13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2019-06-30, filed 2019-08-12, with 1,200 holding rows worth $2,894,714,000.
- Accession
- 0001085146-19-002184
- Filer
- CIK 1512647
- Filed
- 2019-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2019
A holdings report, 1,200 entries on the cover page, a total value of $2,894,714,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,894,714,000 with VALUE read as thousands by filing date, 13F file number 028-14139. 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 |
|---|---|---|---|---|---|---|
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 12,097 | $241,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 4,833 | $240,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 19,505 | $240,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 19,309 | $240,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 11,009 | $239,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,527 | $239,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 2,609 | $238,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 6,738 | $238,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 9,605 | $238,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 648 | $237,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,053 | $237,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 4,735 | $237,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 33,862 | $237,000 | thousands by filing date | |
| INVESCO TR II ETF S&P INTL DEV LOW LOW VOLATILITY | 46138E230 | ETF | 7,000 | $237,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 10,440 | $236,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 28,294 | $236,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,010 | $236,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 58,400 | $235,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 7,345 | $234,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 1,719 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 4,263 | $233,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,554 | $232,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 3,718 | $232,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 2,648 | $232,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 13,319 | $232,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 16,853 | $232,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 6,749 | $231,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 25,748 | $231,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 14,491 | $231,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 3,160 | $230,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 14,410 | $230,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E806 | SABA INT RATE | 11,328 | $230,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 30,058 | $229,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,881 | $229,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,242 | $229,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 17,478 | $229,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 8,643 | $228,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 57,305 | $228,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 3,576 | $227,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,894 | $227,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 4,100 | $226,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 8,354 | $225,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,910 | $225,000 | thousands by filing date | |
| LATTICE STRATEGIES TR | 518416102 | HARTFORD MLT ETF | 7,962 | $224,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,225 | $223,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 19,450 | $223,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 17,531 | $222,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 842 | $220,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 1,495 | $220,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 9,423 | $219,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,648 | $219,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 1,985 | $219,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 18,981 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 7,594 | $218,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 6,942 | $218,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 1,345 | $215,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 2,800 | $215,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,569 | $215,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 1,028 | $214,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 3,228 | $214,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 3,649 | $213,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 5,259 | $213,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 16,400 | $213,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,565 | $212,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 8,168 | $212,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,686 | $212,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 4,253 | $212,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 1,275 | $212,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,820 | $212,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 4,480 | $211,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 13,987 | $211,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,690 | $210,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 1,651 | $210,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 2,228 | $210,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 10,140 | $210,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 2,506 | $210,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,245 | $210,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 7,753 | $210,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 14,976 | $210,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 16,109 | $209,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 4,817 | $208,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 5,246 | $208,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 798 | $208,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 1,870 | $208,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 14,795 | $208,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 2,648 | $207,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 6,628 | $206,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 13,079 | $206,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 896 | $204,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 2,810 | $204,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,254 | $203,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 7,090 | $203,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 4,647 | $203,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 2,029 | $203,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 3,302 | $203,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 2,683 | $202,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 3,773 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 1,656 | $202,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,608 | $201,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 17,023 | $201,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 7,706 | $201,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,099 | $200,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 3,990 | $200,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,391 | $200,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 6,198 | $200,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 4,166 | $200,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 17,354 | $199,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,786 | $198,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 18,463 | $197,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 16,297 | $195,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 11,394 | $193,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,916 | $193,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,826 | $193,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 13,237 | $192,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 14,488 | $184,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 29,319 | $183,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 12,143 | $183,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 73,000 | $180,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 12,446 | $177,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,525 | $176,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,737 | $175,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 24,698 | $174,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 14,607 | $174,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 33,662 | $173,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 18,650 | $167,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y871 | GLOBAL X URANIUM | 13,435 | $163,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 14,391 | $162,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 12,556 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 17,396 | $160,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 19,373 | $158,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 16,276 | $155,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 27,839 | $155,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,224 | $153,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 10,840 | $151,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 10,746 | $147,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 10,164 | $144,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,052 | $144,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 38,490 | $143,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 10,000 | $137,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 32,465 | $136,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 13,581 | $135,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 54,871 | $135,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $134,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 11,310 | $133,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 10,327 | $130,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 25,504 | $128,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 12,602 | $125,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 10,702 | $124,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 16,605 | $124,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 25,000 | $123,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 12,878 | $122,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,625 | $121,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 40,000 | $120,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,075 | $117,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 22,180 | $117,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $115,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 29,000 | $111,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 25,837 | $111,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 19,287 | $104,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 13,000 | $103,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 19,910 | $102,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 10,355 | $101,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 10,171 | $100,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 29,212 | $97,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 11,235 | $93,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,520 | $91,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 23,600 | $90,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 23,146 | $88,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,566 | $76,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 12,378 | $71,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 71,000 | $71,000 | thousands by filing date | principal |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 23,703 | $67,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 12,886 | $67,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 10,705 | $65,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 12,248 | $63,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,973 | $62,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 13,139 | $61,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 10,650 | $61,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,335 | $56,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 50,000 | $50,000 | thousands by filing date | principal |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 20,450 | $48,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 23,371 | $48,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 10,545 | $45,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 22,500 | $41,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,304 | $36,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 11,000 | $34,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 13,532 | $31,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 18,500 | $21,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 36,000 | $21,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $18,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 15,773 | $16,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 15,000 | $15,000 | thousands by filing date | principal |
| INVESCO QQQ TR | 46090E103 | COM | 3,300 | $12,000 | thousands by filing date | put |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 12,000 | $11,000 | thousands by filing date | |
| BEYOND MEAT INC | 08862E109 | COM | 1,000 | $7,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 2,400 | $5,000 | thousands by filing date | put |
| SHIFTPIXY INC | 82452L104 | COM | 10,030 | $5,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 400 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| ETSY INC | 29786A106 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002184 | this filing | 2019-08-12 | acceptance time not in the bulk data set |