13F-HR filed by RAYMOND JAMES & ASSOCIATES
RAYMOND JAMES & ASSOCIATES filed this 13F-HR for the quarter ended 2023-12-31, filed 2024-01-16, with 3,826 holding rows worth $133,806,053,864.
- Accession
- 0001084208-24-000001
- Filer
- CIK 1084208
- Filed
- 2024-01-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2023
A holdings report, 3,826 entries on the cover page, a total value of $133,806,053,864 stated on the cover page (in dollars after the unit check, H1), rows summing to $133,806,053,864 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 |
|---|---|---|---|---|---|---|
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 2,767 | $209,379 | dollars as filed | |
| BEYOND MEAT INC | 08862E109 | COM | 23,523 | $209,355 | dollars as filed | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 15,582 | $209,270 | dollars as filed | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 29,302 | $209,216 | dollars as filed | |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 3,000 | $209,100 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E669 | GLOBAL EX US HGH | 10,702 | $209,006 | dollars as filed | |
| INVESCO BULLETSHARES 2029 MUNICIPAL BOND ETF | 46138J478 | ETF | 8,894 | $208,954 | dollars as filed | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 4,852 | $208,782 | dollars as filed | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 4,189 | $208,736 | dollars as filed | |
| ISHARES TR | 46436E122 | IBON 2030 TE ETF | 8,033 | $208,684 | dollars as filed | |
| ADTRAN HOLDINGS INC | 00486H105 | COM | 28,330 | $207,942 | dollars as filed | |
| FIRST TR EXCHANGE TRADED FD | 33738R662 | INTL DEV STRNGTH | 6,140 | $207,199 | dollars as filed | |
| FRANKLIN BSP REALTY TRUST IN | 35243J101 | REIT | 15,332 | $207,141 | dollars as filed | |
| KAMAN CORP-CLASS A | 483548103 | COM | 8,542 | $204,591 | dollars as filed | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 10,406 | $204,582 | dollars as filed | |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 4,915 | $203,727 | dollars as filed | |
| INVESCO DORSEY WRIGHT BASIC MATERIALS MOMENTUMETF | 46137V704 | ETF | 2,379 | $203,525 | dollars as filed | |
| TIDAL ETF TR | 886364207 | SOFI SELCT 500 | 11,984 | $203,009 | dollars as filed | |
| RELAY THERAPEUTICS INC COM | 75943R102 | Stock | 18,406 | $202,650 | dollars as filed | |
| GROUPON INC | 399473206 | COM NEW | 15,737 | $202,063 | dollars as filed | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 2,805 | $201,399 | dollars as filed | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,077 | $200,881 | dollars as filed | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 52,905 | $200,511 | dollars as filed | |
| ISHARES TR | 46436E288 | INVT GRD CORP BD | 6,745 | $200,057 | dollars as filed | |
| RIVERNORTH MANAGED DUR MUN I | 76882M104 | COM | 12,637 | $197,769 | dollars as filed | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 10,826 | $196,270 | dollars as filed | |
| VIRTUS CONVERTIBLE & INC 202 | 92838R105 | COM | 22,500 | $196,200 | dollars as filed | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 25,923 | $195,201 | dollars as filed | |
| FUSION PHARMACEUTICALS INC | 36118A100 | COM | 20,200 | $194,122 | dollars as filed | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 12,239 | $193,131 | dollars as filed | |
| GOODRX HLDGS INC | 38246G108 | COM CL A | 28,600 | $191,620 | dollars as filed | |
| THE SHYFT GROUP | 825698103 | COMMON STOCK | 15,672 | $191,512 | dollars as filed | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 42,054 | $191,348 | dollars as filed | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 14,225 | $189,907 | dollars as filed | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 21,012 | $189,108 | dollars as filed | |
| QUIPT HOME MEDICAL CORP | 74880P104 | COM | 37,000 | $188,330 | dollars as filed | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 73,900 | $184,750 | dollars as filed | |
| ADTHEORENT HOLDING COMPANY | 00739D109 | COM | 127,000 | $184,150 | dollars as filed | |
| AGILON HEALTH INC | 00857U107 | COM | 14,673 | $184,146 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 92,625 | $183,398 | dollars as filed | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 13,777 | $182,402 | dollars as filed | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 13,834 | $182,333 | dollars as filed | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 19,631 | $181,390 | dollars as filed | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 17,007 | $181,125 | dollars as filed | |
| FUBOTV INC | 35953D104 | COM | 56,687 | $180,265 | dollars as filed | |
| TENCENT MUSIC ENTMT GROUP SPON ADS | 88034P109 | ADR | 19,891 | $179,218 | dollars as filed | |
| QUANTUMSCAPE CORP COM CL A | 74767V109 | Stock | 25,786 | $179,213 | dollars as filed | |
| TASEKO MINES LTD COM | 876511106 | Stock | 126,443 | $177,020 | dollars as filed | |
| TWO HBRS INVT CORP | 90187B804 | COM | 12,698 | $176,884 | dollars as filed | |
| XPENG INC ADS | 98422D105 | ADR | 11,878 | $173,300 | dollars as filed | |
| Vivid Seats Inc | 92854T100 | Common Stock | 27,202 | $171,917 | dollars as filed | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 16,999 | $170,840 | dollars as filed | |
| STEM INC | 85859N102 | COM | 43,899 | $170,328 | dollars as filed | |
| MFA FINL INC COM | 55272X607 | REIT | 15,067 | $169,805 | dollars as filed | |
| LEGALZOOM COM INC | 52466B103 | COM | 15,007 | $169,579 | dollars as filed | |
| ENERGY FUELS INC | 292671708 | COM NEW | 23,582 | $169,555 | dollars as filed | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 11,836 | $168,662 | dollars as filed | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 12,402 | $167,675 | dollars as filed | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 18,101 | $162,728 | dollars as filed | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 17,706 | $162,010 | dollars as filed | |
| PITNEY BOWES INC COM | 724479100 | Stock | 36,659 | $161,300 | dollars as filed | |
| PIONEER MUN HIGH INCOME OPPO | 723760104 | COMMON STOCK | 15,251 | $161,208 | dollars as filed | |
| CORMEDIX INC COM | 21900C308 | Stock | 42,827 | $161,030 | dollars as filed | |
| FUELCELL ENERGY INC | 35952H601 | COM | 100,503 | $160,805 | dollars as filed | |
| SUNPOWER CORP | 867652406 | COM | 33,264 | $160,665 | dollars as filed | |
| RIVERNORTH FLEXIBLE MUNI INC | 76883Y107 | COM | 12,263 | $160,645 | dollars as filed | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 16,948 | $158,126 | dollars as filed | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 10,328 | $158,022 | dollars as filed | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 160,000 | $156,800 | dollars as filed | principal |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 40,270 | $156,247 | dollars as filed | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 33,038 | $155,279 | dollars as filed | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 15,725 | $154,891 | dollars as filed | |
| GLOBALSTAR INC | 378973408 | COM | 79,308 | $153,858 | dollars as filed | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 14,973 | $153,172 | dollars as filed | |
| TPG RE FIN TR INC COM | 87266M107 | REIT | 23,399 | $152,094 | dollars as filed | |
| BRIDGE INVT GROUP HLDGS INC | 10806B100 | COM | 15,259 | $149,233 | dollars as filed | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 15,884 | $149,151 | dollars as filed | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 11,698 | $148,682 | dollars as filed | |
| LIVEPERSON, INC. | 538146101 | COM | 39,097 | $148,178 | dollars as filed | |
| MARQETA INC | 57142B104 | CLASS A COM | 21,200 | $147,976 | dollars as filed | |
| FTC SOLAR INC | 30320C103 | COM | 213,457 | $147,883 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 428,759 | $146,850 | dollars as filed | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 14,157 | $146,244 | dollars as filed | |
| Trinseo PLC | G9059U107 | Common Stock | 17,233 | $144,242 | dollars as filed | |
| Raytheon Technologies Corporation | 75513E101 | COM | 1,800 | $144,000 | dollars as filed | put |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,424 | $143,906 | dollars as filed | |
| SEVEN HILLS REALTY TRUST | 81784E101 | REIT | 11,032 | $142,754 | dollars as filed | |
| CENTURY CASINOS INC | 156492100 | COM | 28,950 | $141,276 | dollars as filed | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 10,004 | $140,956 | dollars as filed | |
| DYNEX CAP INC | 26817Q886 | COM | 11,228 | $140,575 | dollars as filed | |
| ENERGY SVCS ACQUISITION CORP | 29271Q103 | COM | 23,497 | $140,512 | dollars as filed | |
| GDL FD | 361570104 | COM SH BEN IT | 17,380 | $139,739 | dollars as filed | |
| ARHAUS INC | 04035M102 | COMMON STOCK | 11,754 | $139,285 | dollars as filed | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 19,147 | $138,433 | dollars as filed | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 27,632 | $137,886 | dollars as filed | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 16,910 | $137,478 | dollars as filed | |
| ANGEL OAK MORTGAGE REIT INC COM | 03464Y108 | REIT | 12,957 | $137,344 | dollars as filed | |
| UWM HOLDINGS CORPORATION COM CL A | 91823B109 | Stock | 19,140 | $136,854 | dollars as filed | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 28,166 | $136,605 | dollars as filed | |
| VECTOR GROUP LTD | 92240M108 | COM | 11,990 | $135,246 | dollars as filed | |
| COSTAMARE INC | Y1771G102 | SHS | 12,950 | $134,810 | dollars as filed | |
| PIXELWORKS INC | 72581M305 | COM NEW | 102,700 | $134,537 | dollars as filed | |
| TRANSALTA CORP | 89346D107 | COM | 16,000 | $132,960 | dollars as filed | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 16,191 | $132,766 | dollars as filed | |
| MAGNITE INC COM | 55955D100 | Stock | 14,012 | $130,872 | dollars as filed | |
| Heritage Commerce Corp | 426927109 | Common Stock | 13,119 | $130,140 | dollars as filed | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 15,112 | $130,114 | dollars as filed | |
| TWILIO INC CL A | 90138F102 | Stock | 2,000 | $130,000 | dollars as filed | call |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 38,913 | $129,969 | dollars as filed | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 13,000 | $127,530 | dollars as filed | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 18,021 | $126,867 | dollars as filed | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 14,327 | $126,364 | dollars as filed | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 10,919 | $126,224 | dollars as filed | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 39,417 | $125,740 | dollars as filed | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 12,401 | $125,123 | dollars as filed | |
| SHARECARE INC | 81948W104 | COM | 114,898 | $124,090 | dollars as filed | |
| UNIVERSAL SAFETY PRODS INC | 913821302 | COM NEW | 73,513 | $122,032 | dollars as filed | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 11,565 | $121,779 | dollars as filed | |
| Verizon Communications Inc | 92343V104 | COM | 2,700 | $121,500 | dollars as filed | put |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 24,361 | $121,074 | dollars as filed | |
| ROCKET LAB USA INC | 773122106 | COM | 21,825 | $120,692 | dollars as filed | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 10,934 | $118,962 | dollars as filed | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 14,385 | $118,532 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 39,350 | $117,657 | dollars as filed | |
| ADT INC DEL COM | 00090Q103 | Stock | 17,146 | $116,937 | dollars as filed | |
| TRAVELZOO | 89421Q205 | CMN | 12,240 | $116,647 | dollars as filed | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 29,758 | $115,162 | dollars as filed | |
| ADAPTHEALTH CORP | 00653Q102 | COMMON STOCK | 15,785 | $115,073 | dollars as filed | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 32,784 | $115,072 | dollars as filed | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 5,000 | $115,000 | dollars as filed | put |
| HONEST CO INC | 438333106 | COM | 34,511 | $113,886 | dollars as filed | |
| MIMEDX GROUP INC | 602496101 | COM | 12,970 | $113,747 | dollars as filed | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 25,388 | $113,738 | dollars as filed | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 12,129 | $112,921 | dollars as filed | |
| RINGCENTRAL INC | 76680RAF4 | NOTE 3/0 | 120,000 | $111,600 | dollars as filed | principal |
| OP BANCORP | 67109R109 | COMMON STOCK | 10,078 | $110,354 | dollars as filed | |
| MFA FINL INC | 55272XAA0 | BOND | 110,000 | $109,450 | dollars as filed | principal |
| CARPARTS COM INC | 14427M107 | COM | 34,006 | $107,459 | dollars as filed | |
| WISDOMTREE INC | 97717P104 | COM | 15,492 | $107,361 | dollars as filed | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 14,670 | $104,891 | dollars as filed | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 14,818 | $104,615 | dollars as filed | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 24,021 | $104,011 | dollars as filed | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 12,805 | $100,132 | dollars as filed | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 100,000 | $99,688 | dollars as filed | principal |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 18,789 | $99,206 | dollars as filed | |
| ARDELYX INC | 039697107 | COM | 15,813 | $98,041 | dollars as filed | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,000 | $97,500 | dollars as filed | put |
| AT&T Inc | 00206R102 | COM | 6,300 | $94,500 | dollars as filed | put |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,079 | $93,250 | dollars as filed | |
| JPMorgan Chase & Co | 46625H100 | COM | 600 | $93,000 | dollars as filed | put |
| STITCH FIX INC | 860897107 | COM CL A | 25,600 | $91,392 | dollars as filed | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 28,417 | $90,366 | dollars as filed | |
| BLACKSTONE INC | 09260D107 | COM | 1,000 | $90,000 | dollars as filed | call |
| NANO X IMAGING LTD | M70700105 | ORD SHS | 14,104 | $89,842 | dollars as filed | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 17,168 | $88,381 | dollars as filed | |
| CLIPPER REALTY INC | 18885T306 | COM | 16,172 | $87,329 | dollars as filed | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 17,376 | $85,142 | dollars as filed | |
| STUDIO CITY INTL HLDGS LTD | 86389T106 | SPON ADS | 12,986 | $84,149 | dollars as filed | |
| ORLA MNG LTD NEW | 68634K106 | COM | 25,857 | $84,035 | dollars as filed | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 10,184 | $82,693 | dollars as filed | |
| EVGO INC | 30052F100 | CL A COM | 22,756 | $81,466 | dollars as filed | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 18,492 | $80,255 | dollars as filed | |
| HERTZ GLOBAL HLDGS INC | 42806J148 | *W EXP 06/30/205 | 14,568 | $79,833 | dollars as filed | |
| E2OPEN PARENT HOLDINGS INC | 29788T103 | COM CL A | 18,152 | $79,687 | dollars as filed | |
| GERON CORP | 374163103 | COM | 37,600 | $79,336 | dollars as filed | |
| LIGHTWAVE LOGIC INC | 532275104 | COM | 15,859 | $78,978 | dollars as filed | |
| FUSION PHARMACEUTICALS INC | 36118A100 | COM | 31,500 | $78,750 | dollars as filed | call |
| ACELYRIN INC | 00445A100 | COM | 10,522 | $78,494 | dollars as filed | |
| GAIN THERAPEUTICS INC | 36269B105 | COM | 23,788 | $77,668 | dollars as filed | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 15,400 | $77,000 | dollars as filed | put |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 11,376 | $73,945 | dollars as filed | |
| STANDARD LITHIUM CORP COM | 853606101 | Stock | 36,538 | $73,807 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 34,675 | $72,471 | dollars as filed | |
| DANIMER SCIENTIFIC INC | 236272100 | COM CL A | 70,629 | $72,042 | dollars as filed | |
| ABCELLERA BIOLOGICS INC COM | 00288U106 | Stock | 12,386 | $70,724 | dollars as filed | |
| I3 VERTICALS LLC | 44933TAB2 | NOTE 1.000% 2/1 | 75,000 | $69,610 | dollars as filed | principal |
| Pagaya Technologies Ltd. | M7S64L115 | CL A | 50,000 | $69,000 | dollars as filed | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 12,120 | $67,872 | dollars as filed | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 17,300 | $67,816 | dollars as filed | |
| POLESTAR AUTOMOTIVE HLDG UK | 731105201 | ADS A | 29,532 | $66,742 | dollars as filed | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 12,982 | $65,949 | dollars as filed | |
| AVID BIOSERVICES INC | 05368M106 | COM | 10,138 | $65,897 | dollars as filed | |
| OPPFI INC | 68386H103 | COMMON STOCK | 12,737 | $65,213 | dollars as filed | |
| Cisco Systems,Inc. | 17275R102 | COM | 1,300 | $65,000 | dollars as filed | call |
| THE REALREAL INC | 88339P101 | COM | 31,700 | $63,717 | dollars as filed | |
| SCILEX HOLDING CO | 80880W106 | COM | 31,196 | $63,640 | dollars as filed | |
| BURGERFI INTERNATIONAL INC | 12122L101 | COM | 71,881 | $61,810 | dollars as filed | |
| TERAWULF INC | 88080T104 | COM | 25,732 | $61,757 | dollars as filed | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 10,412 | $61,693 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 65,973 | $60,266 | dollars as filed | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 22,272 | $59,688 | dollars as filed | |
| FISKER INC | 33813J106 | CL A COM STK | 34,037 | $59,565 | dollars as filed | |
| OPKO HEALTH INC | 68375N103 | COM | 38,965 | $58,837 | dollars as filed | |
| Honeywell Technologies | 438516106 | COM | 300 | $58,500 | dollars as filed | put |
| BRC INC A | 05601U105 | COMMON STOCK | 15,795 | $57,336 | dollars as filed | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 18,949 | $55,900 | dollars as filed | |
| CYTOSORBENTS CORP | 23283X206 | CMN | 50,000 | $55,500 | dollars as filed | |
| USA TODAY CO INC | 36472T109 | COM | 22,980 | $52,854 | dollars as filed | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 18,422 | $52,687 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 69,119 | $52,600 | dollars as filed | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 28,900 | $52,598 | dollars as filed | |
| NIKOLA CORP | 654110105 | COM | 58,937 | $51,558 | dollars as filed | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 50,890 | $51,399 | dollars as filed | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 18,878 | $51,348 | dollars as filed | |
| KARTOON STUDIOS INC. | 37229T509 | CMN | 36,441 | $50,653 | dollars as filed | |
| Caterpillar Inc. | 149123101 | COM | 200 | $50,000 | dollars as filed | put |
| Boeing Company | 097023105 | COM | 200 | $49,000 | dollars as filed | put |
| FREYR BATTERY | L4135L100 | SHS | 26,174 | $48,945 | dollars as filed | |
| NUSCALE PWR CORP CL A COM | 67079K100 | Stock | 14,442 | $47,514 | dollars as filed | |
| STEM INC | 85859N102 | COM | 9,300 | $46,500 | dollars as filed | put |
| COMPASS INC | 20464U100 | CL A | 12,363 | $46,485 | dollars as filed | |
| Automatic Data Processing,Inc. | 053015103 | COM | 200 | $46,000 | dollars as filed | put |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 14,211 | $45,333 | dollars as filed | |
| VICI PPTYS INC COM | 925652109 | REIT | 1,500 | $45,000 | dollars as filed | call |
| JUMIA TECHNOLOGIES AG SPONSORED ADS | 48138M105 | ADR | 12,699 | $44,827 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,343 | $44,578 | dollars as filed | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 10,884 | $44,515 | dollars as filed | |
| ETON PHARMACEUTICALS INC | 29772L108 | COMMON STOCK | 10,100 | $44,238 | dollars as filed | |
| VICI PPTYS INC COM | 925652109 | REIT | 1,600 | $44,000 | dollars as filed | put |
| TPI Composites Inc | 87266J104 | Common Stock | 10,450 | $43,263 | dollars as filed | |
| ISHARES INC | 46434G848 | MSCI GBL ETF NEW | 1,000 | $42,500 | dollars as filed | call |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 10,000 | $42,200 | dollars as filed | |
| CHIMERIX INC COM | 16934W106 | Stock | 43,200 | $41,580 | dollars as filed | |
| SCYNEXIS INC | 811292200 | COM NEW | 18,494 | $41,242 | dollars as filed | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 10,889 | $40,289 | dollars as filed | |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 45,000 | $39,893 | dollars as filed | principal |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 24,297 | $39,604 | dollars as filed | |
| THERMOGENESIS HLDGS INC | 88362L209 | COM NEW | 65,004 | $39,067 | dollars as filed | |
| PLANET LABS PBC | 72703X106 | COM CL A | 15,813 | $39,058 | dollars as filed | |
| SOMALOGIC INC | 83444K105 | COM | 15,400 | $38,962 | dollars as filed | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 11,415 | $37,784 | dollars as filed | |
| PROOF ACQUISITION CORP I | 74349W104 | COM | 10,000 | $37,750 | dollars as filed | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 29,917 | $37,097 | dollars as filed | |
| VROOM INC | 92918V109 | COM | 60,910 | $36,698 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 14,400 | $36,432 | dollars as filed | |
| OMEROS CORP | 682143102 | COM | 10,925 | $35,725 | dollars as filed | |
| SELECTQUOTE INC | 816307300 | COM | 26,000 | $35,620 | dollars as filed | |
| DENISON MINES CORP | 248356107 | COM | 20,030 | $35,453 | dollars as filed | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 30,915 | $34,161 | dollars as filed | |
| BARRICK GOLD CORP | 067901108 | COM | 2,200 | $33,000 | dollars as filed | call |
| D-WAVE QUANTUM INC | 26740W109 | COM | 36,800 | $32,388 | dollars as filed | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 115,785 | $31,609 | dollars as filed | |
| SKINHEALTH SYSTEMS INC | 88331L108 | COM CL A | 10,044 | $31,237 | dollars as filed | |
| APPLIED DNA SCIENCES INC | 03815U300 | COMMON | 49,879 | $30,765 | dollars as filed | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 21,053 | $30,737 | dollars as filed | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 32,000 | $30,691 | dollars as filed | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 31,000 | $30,064 | dollars as filed | principal |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 2,500 | $30,000 | dollars as filed | put |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 33,939 | $29,527 | dollars as filed | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 38,935 | $29,240 | dollars as filed | |
| RACKSPACE TECHNOLOGY INC | 750102105 | COM | 14,462 | $28,924 | dollars as filed | |
| SATELLOGIC INC | G7823S101 | CLASS A ORD SHS | 16,520 | $28,910 | dollars as filed | |
| INTERDIGITAL INC | 45867GAB7 | BOND | 21,000 | $28,219 | dollars as filed | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $25,638 | dollars as filed | principal |
| GROWGENERATION CORP | 39986L109 | COM | 10,039 | $25,198 | dollars as filed | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 100 | $25,000 | dollars as filed | put |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 25,000 | $24,750 | dollars as filed | principal |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 12,000 | $23,760 | dollars as filed | |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 16,181 | $23,462 | dollars as filed | |
| PARSONS CORP DEL | 70202LAB8 | BOND | 16,000 | $22,888 | dollars as filed | principal |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 23,000 | $22,605 | dollars as filed | principal |
| ALARM COM HLDGS INC | 011642AB1 | NOTE 1/1 | 25,000 | $22,175 | dollars as filed | principal |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 20,187 | $22,004 | dollars as filed | |
| NULL | 68620A203 | NULL | 19,822 | $22,002 | dollars as filed | |
| GENERAL MILLS INC COM | 370334104 | Stock | 400 | $22,000 | dollars as filed | put |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 11,947 | $21,982 | dollars as filed | |
| COFFEE HLDG CO INC | 192176105 | COM | 24,000 | $21,840 | dollars as filed | |
| TELLURIAN INC NEW | 87968A104 | COM | 27,971 | $21,135 | dollars as filed | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 22,000 | $20,570 | dollars as filed | principal |
| Dawson Geophysical Co Ne | 239360100 | COM | 10,593 | $19,385 | dollars as filed | |
| ENVIVA INC | 29415B103 | COM | 19,441 | $19,360 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $19,050 | dollars as filed | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 17,000 | $18,641 | dollars as filed | principal |
| Akoustis Technologies Inc | 00973N102 | COM | 21,391 | $17,840 | dollars as filed | |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 20,714 | $17,793 | dollars as filed | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 30,000 | $17,250 | dollars as filed | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 10,841 | $16,587 | dollars as filed | |
| STRIDE INC | 86333MAA6 | NOTE 1.125% 9/0 | 13,000 | $16,458 | dollars as filed | principal |
| SKYX PLATFORMS CORP | 78471E105 | COM | 10,000 | $16,000 | dollars as filed | |
| LI-CYCLE HOLDINGS CORP | 50202P105 | COMMON SHARES | 26,962 | $15,767 | dollars as filed | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 10,000 | $14,900 | dollars as filed | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 15,000 | $14,784 | dollars as filed | principal |
| VISION MARINE TECHNOLOGIES I | C96657116 | COM | 13,394 | $14,599 | dollars as filed | |
| KAMAN CORP | 483548AF0 | BOND | 15,000 | $14,550 | dollars as filed | principal |
| CERBERUS CYBER SENTINEL CORP | 15672X102 | COM | 140,923 | $14,318 | dollars as filed | |
| A2Z CUST2MATE SOLUTIONS CORP | 00249W100 | COM | 10,000 | $13,700 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 25,000 | $13,250 | dollars as filed | principal |
| FIGS INC CLASS A | 30260D103 | COMMON STOCK | 1,000 | $12,500 | dollars as filed | call |
| GEVO INC | 374396406 | COM PAR | 10,700 | $12,412 | dollars as filed | |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 13,000 | $11,213 | dollars as filed | principal |
| INVITAE CORP | 46185L103 | COM | 16,843 | $10,557 | dollars as filed | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 19,591 | $10,046 | dollars as filed | |
| VAXART INC NEW | 92243A200 | COM | 16,988 | $9,731 | dollars as filed | |
| ALTERYX INC | 02156BAF0 | BOND | 10,000 | $9,713 | dollars as filed | principal |
| SENSEI BIOTHERAPEUTICS INC | 81728A108 | COM | 14,000 | $9,688 | dollars as filed | |
| POET TECHNOLOGIES INC | 73044W302 | COM NEW | 10,100 | $9,448 | dollars as filed | |
| SSR Mining Inc | 784730AB9 | Convertible bond | 10,000 | $9,415 | dollars as filed | principal |
| CARDIOL THERAPEUTICS INC | 14161Y200 | COM CL A | 11,154 | $9,405 | dollars as filed | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 11,100 | $9,032 | dollars as filed | |
| GEE GROUP INC | 36165A102 | COM | 18,000 | $9,004 | dollars as filed | |
| KINROSS GOLD CORP | 496902404 | COM | 2,200 | $8,800 | dollars as filed | call |
| DURECT CORP | 266605500 | COM | 14,700 | $8,673 | dollars as filed | |
| PURPLE BIOTECH LTD SPONSORED ADR | 74638P109 | ADR | 11,000 | $8,580 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 14,700 | $8,380 | dollars as filed | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 12,000 | $8,279 | dollars as filed | |
| ENTHUSIAST GAMING HLDGS INC | 29385B109 | COM | 38,231 | $8,227 | dollars as filed | |
| LUMIRADX LTD | G5709L109 | SHS | 129,361 | $8,137 | dollars as filed | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 10,218 | $8,103 | dollars as filed | |
| AMYRIS INC | 03236M200 | COM NEW | 1,000 | $8,000 | dollars as filed | call |
| TRANSPORTATION & LOGISTI | 438083107 | COM | 12,919 | $7,855 | dollars as filed | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 15,143 | $7,211 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T108 | ORDINARY SHARES | 28,174 | $6,198 | dollars as filed | |
| NextEra Energy,Inc. | 65339F101 | COM | 100 | $5,500 | dollars as filed | put |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 30,000 | $5,460 | dollars as filed | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,480 | $5,345 | dollars as filed | |
| CANOO INC | 13803R102 | COM CL A | 13,288 | $3,418 | dollars as filed | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 10,400 | $3,170 | dollars as filed | |
| FAZE HOLDINGS INC | 31423J102 | COMMON STOCK | 14,311 | $2,576 | dollars as filed | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 16,761 | $1,185 | dollars as filed | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 15,250 | $458 | dollars as filed | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 10,000 | $370 | dollars as filed | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 23,696 | $71 | dollars as filed | |
| AMYRIS INC | 03236M200 | COM NEW | 14,219 | $36 | dollars as filed | |
| POLISHED COM INC | 28252C117 | *W EXP 06/02/202 | 10,000 | $15 | dollars as filed | |
| APPHARVEST INC | 03783T103 | COM | 11,548 | $12 | dollars as filed | |
| Nogin Inc | 65528N113 | Warrant | 14,287 | $7 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001084208-24-000001 | this filing | 2024-01-16 | acceptance time not in the bulk data set |