13F-HR filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR for the quarter ended 2022-09-30, filed 2022-11-07, with 1,285 holding rows worth $7,634,890,000.
- Accession
- 0001080107-22-000004
- Filer
- CIK 1080107
- Filed
- 2022-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A holdings report, 1,285 entries on the cover page, a total value of $7,634,890,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,634,890,000 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 |
|---|---|---|---|---|---|---|
| ARBOR REALTY TRUST INC | 038923108 | COM | 26,175 | $301,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 9,371 | $300,000 | thousands by filing date | |
| ISHARES TR | 46436E551 | ESG SELECT SCRE | 10,097 | $300,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 10,053 | $300,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 4,957 | $299,000 | thousands by filing date | |
| ONTO INNOVATION INC COM | 683344105 | Stock | 4,650 | $298,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 27,356 | $298,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 6,981 | $296,000 | thousands by filing date | |
| ADAPTIVE BIOTECHNOLOGIES CORP COM | 00650F109 | Stock | 41,550 | $296,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 7,600 | $296,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 9,564 | $295,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 11,330 | $294,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 36,792 | $294,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 2,325 | $293,000 | thousands by filing date | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 34,832 | $293,000 | thousands by filing date | |
| WESTERN ASSET DIVERSIFIED IN | 95790K109 | COM SHS BEN INT | 23,320 | $293,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 4,638 | $292,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 1,387 | $292,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 19,538 | $292,000 | thousands by filing date | |
| PEOPLES BANCORP INC | 709789101 | COM | 10,104 | $292,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 803 | $291,000 | thousands by filing date | |
| QUANTUM SI INC | 74765K105 | COM CL A | 105,000 | $289,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739G103 | MNGD FUTRS STRGY | 5,610 | $289,000 | thousands by filing date | |
| APPIAN CORP | 03782L101 | CL A | 7,085 | $289,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 9,105 | $288,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 7,459 | $287,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 6,982 | $285,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 3,992 | $284,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 35,651 | $284,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 6,126 | $282,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 4,536 | $278,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 1,488 | $277,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 2,048 | $277,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 7,724 | $277,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 9,606 | $277,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,555 | $276,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 33,136 | $276,000 | thousands by filing date | |
| NORTHWEST NAT HLDG CO COM | 66765N105 | Stock | 6,301 | $275,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 20,341 | $275,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 4,599 | $274,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 3,491 | $274,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 20,909 | $273,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 1,951 | $272,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 14,022 | $272,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 3,689 | $271,000 | thousands by filing date | |
| THOMPSON REUTERS CORP | 884903709 | COM NEW | 2,633 | $270,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 3,952 | $267,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,399 | $267,000 | thousands by filing date | |
| Vanguard Total World Bond ETF | 92206C565 | SHS | 3,972 | $266,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 6,554 | $266,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 13,884 | $265,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 1,945 | $265,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 32,661 | $265,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 10,697 | $264,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 7,609 | $264,000 | thousands by filing date | |
| NUVEEN MULTI ASSET INCOME FUND | 670750108 | COM | 23,160 | $264,000 | thousands by filing date | |
| BLACKROCK CAP ALLOCATION TER | 09260U109 | COM | 19,332 | $263,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 5,681 | $262,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,992 | $260,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 6,811 | $260,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 22,477 | $259,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 3,875 | $259,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 8,682 | $258,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 4,545 | $257,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,291 | $257,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 21,876 | $257,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,316 | $256,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 8,819 | $256,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 3,377 | $255,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 6,658 | $255,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 2,000 | $254,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H207 | COM | 10,164 | $254,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 4,033 | $253,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 21,825 | $253,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 3,789 | $252,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,366 | $251,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 16,358 | $251,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 3,820 | $250,000 | thousands by filing date | |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 2,000 | $249,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 6,191 | $249,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 3,050 | $248,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 635 | $247,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 2,484 | $246,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 6,306 | $245,000 | thousands by filing date | |
| EVERGY INC COM | 30034W106 | Stock | 4,117 | $245,000 | thousands by filing date | |
| FRANKLIN TEMPLETON ETF TR | 35473P801 | US LRG CP MLTFCT | 6,690 | $245,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 83,842 | $245,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 7,920 | $244,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 88,612 | $242,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 15,022 | $242,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 2,399 | $241,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 2,957 | $241,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 7,752 | $240,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 8,014 | $240,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 11,489 | $240,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 6,036 | $240,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 29,957 | $240,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 300 | $239,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 7,700 | $239,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 12,803 | $239,000 | thousands by filing date | |
| RIVIAN AUTOMOTIVE INC COM CL A | 76954A103 | Stock | 7,240 | $238,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 17,131 | $238,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 9,700 | $236,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 1,042 | $234,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 1,234 | $232,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 887 | $232,000 | thousands by filing date | |
| PREMIER FINANCIAL CORP | 74052F108 | COMMON STOCK | 9,011 | $232,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 21,487 | $231,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 2,528 | $231,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 9,592 | $230,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2027 CORPORATE BOND ETF | 46138J783 | ETF | 12,367 | $230,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 10,050 | $227,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 10,783 | $227,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 5,604 | $227,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 16,240 | $226,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 2,444 | $226,000 | thousands by filing date | |
| CAPITAL GROUP GROWTH ETF | 14020G101 | SHS CREAT UNIT | 11,581 | $226,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 4,491 | $226,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 27,801 | $225,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 6,964 | $225,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L886 | COM | 7,511 | $225,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 6,666 | $225,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 2,482 | $225,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 9,909 | $225,000 | thousands by filing date | |
| ROBERT HALF INC. COM | 770323103 | Stock | 2,917 | $223,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 1,459 | $222,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 15,100 | $222,000 | thousands by filing date | |
| HF SINCLAIR CORP COM | 403949100 | Stock | 4,100 | $221,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 3,085 | $221,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 9,902 | $221,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 17,550 | $220,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 2,267 | $218,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 3,276 | $218,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 1,759 | $217,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 10,862 | $216,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,748 | $216,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 627 | $216,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 13,047 | $215,000 | thousands by filing date | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 2,463 | $214,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 1,211 | $214,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 4,131 | $214,000 | thousands by filing date | |
| INVESCO | 46138J825 | EXCHANGE TRADED | 10,713 | $214,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,360 | $213,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 19,250 | $213,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 8,690 | $213,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 969 | $212,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 1,160 | $212,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 3,500 | $212,000 | thousands by filing date | |
| LCI INDS | 50189K103 | COM | 2,086 | $211,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 1,276 | $210,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 15,177 | $210,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 752 | $209,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,187 | $209,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 3,065 | $208,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,840 | $208,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 27,879 | $204,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 26,941 | $204,000 | thousands by filing date | |
| HESS MIDSTREAM LP | 428103105 | CL A SHS | 8,000 | $204,000 | thousands by filing date | |
| PGIM ETF TR | 69344A107 | PGIM ULTRA SH BD | 4,135 | $203,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 5,101 | $202,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 2,224 | $201,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 3,396 | $201,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 7,686 | $201,000 | thousands by filing date | |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 8,700 | $200,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 1,662 | $200,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 32,483 | $199,000 | thousands by filing date | |
| FIRST TR ETF VEST GOLD STRATEGY TARGET INCOME ETF | 33733E856 | ETF | 10,770 | $196,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 19,005 | $195,000 | thousands by filing date | |
| PENNANT GROUP INC | 70805E109 | COM | 18,470 | $192,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 12,536 | $186,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 22,864 | $185,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 18,748 | $184,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 11,074 | $182,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 80 | $180,000 | thousands by filing date | call |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 10,403 | $180,000 | thousands by filing date | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 33,546 | $176,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 16,115 | $170,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 11,978 | $170,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 15,935 | $169,000 | thousands by filing date | |
| TELOS CORP MD | 87969B101 | COM | 18,826 | $167,000 | thousands by filing date | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 34,112 | $166,000 | thousands by filing date | |
| POSTAL REALTY TRUST INC | 73757R102 | CL A | 11,159 | $164,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 21,700 | $164,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 13,396 | $160,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,059 | $159,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 11,775 | $159,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 63,983 | $157,000 | thousands by filing date | |
| BLACKROCK ESG CAP ALLC TR | 09262F100 | SHS BEN INT | 12,200 | $156,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC | 40637HAD1 | NOTE 0.250% 3/0 | 180,000 | $153,000 | thousands by filing date | principal |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 12,311 | $152,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 20,716 | $151,000 | thousands by filing date | |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 160,000 | $148,000 | thousands by filing date | principal |
| ONESPAN INC | 68287N100 | COM | 17,247 | $148,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 12,955 | $147,000 | thousands by filing date | |
| TRAEGER INC | 89269P103 | COMMON STOCK | 52,000 | $147,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 10,502 | $142,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 10,877 | $142,000 | thousands by filing date | |
| ALTA EQUIPMENT GROUP INC COMMON STOCK | 02128L106 | Stock | 12,405 | $137,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 11,158 | $137,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 10,320 | $136,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AM3 | NOTE 2.875% 4/1 | 170,000 | $135,000 | thousands by filing date | principal |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 12,080 | $135,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAF5 | BOND | 135,000 | $135,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAK7 | NOTE 1.250% 5/1 | 135,000 | $134,000 | thousands by filing date | principal |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,872 | $134,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 14,349 | $132,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 15,339 | $131,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 38,753 | $131,000 | thousands by filing date | |
| GUESS INC | 401617AD7 | BOND | 135,000 | $128,000 | thousands by filing date | principal |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 20,555 | $127,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 135,000 | $126,000 | thousands by filing date | principal |
| INTERDIGITAL INC | 45867GAB7 | BOND | 135,000 | $126,000 | thousands by filing date | principal |
| CHEGG INC | 163092AD1 | NOTE 0.125% 3/1 | 140,000 | $122,000 | thousands by filing date | principal |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,500 | $116,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 120,000 | $113,000 | thousands by filing date | principal |
| LCI INDS | 501812AB7 | NOTE 1.125% 5/1 | 130,000 | $111,000 | thousands by filing date | principal |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 12,100 | $110,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC | 695127AF7 | NOTE 0.750% 8/0 | 110,000 | $109,000 | thousands by filing date | principal |
| PETIQ INC | 71639TAB2 | NOTE 4.000% 6/0 | 130,000 | $106,000 | thousands by filing date | principal |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 11,799 | $105,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 11,812 | $105,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 11,049 | $102,000 | thousands by filing date | |
| IMEDIA BRANDS INC | 452465206 | COM CL A | 157,699 | $101,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 17,235 | $98,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 30,858 | $97,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS I | 55405YAB6 | NOTE 0.250% 3/1 | 100,000 | $95,000 | thousands by filing date | principal |
| Palantir Technologies Inc. Class A | 69608A108 | COM | 11,608 | $94,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 100,000 | $93,000 | thousands by filing date | principal |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 100,000 | $91,000 | thousands by filing date | principal |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 11,900 | $91,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 19,077 | $89,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AP6 | NOTE 0.500% 4/0 | 120,000 | $86,000 | thousands by filing date | principal |
| SPIRIT AIRLS INC | 848577AB8 | NOTE 1.000% 5/1 | 100,000 | $86,000 | thousands by filing date | principal |
| IMAX CORP | 45245EAJ8 | NOTE 0.500% 4/0 | 100,000 | $83,000 | thousands by filing date | principal |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 14,159 | $81,000 | thousands by filing date | |
| OPEN LENDING CORP | 68373J104 | COM | 10,020 | $81,000 | thousands by filing date | |
| TripAdvisor Inc | 896945AD4 | CONV | 100,000 | $81,000 | thousands by filing date | principal |
| WW INTL INC | 98262P101 | COM | 20,350 | $80,000 | thousands by filing date | |
| HAEMONETICS CORP MASS | 405024AB6 | NOTE 3/0 | 100,000 | $80,000 | thousands by filing date | principal |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 12,151 | $79,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 100,000 | $78,000 | thousands by filing date | principal |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 12,073 | $77,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 10,931 | $76,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 75,000 | $75,000 | thousands by filing date | principal |
| Home Depot, Inc | 437076102 | COM | 12 | $72,000 | thousands by filing date | put |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 10,100 | $72,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 10,344 | $71,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 10,400 | $68,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 20,319 | $67,000 | thousands by filing date | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 10,400 | $60,000 | thousands by filing date | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 18,000 | $56,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 20 | $55,000 | thousands by filing date | put |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 32,810 | $53,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 135,343 | $50,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 12,994 | $48,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 6 | $45,000 | thousands by filing date | put |
| ELECTRA BATTERY MATERIALS CO | 28474P201 | COM | 13,667 | $38,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 28,651 | $37,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 14 | $36,000 | thousands by filing date | put |
| ATYR PHARMA INC | 002120202 | COM NEW | 11,800 | $35,000 | thousands by filing date | |
| ATI PHYSICAL THERAPY INC | 00216W109 | COM CL A | 33,714 | $34,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,230 | $28,000 | thousands by filing date | |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 15,450 | $28,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 11,707 | $27,000 | thousands by filing date | |
| RIGETTI COMPUTING INC | 76655K111 | *W EXP 03/02/202 | 125,000 | $27,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 26 | $25,000 | thousands by filing date | call |
| Tesla Motors, Inc | 88160R101 | COM | 6 | $24,000 | thousands by filing date | put |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 20,000 | $20,000 | thousands by filing date | principal |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 85 | $19,000 | thousands by filing date | call |
| NORDSTROM INC | 655664100 | COM | 10 | $18,000 | thousands by filing date | put |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 15 | $17,000 | thousands by filing date | put |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 26,398 | $16,000 | thousands by filing date | |
| THETRADEDESKINCCLASSCLASSA | 88339J105 | STOK | 10 | $15,000 | thousands by filing date | put |
| United States Brent Oil Fund L | 91167Q100 | COM | 21 | $14,000 | thousands by filing date | call |
| SNAP ON INC COM | 833034101 | Stock | 2 | $12,000 | thousands by filing date | put |
| QUANERGY SYSTEMS INC | 74764U104 | COM | 60,000 | $12,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 66,500 | $10,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3 | $7,000 | thousands by filing date | put |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 10,500 | $5,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 10,000 | $4,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 20,000 | $3,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 1 | $1,000 | thousands by filing date | call |
| OBLONG INC | 674434105 | COM | 10,000 | $1,000 | thousands by filing date | |
| QUANERGY SYSTEMS INC | 74764U112 | *W EXP 02/01/202 | 40,000 | $1,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 5 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-22-000004 | this filing | 2022-11-07 | acceptance time not in the bulk data set |