13F-HR filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 1,209 holding rows worth $8,618,197,000.
- Accession
- 0001080107-21-000005
- Filer
- CIK 1080107
- 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 holdings report, 1,210 entries on the cover page, a total value of $8,618,197,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,618,195,000 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 |
|---|---|---|---|---|---|---|
| FIDUS INVESTMENT GROUP | 316500107 | COM | 18,000 | $314,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 12,209 | $313,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,997 | $312,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,049 | $312,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 7,609 | $311,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 7,004 | $310,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 5,114 | $309,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 6,770 | $307,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 7,304 | $307,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 752 | $305,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 9,606 | $304,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 19,863 | $303,000 | thousands by filing date | |
| NUVEEN ESG LARGE-CAP GROWTH ETF | 67092P201 | ETF | 4,596 | $301,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 5,817 | $301,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 11,647 | $300,000 | thousands by filing date | |
| NORTHWEST NAT HLDG CO COM | 66765N105 | Stock | 6,469 | $298,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 5,055 | $298,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 3,759 | $297,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 9,475 | $297,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 2,276 | $296,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 473 | $295,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 2,518 | $294,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 8,213 | $293,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,747 | $292,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 483 | $292,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 26,941 | $291,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 12,750 | $289,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 9,895 | $289,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 13,503 | $289,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 18,251 | $289,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 6,125 | $288,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 5,884 | $286,000 | thousands by filing date | |
| ARK ETF TR | 00214Q302 | GENOMIC REV ETF | 3,822 | $286,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 4,937 | $285,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 4,118 | $284,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 7,279 | $284,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 8,784 | $284,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 1,886 | $283,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 8,744 | $283,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 4,582 | $283,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 3,975 | $282,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 14,412 | $281,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 2,541 | $281,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 5,178 | $280,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 5,889 | $277,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 20,097 | $275,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 8,639 | $274,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 11,575 | $274,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 3,241 | $273,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 13,158 | $273,000 | thousands by filing date | |
| ENDAVA PLC ADS | 29260V105 | ADR | 2,004 | $272,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 8,208 | $272,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,847 | $270,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 5,588 | $269,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 2,006 | $268,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 4,375 | $268,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 9,844 | $267,000 | thousands by filing date | |
| iShares International Dividend Growth ETF | 46435G524 | SHS | 4,073 | $266,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 19,166 | $264,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 6,729 | $263,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 3,050 | $263,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 7,384 | $263,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 3,476 | $263,000 | thousands by filing date | |
| LISTED FD TR | 53656F615 | CABOT GROWTH ETF | 10,507 | $263,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 538 | $261,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E206 | CALIF AMT MUN | 9,423 | $261,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 994 | $260,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 3,525 | $260,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 3,870 | $260,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 4,464 | $260,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,624 | $260,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 1,850 | $259,000 | thousands by filing date | |
| ONESPAN INC | 68287N100 | COM | 13,685 | $257,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 8,634 | $257,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 5,129 | $256,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 670 | $255,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 5,268 | $254,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,250 | $254,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108607 | BLOCK TECHN ETF | 5,679 | $254,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 300 | $253,000 | thousands by filing date | |
| BANK OZK LITTLE ROCK ARK COM | 06417N103 | Stock | 5,890 | $253,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,182 | $252,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 3,656 | $251,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 30,896 | $247,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 2,365 | $246,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 4,340 | $245,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 7,379 | $244,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 1,600 | $242,000 | thousands by filing date | |
| HDFC BANK LTD SPONSORED ADS | 40415F101 | ADR | 3,293 | $241,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 5,720 | $241,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R630 | SP KENSHO FINAL | 6,050 | $240,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 3,837 | $239,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 837 | $238,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 6,747 | $238,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 2,000 | $236,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 1,782 | $236,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 11,686 | $236,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 15,845 | $234,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,840 | $234,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 5,933 | $231,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 1,305 | $231,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 23,722 | $231,000 | thousands by filing date | |
| INVESCO NASDAQ NEXT GEN 100 ETF | 46138G631 | ETF | 7,002 | $231,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 108,500 | $231,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 3,050 | $230,000 | thousands by filing date | |
| BLACKROCK CAP ALLOCATION TER | 09260U109 | COM | 11,325 | $229,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 7,100 | $228,000 | thousands by filing date | |
| ALTERYX, INC (CLASS A) | 02156B103 | COM CL A | 3,104 | $227,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 1,302 | $226,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 18,500 | $226,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J700 | BULSHS 2021 CB | 10,731 | $226,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 1,060 | $225,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 1,305 | $225,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 4,078 | $225,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,236 | $224,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 26,809 | $224,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 11,074 | $224,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,150 | $222,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 2,009 | $222,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 57,310 | $222,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 2,200 | $221,000 | thousands by filing date | |
| ISHARES | 46435U432 | EXCHANGE TRADED | 7,900 | $221,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 120,000 | $221,000 | thousands by filing date | principal |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 4,543 | $220,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 19,151 | $220,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 2,488 | $219,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E875 | DORSEY WRGT DVLP | 5,770 | $219,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 40,000 | $219,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 5,315 | $218,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 2,125 | $217,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 3,374 | $217,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 5,718 | $215,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 4,582 | $215,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 3,192 | $214,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 2,639 | $213,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 589 | $213,000 | thousands by filing date | |
| VIRTUS ALLIANZGI ARTIFICIAL IN | 92838Y100 | COM | 8,000 | $213,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 1,345 | $212,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 2,070 | $209,000 | thousands by filing date | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 2,384 | $208,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 20,992 | $208,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 17,022 | $208,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 1,924 | $207,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 15,396 | $206,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 5,000 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 4,315 | $205,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,048 | $204,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 2,016 | $202,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 16,298 | $202,000 | thousands by filing date | |
| MANAGED PORTFOLIO SERIES | 56167N720 | TORTOISE NRAM PI | 9,250 | $202,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 1,590 | $200,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 33,571 | $196,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,250 | $194,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 19,053 | $190,000 | thousands by filing date | |
| ARCHAEA ENERGY INC | 03940F103 | COM CL A | 10,000 | $189,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 17,792 | $181,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 19,655 | $179,000 | thousands by filing date | |
| BOWMAN CONSULTING GROUP LTD | 103002101 | COM | 13,000 | $179,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 13,795 | $171,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 14,900 | $170,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 10,745 | $169,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 10,455 | $169,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 11,894 | $168,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 11,515 | $164,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 11,206 | $161,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 10,070 | $159,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 150,000 | $155,000 | thousands by filing date | principal |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 15,500 | $151,000 | thousands by filing date | |
| NUVASIVE INC | 670704AJ4 | NOTE 0.375% 3/1 | 150,000 | $145,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 100,000 | $145,000 | thousands by filing date | principal |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 23,000 | $144,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 15,413 | $138,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,779 | $133,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 21,191 | $129,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 23,047 | $128,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 11,000 | $126,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 125,000 | $126,000 | thousands by filing date | principal |
| SERVICE PPTYS TR | 81761L102 | COM SH BEN INT | 11,086 | $124,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 110,000 | $122,000 | thousands by filing date | principal |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 10,000 | $112,000 | thousands by filing date | |
| COHERUS BIOSCIENCES INC | 19249HAB9 | BOND | 100,000 | $110,000 | thousands by filing date | principal |
| GUESS INC | 401617AD7 | BOND | 100,000 | $110,000 | thousands by filing date | principal |
| Matrix Service Company | 576853105 | COM | 10,121 | $106,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 75,000 | $106,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 100,000 | $104,000 | thousands by filing date | principal |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 16,450 | $98,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 15,100 | $93,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 12,500 | $79,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 80,000 | $79,000 | thousands by filing date | principal |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 16,800 | $77,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 19,563 | $73,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 19,527 | $70,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 60,000 | $66,000 | thousands by filing date | principal |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,898 | $54,000 | thousands by filing date | |
| LEAP THERAPEUTICS INC | 52187K101 | COM | 13,500 | $54,000 | thousands by filing date | |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 50,000 | $53,000 | thousands by filing date | principal |
| TELLURIAN INC NEW | 87968A104 | COM | 12,000 | $47,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 20,000 | $47,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 10,000 | $45,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 16,930 | $40,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 10,725 | $36,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 26,398 | $36,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 20,000 | $22,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 16,000 | $19,000 | thousands by filing date | principal |
| ANGEL OAK FINL STRATEGIES IN | 03464A118 | RIGHT 10/14/2021 | 82,083 | $18,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,500 | $14,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 13,000 | $13,000 | thousands by filing date | principal |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 10,320 | $9,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-21-000005 | this filing | 2021-11-15 | acceptance time not in the bulk data set |