13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 3,847 holding rows worth $313,002,756,000.
- Accession
- 0000950123-21-015297
- Filer
- CIK 820027
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A combination report, 10,219 entries on the cover page, a total value of $313,002,756,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $313,002,756,000 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 |
|---|---|---|---|---|---|---|
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 35,717 | $368,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 10,899 | $366,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 11,901 | $365,000 | thousands by filing date | |
| Perion Network Ltd | M78673114 | COM | 21,014 | $364,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430479 | ACCESS INVT GR | 6,686 | $363,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 22,943 | $363,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 95,686 | $362,000 | thousands by filing date | |
| LIFEMD INC | 53216B104 | COM | 58,248 | $362,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 9,339 | $362,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 11,383 | $361,000 | thousands by filing date | |
| BRIDGEWATER BANCSHARES INC | 108621103 | COMMON STOCK | 20,189 | $354,000 | thousands by filing date | |
| CORSAIR GAMING INC | 22041X102 | COM | 13,565 | $352,000 | thousands by filing date | |
| INVESCO | 46090C305 | EXCHANGE TRADED | 7,230 | $350,000 | thousands by filing date | |
| FULL TRUCK ALLIANCE CO LTD SPONSORED ADS | 35969L108 | ADR | 22,736 | $349,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 7,584 | $347,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 24,922 | $346,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 25,289 | $346,000 | thousands by filing date | |
| ASSETMARK FINL HLDGS INC | 04546L106 | COM | 13,884 | $345,000 | thousands by filing date | |
| NORTHEAST BK PORTLAND ME | 66405S100 | COM | 10,199 | $344,000 | thousands by filing date | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 49,287 | $343,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 30,880 | $343,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 13,959 | $341,000 | thousands by filing date | |
| ISHARES TR | 46429B333 | GNMA BOND ETF | 6,795 | $340,000 | thousands by filing date | |
| APOLLO ENDOSURGERY INC | 03767D108 | COM | 37,402 | $339,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 4,137 | $338,000 | thousands by filing date | |
| JUST EAT TAKEAWAY COM N V NPV | 48214T305 | SPONSORED ADS | 23,267 | $338,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 4,864 | $336,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 12,088 | $336,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDI | 83012A109 | COM | 15,104 | $335,000 | thousands by filing date | |
| SOTERA HEALTH CO | 83601L102 | COM | 12,667 | $331,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 4,611 | $331,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 10,928 | $330,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 11,859 | $330,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 6,345 | $326,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 22,403 | $326,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 61,027 | $324,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 115,076 | $323,000 | thousands by filing date | |
| CARTER BANKSHARES INC | 146103106 | COMMON STOCK | 22,700 | $322,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 44,410 | $318,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 30,603 | $316,000 | thousands by filing date | |
| FS BANCORP INC | 30263Y104 | COM | 9,134 | $316,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 6,191 | $316,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 44,636 | $316,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 6,785 | $315,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 24,309 | $315,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 5,114 | $315,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 24,341 | $314,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 33,993 | $313,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 5,649 | $313,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 21,775 | $313,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 21,240 | $313,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,698 | $311,000 | thousands by filing date | |
| HUYA INC ADS EACH REP 1 ORD SHS CL A | 44852D108 | COM | 37,348 | $311,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 18,257 | $310,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 17,254 | $310,000 | thousands by filing date | |
| HOUGHTON MIFFLIN HARCOURT CO | 44157R109 | COM | 23,038 | $310,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 75 | $309,000 | thousands by filing date | |
| CORTEXYME INC | 22053A107 | COM | 3,375 | $309,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 6,722 | $309,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 52,000 | $308,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 5,242 | $307,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 28,687 | $306,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 21,020 | $305,000 | thousands by filing date | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 46,727 | $305,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 20,525 | $305,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 7,238 | $305,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 19,923 | $304,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 3,015 | $304,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 3,075 | $303,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 33,601 | $302,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 19,849 | $302,000 | thousands by filing date | |
| FIBROGEN INC | 31572Q808 | COM | 29,428 | $301,000 | thousands by filing date | |
| SABA CAPITAL INCOME & OPRNT | 78518H103 | SHARES | 108,090 | $301,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 10,684 | $299,000 | thousands by filing date | |
| CANO HEALTH INC | 13781Y103 | COM | 23,553 | $299,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 18,898 | $296,000 | thousands by filing date | |
| FIRST TR SML CP CORE ALPHA F | 33734Y109 | COM SHS | 3,212 | $294,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 30,617 | $293,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 12,687 | $293,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 3,617 | $292,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 13,860 | $291,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 23,540 | $291,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 21,469 | $291,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 27,430 | $291,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 3,966 | $289,000 | thousands by filing date | |
| BGSF INC | 05601C105 | COM | 22,615 | $289,000 | thousands by filing date | |
| PRINCIPAL EXCHANGE TRADED FD | 74255Y409 | PRIN HLTHCRE INV | 5,299 | $289,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 55,000 | $288,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q407 | JPMORGAN DIVER | 2,980 | $287,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 43,001 | $287,000 | thousands by filing date | |
| ATERIAN INC | 02156U101 | COM | 26,521 | $287,000 | thousands by filing date | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 2,340 | $286,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 90,864 | $284,000 | thousands by filing date | |
| iShares High Yield Systematic Bond ETF | 46435G250 | SHS | 5,478 | $283,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 14,288 | $283,000 | thousands by filing date | |
| INVESCO CURRENCYSHARES | 46138W107 | JAPANESE YEN | 3,345 | $283,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 13,446 | $283,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 6,946 | $282,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 24,555 | $281,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 5,830 | $279,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 12,090 | $278,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 64,561 | $277,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 8,300 | $277,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 23,322 | $277,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 7,969 | $276,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 9,600 | $276,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 12,319 | $275,000 | thousands by filing date | |
| SCIPLAY CORPORATION | 809087109 | CL A | 13,229 | $274,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 27,149 | $272,000 | thousands by filing date | |
| VANECK RUSSIA ETF | 92189F403 | ETF | 8,969 | $272,000 | thousands by filing date | |
| ORTHO CLINICAL DIAGNOSTICS H | G6829J107 | ORD SHS | 14,738 | $272,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 35,501 | $271,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 33,135 | $271,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 4,915 | $271,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 5,674 | $270,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 26,378 | $270,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 20,244 | $270,000 | thousands by filing date | |
| IMMUNITYBIO INC | 45256X103 | COM | 27,615 | $269,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 5,023 | $268,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 16,465 | $268,000 | thousands by filing date | |
| INVESTAR HOLDING CORP | 46134L105 | COMMON STOCK | 12,155 | $268,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 9,535 | $267,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 5,946 | $267,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 4,946 | $265,000 | thousands by filing date | |
| WOORI FINL GROUP INC SPONSORED ADS | 981064108 | ADR | 9,123 | $264,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 11,300 | $264,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 3,097 | $264,000 | thousands by filing date | |
| TRIMAS CORP | 896215209 | COM NEW | 8,069 | $261,000 | thousands by filing date | |
| WILLIAM PENN BANCORPORATION | 96927A105 | COM | 21,300 | $260,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 18,036 | $259,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J619 | RUSL 1000 DYNM | 5,592 | $259,000 | thousands by filing date | |
| ONCTERNAL THERAPEUTICS INC | 68236P107 | COM | 62,051 | $259,000 | thousands by filing date | |
| HELLO GROUP INC ADS | 423403104 | ADR | 24,400 | $258,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 805 | $258,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 7,444 | $257,000 | thousands by filing date | |
| BCB BANCORP INC | 055298103 | COMMON STOCK | 17,320 | $256,000 | thousands by filing date | |
| GENMAB A/S | 372303206 | Ordinary Shares, nominal value DKK 1 per share | 5,858 | $255,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 6,900 | $254,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 5,975 | $253,000 | thousands by filing date | |
| HYRECAR INC | 44916T107 | COM | 29,790 | $253,000 | thousands by filing date | |
| Cannae Holdings, Inc. | 13765N107 | Common Stock, $0.0001 par value | 8,115 | $252,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 123,137 | $252,000 | thousands by filing date | |
| ACADEMY SPORTS & OUTDOORS INC COM | 00402L107 | Stock | 6,259 | $251,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 67,681 | $251,000 | thousands by filing date | |
| ELYS GAME TECHNOLOGY CORP | 290734102 | COM | 51,000 | $251,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 24,000 | $250,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 16,965 | $250,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 7,041 | $250,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 11,637 | $250,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 17,310 | $249,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 8,400 | $247,000 | thousands by filing date | |
| GREENWICH LIFESCIENCES INC | 396879108 | COMMON STOCK | 6,299 | $246,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 27,175 | $245,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 29,026 | $244,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 22,064 | $243,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 13,713 | $242,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 6,004 | $242,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 9,880 | $241,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 8,072 | $240,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 6,713 | $239,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 4,935 | $238,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 15,522 | $238,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 9,633 | $237,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 3,937 | $236,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 8,241 | $235,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 35,130 | $235,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 24,670 | $234,000 | thousands by filing date | |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 17,900 | $233,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 49,820 | $231,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 13,511 | $230,000 | thousands by filing date | |
| PARSONS CORP DEL COM | 70202L102 | Stock | 6,757 | $228,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 38,042 | $228,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 7,985 | $227,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 4,831 | $227,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 14,700 | $225,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 72,305 | $225,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 12,651 | $224,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 8,963 | $223,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 10,101 | $223,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 3,925 | $222,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 23,057 | $222,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 5,341 | $221,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 8,684 | $220,000 | thousands by filing date | |
| UPWORK INC | 91688F104 | COM | 4,890 | $220,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 10,288 | $220,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP TOTAL R | 18469Q207 | COM | 9,049 | $216,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 14,607 | $215,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 4,944 | $215,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 80,000 | $215,000 | thousands by filing date | |
| PACER FDS TR | 69374H642 | TRENDPILOT US BD | 210,750 | $211,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 2,329 | $209,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 11,517 | $209,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,137 | $207,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 5,710 | $207,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 17,835 | $207,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 5,245 | $207,000 | thousands by filing date | |
| AVIDITY BIOSCIENCES INC COM | 05370A108 | Stock | 8,360 | $206,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 25,775 | $205,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 22,433 | $204,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 3,229 | $203,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 7,440 | $203,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 29,900 | $203,000 | thousands by filing date | |
| IMMUNIC INC | 4525EP101 | COM | 22,865 | $202,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 32,530 | $201,000 | thousands by filing date | |
| TRANSMEDICS GROUP INC | 89377M109 | COM | 6,037 | $200,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 17,875 | $197,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 10,437 | $196,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,616 | $195,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 10,363 | $195,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 23,741 | $192,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 69,412 | $192,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 16,780 | $192,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 19,857 | $191,000 | thousands by filing date | |
| CURO GROUP HOLDINGS CORP | 23131L107 | COM | 10,837 | $188,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 18,384 | $187,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 10,313 | $185,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 13,604 | $185,000 | thousands by filing date | |
| META MATERIALS INC | 59134N104 | COM | 31,595 | $183,000 | thousands by filing date | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 12,626 | $180,000 | thousands by filing date | |
| SKILLZ INC | 83067L109 | COM | 18,324 | $180,000 | thousands by filing date | |
| SENDAS DISTRIBUIDORA S A | 81689T104 | SPON ADS | 10,166 | $178,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 15,694 | $174,000 | thousands by filing date | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 17,740 | $172,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 24,304 | $171,000 | thousands by filing date | |
| DIGITALBRIDGE GROUP INC | 25401T108 | CL A COM | 28,359 | $171,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,773 | $171,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P405 | COMMON STOCK | 31,900 | $171,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 187,223 | $171,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,279 | $170,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 67,199 | $166,000 | thousands by filing date | |
| Eaton Vance Floating Rate | 27831H100 | ETF | 17,630 | $165,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 12,360 | $161,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 46,024 | $160,000 | thousands by filing date | |
| DELAWARE IVY HIGH INCOME OPPOR | 246107106 | COM | 11,438 | $156,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 19,099 | $156,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 30,457 | $156,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 21,611 | $153,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 191,544 | $152,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 34,285 | $149,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 14,329 | $149,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 10,676 | $147,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW COM | 284902509 | Stock | 18,908 | $146,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 16,050 | $146,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 20,275 | $143,000 | thousands by filing date | |
| DASEKE INC | 23753F107 | COM | 15,518 | $143,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 23,726 | $142,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 18,103 | $142,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 13,735 | $141,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 15,278 | $137,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 28,045 | $136,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 22,867 | $134,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 13,281 | $133,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 16,369 | $132,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 34,700 | $132,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 52,625 | $132,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 10,177 | $132,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 34,065 | $131,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 15,137 | $131,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 12,800 | $130,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 10,649 | $130,000 | thousands by filing date | |
| ORCHARD THERAPEUTICS PLC | 68570P101 | ADR | 56,097 | $129,000 | thousands by filing date | |
| NIKOLA CORP | 654110105 | COM | 11,910 | $127,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 18,560 | $125,000 | thousands by filing date | |
| IQIYI INC SPONSORED ADS | 46267X108 | ADR | 14,945 | $120,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 11,477 | $120,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 32,645 | $120,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 12,907 | $119,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 48,200 | $118,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 16,285 | $117,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 10,100 | $116,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 37,500 | $116,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 21,642 | $115,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 15,065 | $115,000 | thousands by filing date | |
| BROOKLYN IMMUNOTHERAPEUTICS | 114082100 | COM | 11,855 | $110,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 27,586 | $107,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 10,833 | $107,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 11,934 | $106,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 14,340 | $104,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 12,748 | $103,000 | thousands by filing date | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 29,847 | $97,000 | thousands by filing date | |
| BM TECHNOLOGIES INC | 05591L107 | COM | 10,878 | $97,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 17,950 | $96,000 | thousands by filing date | |
| AUTOLUS THERAPEUTICS PLC SPON | 05280R100 | COM | 14,503 | $95,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 11,200 | $94,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 11,286 | $92,000 | thousands by filing date | |
| RLX TECHNOLOGY INC | 74969N103 | SPONSORED ADS | 20,339 | $92,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 10,066 | $91,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 36,149 | $91,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 27,668 | $88,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 19,510 | $85,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 23,221 | $85,000 | thousands by filing date | |
| CENTERRA GOLD INC COM | 152006102 | Stock | 12,320 | $84,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 12,729 | $83,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 12,013 | $82,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 15,649 | $82,000 | thousands by filing date | |
| DIDI GLOBAL INC ADR | 23292E108 | SPONSORED ADS | 10,273 | $80,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 14,482 | $79,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 26,210 | $79,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 17,465 | $78,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 59,665 | $73,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 10,910 | $72,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 18,310 | $72,000 | thousands by filing date | |
| ANIXA BIOSCIENCES INC | 03528H109 | COM | 14,700 | $70,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 17,382 | $68,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 33,500 | $64,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 12,172 | $63,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 12,835 | $62,000 | thousands by filing date | |
| ONECONNECT FINL TECHNOLOGY C | 68248T105 | ADR | 14,849 | $61,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 10,320 | $61,000 | thousands by filing date | |
| BIOCEPT INC | 09072V501 | COM | 14,637 | $59,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 17,079 | $58,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 20,792 | $57,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 15,730 | $56,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 10,360 | $56,000 | thousands by filing date | |
| TMC THE METALS CO INC | 87261Y106 | COMMON STOCK | 12,000 | $55,000 | thousands by filing date | |
| ASSEMBLY BIOSCIENCES INC | 045396108 | COM | 14,625 | $51,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 13,770 | $49,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 32,899 | $45,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 32,138 | $45,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 15,297 | $44,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 18,191 | $42,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 17,200 | $40,000 | thousands by filing date | |
| SIO GENE THERAPIES INC | 829399104 | COM | 14,600 | $32,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 27,000 | $28,000 | thousands by filing date | principal |
| WAITR HLDGS INC | 930752100 | COM | 32,050 | $28,000 | thousands by filing date | |
| Hive Blockchain Technologies L | 43366H100 | COM | 10,000 | $27,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 12,690 | $25,000 | thousands by filing date | |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 10,400 | $24,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 20,000 | $24,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 10,000 | $24,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T108 | COM | 10,000 | $24,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 23,005 | $21,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 15,005 | $20,000 | thousands by filing date | |
| STRYVE FOODS INC | 863685111 | COM | 22,500 | $18,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 12,560 | $17,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 15,000 | $16,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 12,200 | $16,000 | thousands by filing date | |
| PROCAPS GROUP SA | L7756P110 | *W EXP 09/29/202 | 15,000 | $16,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 14,459 | $15,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B118 | *W EXP 11/15/202 | 128,500 | $14,000 | thousands by filing date | |
| TOUGHBUILT INDS INC | 89157G116 | *W EXP 11/14/202 | 75,000 | $14,000 | thousands by filing date | |
| ADIAL PHARMACEUTICALS INC | 00688A114 | *W EXP 07/31/202 | 15,000 | $14,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,000 | $12,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $11,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 25,150 | $11,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ALTERYX INC | 02156BAF0 | BOND | 10,000 | $9,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-21-015297 | this filing | 2021-11-15 | acceptance time not in the bulk data set |