 | EXCHANGE TRADED | 9,098 | $213,000 | thousands by filing date | |
| DIDI GLOBAL INC ADR | 23292E108 | SPONSORED ADS | 15,000 | $212,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,103 | $210,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 9,225 | $209,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 6,213 | $209,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 54,877 | $208,000 | thousands by filing date | |
| CUSTOM TRUCK ONE SOURCE INC | 23204X103 | COM CL A | 21,513 | $207,000 | thousands by filing date | |
| BLACKROCK CAP ALLOCATION TER | 09260U109 | COM | 9,402 | $206,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 4,860 | $206,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 5,217 | $203,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 3,876 | $202,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 13,129 | $202,000 | thousands by filing date | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 10,254 | $201,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 1,684 | $201,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 20,108 | $200,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y607 | PRIN U S SMALL | 4,255 | $200,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 27,824 | $200,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 65,621 | $199,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,431 | $198,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 30,900 | $198,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 11,637 | $198,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,931 | $198,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 11,690 | $198,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 48,600 | $198,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $197,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 13,888 | $197,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 24,351 | $197,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 78,155 | $196,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 21,474 | $196,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 12,973 | $191,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 20,481 | $191,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 12,556 | $189,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 34,285 | $187,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 13,319 | $187,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 11,822 | $184,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 19,175 | $181,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 10,300 | $179,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 14,532 | $177,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 60,225 | $172,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 41,155 | $172,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 10,248 | $171,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 15,661 | $170,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,868 | $166,000 | thousands by filing date | |
| AVEANNA HEALTHCARE HLDGS INC | 05356F105 | COM | 13,202 | $164,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 11,310 | $164,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 11,413 | $162,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 10,649 | $156,000 | thousands by filing date | |
| SABRE GLBL INC | 78573NAE2 | BOND | 85,000 | $155,000 | thousands by filing date | principal |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 22,168 | $152,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 14,927 | $152,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 34,350 | $149,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 17,165 | $149,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 13,840 | $144,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 11,297 | $142,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 33,400 | $142,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 12,995 | $141,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 15,400 | $138,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 33,600 | $137,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 14,258 | $136,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 14,190 | $131,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W200 | COM NEW | 33,900 | $131,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 12,995 | $129,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 17,183 | $128,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 22,475 | $126,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 14,818 | $125,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 13,962 | $124,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 13,708 | $120,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 25,140 | $117,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,767 | $116,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 11,161 | $116,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 13,875 | $114,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 31,868 | $113,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 16,340 | $113,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 32,113 | $113,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,454 | $112,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 10,887 | $112,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 13,000 | $112,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G112 | RIGHT 07/14/2021 | 167,967 | $111,000 | thousands by filing date | |
| BIOVENTUS INC | 09075A108 | COM CL A | 12,096 | $110,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 33,350 | $110,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 13,370 | $109,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 18,895 | $109,000 | thousands by filing date | |
| CENTERRA GOLD INC COM | 152006102 | Stock | 14,250 | $108,000 | thousands by filing date | |
| TELEFONICA BRASIL SA | 87936R205 | SPONSORED ADS | 12,663 | $108,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 10,581 | $107,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 28,268 | $106,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 62,600 | $106,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 47,300 | $105,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 10,666 | $102,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 20,449 | $101,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 24,871 | $98,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 22,545 | $96,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 56,947 | $96,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 10,832 | $93,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 17,850 | $91,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 11,990 | $91,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 16,633 | $91,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 13,377 | $85,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 35,217 | $84,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 12,400 | $84,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 19,054 | $83,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 14,870 | $75,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 42,050 | $75,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 18,279 | $74,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 12,333 | $73,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 15,341 | $73,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,263 | $72,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 13,500 | $72,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 17,730 | $71,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 11,310 | $70,000 | thousands by filing date | |
| GRAYBUG VISION INC COM | 38942Q103 | SHS | 12,305 | $67,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 30,000 | $62,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 14,837 | $62,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 15,825 | $61,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,120 | $58,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 19,200 | $54,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 15,730 | $53,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,741 | $51,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 13,100 | $51,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 12,000 | $46,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 10,400 | $40,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 11,858 | $40,000 | thousands by filing date | |
| SIO GENE THERAPIES INC | 829399104 | COM | 14,600 | $40,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 16,433 | $39,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 12,690 | $36,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 20,000 | $36,000 | thousands by filing date | |
| OCEAN PWR TECHNOLOGIES I | 674870506 | Equity | 14,000 | $35,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 14,863 | $34,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 10,000 | $32,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 28,000 | $29,000 | thousands by filing date | principal |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 14,879 | $27,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397218 | RIGHT 07/14/2021 | 223,857 | $26,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 13,800 | $22,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 128,500 | $19,000 | thousands by filing date | |
| 0 | 31738L115 | 0 | 14,150 | $19,000 | thousands by filing date | |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 11,000 | $17,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $16,000 | thousands by filing date | principal |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,000 | $16,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 25,150 | $15,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415124 | *W EXP 07/31/202 | 12,250 | $15,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 15,000 | $11,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 10,500 | $10,000 | thousands by filing date | |
| 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 0000950123-21-011254 | this filing | 2021-08-16 | acceptance time not in the bulk data set |