13F-HR filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-04, with 1,100 holding rows worth $4,838,557,000.
- Accession
- 0001080107-18-000002
- Filer
- CIK 1080107
- Filed
- 2018-05-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 1,100 entries on the cover page, a total value of $4,838,557,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,838,557,000 with VALUE read as thousands by filing date, 13F file number 028-07602. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 1,636 | $204,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 1,903 | $204,000 | thousands by filing date | |
| ALKERMES PLC | G01767105 | SHS | 3,526 | $204,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 20,771 | $204,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 5,669 | $204,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 29,145 | $204,000 | thousands by filing date | |
| ACUITY INC COM | 00508Y102 | Stock | 1,450 | $202,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 2,163 | $202,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 5,880 | $202,000 | thousands by filing date | |
| ALLEGIANT TRAVEL CO | 01748X102 | COM | 1,167 | $201,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 17,120 | $198,000 | thousands by filing date | |
| DENALI THERAPEUTICS INC COM | 24823R105 | Stock | 10,000 | $197,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 40,133 | $190,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 16,607 | $188,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 21,000 | $188,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 14,174 | $186,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 44,000 | $185,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 10,805 | $183,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 15,231 | $179,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 12,500 | $176,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,928 | $175,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 17,924 | $173,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 13,180 | $172,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 17,953 | $170,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 10,650 | $170,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 31,500 | $162,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 10,307 | $152,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 12,605 | $148,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 147,000 | $147,000 | thousands by filing date | principal |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 12,107 | $143,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 100,000 | $143,000 | thousands by filing date | principal |
| HORIZON PHARMA PLC | G4617B105 | SHS | 10,085 | $143,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 14,978 | $140,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 11,942 | $139,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 64,050 | $135,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 150,000 | $135,000 | thousands by filing date | principal |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 63,500 | $133,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 125,000 | $132,000 | thousands by filing date | principal |
| VEREIT INC | 92339V100 | COM | 18,548 | $129,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 130,000 | $129,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 140,000 | $126,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 70,000 | $126,000 | thousands by filing date | principal |
| NOKIA CORP | 654902204 | SPONSORED ADR | 22,207 | $121,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 16,550 | $121,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 17,854 | $121,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 120,000 | $120,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 120,000 | $120,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 120,000 | $120,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 120,000 | $118,000 | thousands by filing date | principal |
| ENSCO PLC | G3157S106 | SHS CLASS A | 26,700 | $117,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 100,000 | $117,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 110,000 | $117,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 120,000 | $116,000 | thousands by filing date | principal |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 120,000 | $116,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 120,000 | $115,000 | thousands by filing date | principal |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 14,000 | $114,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 65,552 | $114,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 100,000 | $113,000 | thousands by filing date | principal |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 12,872 | $112,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 10,300 | $112,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 100,000 | $112,000 | thousands by filing date | principal |
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 15,255 | $108,000 | thousands by filing date | |
| Aceto Corp | 004446AD2 | CONV BOND | 120,000 | $105,000 | thousands by filing date | principal |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 11,611 | $104,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 100,000 | $101,000 | thousands by filing date | principal |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 100,000 | $101,000 | thousands by filing date | principal |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 16,034 | $99,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052WAA2 | NOTE 2.750% 7/0 | 120,000 | $98,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $97,000 | thousands by filing date | principal |
| FANG HOLDING-ADR | 30711Y102 | ADR | 18,929 | $97,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 11,500 | $96,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,000 | $94,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 14,500 | $94,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AB4 | NOTE 5.375%11/1 | 90,000 | $91,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 50,000 | $90,000 | thousands by filing date | principal |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 10,000 | $89,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 12,564 | $82,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 43,500 | $82,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 80,000 | $79,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 77,000 | $78,000 | thousands by filing date | principal |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 15,000 | $77,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 80,000 | $75,000 | thousands by filing date | principal |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 26,398 | $74,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 16,178 | $70,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 15,010 | $67,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 15,800 | $65,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 60,342 | $59,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 40,000 | $59,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624208 | COM NEW | 34,000 | $57,000 | thousands by filing date | |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 75,000 | $55,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 53,500 | $50,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 27,000 | $45,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 14,500 | $40,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 58,000 | $21,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 10,000 | $17,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $15,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 15,000 | $15,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 11,698 | $14,000 | thousands by filing date | |
| ENTREE RES LTD COM | 29384j103 | CS | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-18-000002 | this filing | 2018-05-04 | acceptance time not in the bulk data set |