13F-HR filed by RAYMOND JAMES & ASSOCIATES
RAYMOND JAMES & ASSOCIATES filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-10-24, with 3,788 holding rows worth $119,032,794,895.
- Accession
- 0001084208-23-000013
- Filer
- CIK 1084208
- Filed
- 2023-10-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 3,788 entries on the cover page, a total value of $119,032,794,895 stated on the cover page (in dollars after the unit check, H1), rows summing to $119,032,794,895 with VALUE read as dollars as filed, 13F file number 028-04393. 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 |
|---|---|---|---|---|---|---|
| Proshares Short S&P | 74347B425 | COM | 11,800 | $170,746 | dollars as filed | |
| C4 THERAPEUTICS INC | 12529R107 | COM STK | 91,380 | $169,958 | dollars as filed | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 13,527 | $168,681 | dollars as filed | |
| SPIRIT AIRLS INC | 848577102 | COM | 10,181 | $167,991 | dollars as filed | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 14,159 | $166,364 | dollars as filed | |
| TWO HBRS INVT CORP | 90187B804 | COM | 12,538 | $166,001 | dollars as filed | |
| BLOOM ENERGY CORP | 093712107 | COM | 11,000 | $165,000 | dollars as filed | put |
| ADTHEORENT HOLDING COMPANY | 00739D109 | COM | 127,000 | $163,830 | dollars as filed | |
| LUCKY STRIKE ENTERTAINMENT C | 10258P102 | CL A COM | 17,000 | $163,540 | dollars as filed | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 25,381 | $161,931 | dollars as filed | |
| OUSTER INC COM NEW | 68989M202 | Stock | 31,629 | $159,410 | dollars as filed | |
| DANIMER SCIENTIFIC INC | 236272100 | COM CL A | 76,875 | $159,131 | dollars as filed | |
| SEVEN HILLS REALTY TRUST | 81784E101 | REIT | 14,570 | $159,104 | dollars as filed | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 17,405 | $158,386 | dollars as filed | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 160,000 | $156,800 | dollars as filed | principal |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 21,240 | $156,326 | dollars as filed | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 42,759 | $155,644 | dollars as filed | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 83,845 | $155,113 | dollars as filed | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 16,807 | $153,448 | dollars as filed | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 22,628 | $151,381 | dollars as filed | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 1,000 | $150,000 | dollars as filed | put |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 17,440 | $149,639 | dollars as filed | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 21,300 | $149,100 | dollars as filed | |
| CENTURY CASINOS INC | 156492100 | COM | 28,950 | $148,514 | dollars as filed | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 15,405 | $147,426 | dollars as filed | |
| CARPARTS COM INC | 14427M107 | COM | 35,716 | $147,150 | dollars as filed | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 11,312 | $146,717 | dollars as filed | |
| DYNEX CAP INC | 26817Q886 | COM | 12,193 | $145,589 | dollars as filed | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 22,377 | $145,001 | dollars as filed | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 22,280 | $144,596 | dollars as filed | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 17,706 | $143,773 | dollars as filed | |
| VALHI INC | 918905209 | COMMON STOCK | 10,796 | $143,155 | dollars as filed | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 10,651 | $143,152 | dollars as filed | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 28,746 | $142,005 | dollars as filed | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 47,603 | $140,905 | dollars as filed | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 18,927 | $140,817 | dollars as filed | |
| Trinseo PLC | G9059U107 | Common Stock | 17,194 | $140,473 | dollars as filed | |
| LAKELAND BANCORP INC | 511637100 | COM | 11,106 | $140,162 | dollars as filed | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 26,350 | $139,919 | dollars as filed | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 37,169 | $139,756 | dollars as filed | |
| TRANSALTA CORP | 89346D107 | COM | 16,000 | $139,200 | dollars as filed | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 20,895 | $137,698 | dollars as filed | |
| QUIPT HOME MEDICAL CORP | 74880P104 | COM | 27,000 | $137,430 | dollars as filed | |
| CORMEDIX INC COM | 21900C308 | Stock | 37,027 | $137,000 | dollars as filed | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 15,044 | $136,148 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 159,603 | $135,998 | dollars as filed | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 41,543 | $134,599 | dollars as filed | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 25,843 | $133,091 | dollars as filed | |
| FREYR BATTERY | L4135L100 | SHS | 27,174 | $132,881 | dollars as filed | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 16,951 | $131,709 | dollars as filed | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,735 | $130,538 | dollars as filed | |
| OMEROS CORP | 682143102 | COM | 44,418 | $129,701 | dollars as filed | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,424 | $129,561 | dollars as filed | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,593 | $128,917 | dollars as filed | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 46,157 | $128,778 | dollars as filed | |
| FUELCELL ENERGY INC | 35952H601 | COM | 100,505 | $128,646 | dollars as filed | |
| PIXELWORKS INC | 72581M305 | COM NEW | 113,400 | $128,142 | dollars as filed | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 44,638 | $126,326 | dollars as filed | |
| MARQETA INC | 57142B104 | CLASS A COM | 21,007 | $125,622 | dollars as filed | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 14,157 | $125,433 | dollars as filed | |
| ORLA MNG LTD NEW | 68634K106 | COM | 34,958 | $124,800 | dollars as filed | |
| BRIDGE INVT GROUP HLDGS INC | 10806B100 | COM | 13,487 | $124,080 | dollars as filed | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 11,760 | $123,712 | dollars as filed | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 17,208 | $123,213 | dollars as filed | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 24,361 | $123,023 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 2,700 | $121,500 | dollars as filed | put |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 11,821 | $119,631 | dollars as filed | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 27,027 | $119,459 | dollars as filed | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 11,672 | $117,770 | dollars as filed | |
| PATRIOT TRANSPORTATION HOLDING | 70338W105 | COM | 14,326 | $117,115 | dollars as filed | |
| NUVEEN CORE PLUS IMPACT FUND | 67080D103 | COM BEN INT | 12,705 | $116,378 | dollars as filed | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 5,000 | $115,000 | dollars as filed | put |
| BANDWIDTH INC | 05988J103 | COM CL A | 10,201 | $114,965 | dollars as filed | |
| ADT INC DEL COM | 00090Q103 | Stock | 19,109 | $114,654 | dollars as filed | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 19,485 | $114,572 | dollars as filed | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 12,532 | $112,416 | dollars as filed | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 16,082 | $111,448 | dollars as filed | |
| MAGNITE INC COM | 55955D100 | Stock | 14,743 | $111,162 | dollars as filed | |
| GAIN THERAPEUTICS INC | 36269B105 | COM | 33,800 | $110,864 | dollars as filed | |
| RINGCENTRAL INC | 76680RAF4 | NOTE 3/0 | 120,000 | $110,628 | dollars as filed | principal |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 11,589 | $110,557 | dollars as filed | |
| ANGEL OAK MORTGAGE REIT INC COM | 03464Y108 | REIT | 12,957 | $110,523 | dollars as filed | |
| SHARECARE INC | 81948W104 | COM | 117,441 | $110,442 | dollars as filed | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 15,725 | $110,390 | dollars as filed | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 29,714 | $110,239 | dollars as filed | |
| ARHAUS INC | 04035M102 | COMMON STOCK | 11,754 | $109,312 | dollars as filed | |
| MFA FINL INC | 55272XAA0 | BOND | 110,000 | $109,175 | dollars as filed | principal |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 12,181 | $109,140 | dollars as filed | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 22,794 | $108,727 | dollars as filed | |
| Heritage Commerce Corp | 426927109 | Common Stock | 12,654 | $107,176 | dollars as filed | |
| AVID BIOSERVICES INC | 05368M106 | COM | 11,082 | $104,614 | dollars as filed | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 10,226 | $102,260 | dollars as filed | |
| WISDOMTREE INC | 97717P104 | COM | 14,593 | $102,150 | dollars as filed | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 15,214 | $102,086 | dollars as filed | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 20,218 | $100,686 | dollars as filed | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 11,045 | $100,510 | dollars as filed | |
| ROVER GROUP INC | 77936F103 | COM CL A | 15,981 | $100,041 | dollars as filed | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 100,000 | $99,157 | dollars as filed | principal |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 14,816 | $97,937 | dollars as filed | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 19,644 | $97,631 | dollars as filed | |
| EVGO INC | 30052F100 | CL A COM | 28,856 | $97,533 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 102,625 | $95,441 | dollars as filed | |
| PITNEY BOWES INC COM | 724479100 | Stock | 31,554 | $95,294 | dollars as filed | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 24,021 | $94,883 | dollars as filed | |
| AT&T Inc | 00206R102 | COM | 6,300 | $94,500 | dollars as filed | put |
| EXSCIENTIA PLC | 30223G102 | ADS | 20,828 | $94,143 | dollars as filed | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 64,335 | $93,929 | dollars as filed | |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 14,153 | $92,844 | dollars as filed | |
| OP BANCORP | 67109R109 | COMMON STOCK | 10,069 | $92,131 | dollars as filed | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 11,672 | $91,975 | dollars as filed | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,079 | $90,955 | dollars as filed | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 18,658 | $90,492 | dollars as filed | |
| BLACKSTONE INC | 09260D107 | COM | 1,000 | $90,000 | dollars as filed | call |
| THERMOGENESIS HLDGS INC | 88362L209 | COM NEW | 65,004 | $89,706 | dollars as filed | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 90,000 | $89,549 | dollars as filed | principal |
| DIANA SHIPPING INC | Y2066G104 | COM | 25,748 | $89,346 | dollars as filed | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 12,686 | $88,929 | dollars as filed | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 32,933 | $88,260 | dollars as filed | |
| NIKOLA CORP | 654110105 | COM | 55,599 | $87,290 | dollars as filed | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 12,972 | $86,911 | dollars as filed | |
| ROCKET LAB USA INC | 773122106 | COM | 19,785 | $86,658 | dollars as filed | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 10,008 | $86,173 | dollars as filed | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 10,890 | $85,704 | dollars as filed | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 27,990 | $85,650 | dollars as filed | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 3,000 | $85,000 | dollars as filed | put |
| E2OPEN PARENT HOLDINGS INC | 29788T103 | COM CL A | 18,652 | $84,680 | dollars as filed | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 20,992 | $84,598 | dollars as filed | |
| MIROMATRIX MED INC | 60471P108 | COM | 64,300 | $84,233 | dollars as filed | |
| BURGERFI INTERNATIONAL INC | 12122L101 | COM | 71,881 | $83,382 | dollars as filed | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 12,629 | $82,720 | dollars as filed | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 26,415 | $82,679 | dollars as filed | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 14,344 | $81,330 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 30,305 | $80,005 | dollars as filed | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 14,458 | $79,808 | dollars as filed | |
| GERON CORP | 374163103 | COM | 37,610 | $79,733 | dollars as filed | |
| BRC INC A | 05601U105 | COMMON STOCK | 21,921 | $78,696 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 39,282 | $78,564 | dollars as filed | |
| VROOM INC | 92918V109 | COM | 70,014 | $78,416 | dollars as filed | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 88,605 | $76,112 | dollars as filed | |
| TRAVELZOO | 89421Q205 | CMN | 13,040 | $76,023 | dollars as filed | |
| ICL GROUP LTD SHS | M53213100 | Stock | 13,678 | $75,913 | dollars as filed | |
| ENERGY SVCS ACQUISITION CORP | 29271Q103 | COM | 18,497 | $74,820 | dollars as filed | |
| ABCELLERA BIOLOGICS INC COM | 00288U106 | Stock | 16,132 | $74,207 | dollars as filed | |
| CLIPPER REALTY INC | 18885T306 | COM | 14,007 | $72,559 | dollars as filed | |
| FIGS INC CLASS A | 30260D103 | COMMON STOCK | 12,103 | $71,408 | dollars as filed | |
| LIGHTWAVE LOGIC INC | 532275104 | COM | 15,869 | $70,934 | dollars as filed | |
| I3 VERTICALS LLC | 44933TAB2 | NOTE 1.000% 2/1 | 75,000 | $68,954 | dollars as filed | principal |
| FORTUNA MNG CORP F | 349915108 | COM | 24,803 | $67,464 | dollars as filed | |
| NEXIMMUNE INC | 65344D109 | COM | 320,622 | $67,299 | dollars as filed | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 15,000 | $67,185 | dollars as filed | principal |
| HOLLEY INC | 43538H103 | COMMON STOCK | 13,303 | $66,382 | dollars as filed | |
| RUM GROUP INC COM CL A | 78137L105 | Stock | 12,835 | $65,459 | dollars as filed | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 12,986 | $65,320 | dollars as filed | |
| OPKO HEALTH INC | 68375N103 | COM | 40,565 | $64,904 | dollars as filed | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 12,120 | $63,630 | dollars as filed | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 17,300 | $63,145 | dollars as filed | |
| Yalla Group Ltd | 98459U103 | COM | 12,000 | $62,880 | dollars as filed | |
| LATHAM GROUP INC | 51819L107 | COMMON STOCK | 22,436 | $62,821 | dollars as filed | |
| TELLURIAN INC NEW | 87968A104 | COM | 54,061 | $62,711 | dollars as filed | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 9,066 | $61,649 | dollars as filed | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 49,879 | $60,354 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 74,904 | $59,736 | dollars as filed | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 13,042 | $59,341 | dollars as filed | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 35,461 | $57,801 | dollars as filed | |
| POLESTAR AUTOMOTIVE HLDG UK | 731105201 | ADS A | 21,632 | $57,108 | dollars as filed | |
| USA TODAY CO INC | 36472T109 | COM | 23,011 | $56,377 | dollars as filed | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 18,422 | $55,450 | dollars as filed | |
| Cisco Systems,Inc. | 17275R102 | COM | 1,100 | $55,000 | dollars as filed | call |
| VISTAGEN THERAPEUTICS INC | 92840H400 | COM | 10,000 | $52,400 | dollars as filed | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,085 | $52,210 | dollars as filed | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 25,811 | $52,138 | dollars as filed | |
| DURECT CORP | 266605500 | COM | 20,850 | $51,917 | dollars as filed | |
| KARTOON STUDIOS INC. | 37229T509 | CMN | 36,401 | $50,961 | dollars as filed | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,003 | $49,453 | dollars as filed | |
| PLANET LABS PBC | 72703X106 | COM CL A | 18,865 | $49,049 | dollars as filed | |
| SOMALOGIC INC | 83444K105 | COM | 20,400 | $48,756 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 30,400 | $48,032 | dollars as filed | |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 17,985 | $47,480 | dollars as filed | |
| CHIMERIX INC COM | 16934W106 | Stock | 49,200 | $47,222 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 17,493 | $46,706 | dollars as filed | |
| VICI PPTYS INC COM | 925652109 | REIT | 1,600 | $44,000 | dollars as filed | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,954 | $43,871 | dollars as filed | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 21,053 | $43,369 | dollars as filed | |
| SCILEX HOLDING CO | 80880W106 | COM | 30,703 | $42,984 | dollars as filed | |
| D-WAVE QUANTUM INC | 26740W109 | COM | 44,510 | $42,948 | dollars as filed | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 16,777 | $42,446 | dollars as filed | |
| SCYNEXIS INC | 811292200 | COM NEW | 18,494 | $42,166 | dollars as filed | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 10,785 | $42,060 | dollars as filed | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 10,000 | $41,700 | dollars as filed | |
| ICAD INC | 44934S206 | COM NEW | 19,350 | $40,829 | dollars as filed | |
| PAVMED INC | 70387R106 | COM | 137,760 | $40,584 | dollars as filed | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 29,215 | $40,316 | dollars as filed | |
| BARRICK GOLD CORP | 067901108 | COM | 2,600 | $39,000 | dollars as filed | call |
| TPI Composites Inc | 87266J104 | Common Stock | 14,487 | $38,391 | dollars as filed | |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 45,000 | $37,800 | dollars as filed | principal |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 36,173 | $35,366 | dollars as filed | |
| VISION MARINE TECHNOLOGIES I | C96657116 | COM | 14,394 | $34,833 | dollars as filed | |
| CANOPY GROWTH CORP | 138035100 | COM | 43,754 | $34,251 | dollars as filed | |
| GROWGENERATION CORP | 39986L109 | COM | 11,664 | $34,059 | dollars as filed | |
| COMPASS INC | 20464U100 | CL A | 11,370 | $32,973 | dollars as filed | |
| OPPFI INC | 68386H103 | COMMON STOCK | 12,737 | $32,097 | dollars as filed | |
| DENISON MINES CORP | 248356107 | COM | 19,030 | $31,400 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 31,000 | $31,136 | dollars as filed | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 32,000 | $30,451 | dollars as filed | principal |
| SELECTQUOTE INC | 816307300 | COM | 26,000 | $30,420 | dollars as filed | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 2,500 | $30,000 | dollars as filed | put |
| CANO HEALTH INC | 13781Y103 | COM | 116,600 | $29,570 | dollars as filed | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,139 | $29,568 | dollars as filed | |
| SATELLOGIC INC | G7823S101 | CLASS A ORD SHS | 24,780 | $28,993 | dollars as filed | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 23,769 | $28,047 | dollars as filed | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 30,000 | $27,744 | dollars as filed | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 137,860 | $27,586 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 14,000 | $27,300 | dollars as filed | |
| HONEST CO INC | 438333106 | COM | 21,226 | $26,745 | dollars as filed | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 11,900 | $26,299 | dollars as filed | |
| APARTMENT INVT & MGMT CO CL A | 03748R747 | REIT | 5,000 | $25,000 | dollars as filed | call |
| Dawson Geophysical Co Ne | 239360100 | COM | 10,593 | $24,576 | dollars as filed | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 25,000 | $24,500 | dollars as filed | principal |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 39,255 | $23,926 | dollars as filed | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10,750 | $23,865 | dollars as filed | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 13,039 | $23,470 | dollars as filed | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 21,923 | $23,458 | dollars as filed | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 20,221 | $23,052 | dollars as filed | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 18,385 | $22,981 | dollars as filed | |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 23,000 | $22,747 | dollars as filed | principal |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,000 | $22,560 | dollars as filed | |
| INTERDIGITAL INC | 45867GAB7 | BOND | 21,000 | $22,299 | dollars as filed | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $22,013 | dollars as filed | principal |
| GENERAL MILLS INC COM | 370334104 | Stock | 400 | $22,000 | dollars as filed | put |
| WHEELS UP EXPERIENCE INC | 96328L205 | COM CL A | 10,573 | $21,886 | dollars as filed | |
| ALARM COM HLDGS INC | 011642AB1 | NOTE 1/1 | 25,000 | $21,600 | dollars as filed | principal |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 21,714 | $21,280 | dollars as filed | |
| COFFEE HLDG CO INC | 192176105 | COM | 24,000 | $20,882 | dollars as filed | |
| PARSONS CORP DEL | 70202LAB8 | BOND | 16,000 | $20,312 | dollars as filed | principal |
| ATRECA INC | 04965G109 | COM | 77,500 | $20,228 | dollars as filed | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 22,000 | $20,213 | dollars as filed | principal |
| CERBERUS CYBER SENTINEL CORP | 15672X102 | COM | 140,923 | $19,729 | dollars as filed | |
| NUVATION BIO INC COM CL A | 67080N101 | Stock | 14,710 | $19,711 | dollars as filed | |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 15,919 | $18,625 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $17,691 | dollars as filed | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 17,000 | $17,221 | dollars as filed | principal |
| A2Z CUST2MATE SOLUTIONS CORP | 00249W100 | COM | 10,000 | $16,500 | dollars as filed | |
| CHARGE ENTERPRISES INC | 159610104 | COM | 32,440 | $16,129 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 25,000 | $15,025 | dollars as filed | principal |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 12,600 | $14,868 | dollars as filed | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157B103 | COM | 15,215 | $14,606 | dollars as filed | |
| KAMAN CORP | 483548AF0 | BOND | 15,000 | $14,561 | dollars as filed | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 15,000 | $14,550 | dollars as filed | principal |
| SKYX PLATFORMS CORP | 78471E105 | COM | 10,000 | $14,200 | dollars as filed | |
| STRIDE INC | 86333MAA6 | NOTE 1.125% 9/0 | 13,000 | $13,657 | dollars as filed | principal |
| VAXART INC NEW | 92243A200 | COM | 17,488 | $13,186 | dollars as filed | |
| PURPLE BIOTECH LTD SPONSORED ADR | 74638P109 | ADR | 11,000 | $13,090 | dollars as filed | |
| ORIGIN MATERIALS INC | 68622D106 | COM | 10,100 | $12,928 | dollars as filed | |
| ENTHUSIAST GAMING HLDGS INC | 29385B109 | COM | 38,231 | $12,731 | dollars as filed | |
| ACHILLES THERAPEUTICS PL-ADR | 00449L102 | COM | 13,105 | $11,924 | dollars as filed | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 10,841 | $11,817 | dollars as filed | |
| SENSEI BIOTHERAPEUTICS INC | 81728A108 | COM | 14,000 | $11,200 | dollars as filed | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 12,000 | $11,040 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 18,025 | $10,909 | dollars as filed | |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 13,000 | $10,741 | dollars as filed | principal |
| GEE GROUP INC | 36165A102 | COM | 18,000 | $10,651 | dollars as filed | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 10,000 | $10,380 | dollars as filed | principal |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 17,604 | $10,298 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T108 | ORDINARY SHARES | 32,449 | $9,826 | dollars as filed | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 30,000 | $8,940 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 14,700 | $8,877 | dollars as filed | |
| ALTERYX INC | 02156BAF0 | BOND | 10,000 | $8,812 | dollars as filed | principal |
| KINROSS GOLD CORP | 496902404 | COM | 2,200 | $8,800 | dollars as filed | call |
| Akoustis Technologies Inc | 00973N102 | COM | 11,391 | $8,576 | dollars as filed | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 10,369 | $8,088 | dollars as filed | |
| AMYRIS INC | 03236M200 | COM NEW | 1,000 | $8,000 | dollars as filed | call |
| CANOO INC | 13803R102 | COM CL A | 13,405 | $6,568 | dollars as filed | |
| IMPEL PHARMACEUTICALS INC | 45258K109 | CMN | 14,500 | $6,235 | dollars as filed | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 12,900 | $6,222 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,480 | $6,022 | dollars as filed | |
| FORTINET INC COM | 34959E109 | Stock | 100 | $6,000 | dollars as filed | put |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 11,656 | $5,711 | dollars as filed | |
| LUMIRADX LTD | G5709L109 | SHS | 18,478 | $4,344 | dollars as filed | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 10,000 | $3,976 | dollars as filed | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 27,261 | $3,593 | dollars as filed | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 10,400 | $3,067 | dollars as filed | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 15,250 | $2,898 | dollars as filed | |
| FAZE HOLDINGS INC | 31423J102 | COMMON STOCK | 14,311 | $2,373 | dollars as filed | |
| MCLOUD TECHNOLOGIES CORP | 582270609 | COM NEW | 12,477 | $1,385 | dollars as filed | |
| POLISHED COM INC | 28252C109 | CMN | 15,810 | $1,276 | dollars as filed | |
| AMYRIS INC | 03236M200 | COM NEW | 14,827 | $890 | dollars as filed | |
| Nogin Inc | 65528N113 | Warrant | 14,287 | $284 | dollars as filed | |
| THE BEACHBODY COMPANY INC | 073463119 | *W EXP 12/31/202 | 11,199 | $213 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001084208-23-000013 | this filing | 2023-10-24 | acceptance time not in the bulk data set |