13F-HR filed by Transform Wealth, LLC
Transform Wealth, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-24, with 210 holding rows worth $563,422,000.
- Accession
- 0001085146-19-002625
- Filer
- CIK 1682266
- Filed
- 2019-10-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 210 entries on the cover page, a total value of $563,422,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $563,422,000 with VALUE read as thousands by filing date, 13F file number 028-17533. 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 |
|---|---|---|---|---|---|---|
| Vanguard S&P 500 ETF | 922908363 | COM | 118,699 | $32,357,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 55,844 | $16,573,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 99,609 | $13,849,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 210,910 | $12,954,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 70,375 | $12,670,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 56,560 | $12,668,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 102,212 | $12,178,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 212,945 | $9,900,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 44,931 | $8,642,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 60,353 | $7,865,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 201,505 | $6,869,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 17,659 | $6,719,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 28,874 | $6,673,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 60,673 | $6,598,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 122,650 | $6,433,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 71,188 | $6,416,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 22,671 | $6,263,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 159,080 | $6,228,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 159,672 | $6,210,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 68,998 | $6,101,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 58,531 | $6,005,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 54,730 | $5,851,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 49,394 | $5,813,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 120,049 | $5,800,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 287,864 | $5,680,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 4,628 | $5,651,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 93,026 | $5,615,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 123,323 | $5,559,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 25,085 | $5,451,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 23,478 | $5,447,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 78,526 | $5,425,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 18,413 | $5,363,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 63,265 | $5,260,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 19,002 | $5,246,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 105,831 | $5,229,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 57,017 | $5,187,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 35,124 | $5,139,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 92,073 | $5,132,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 28,498 | $5,075,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 64,515 | $5,008,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 2,884 | $5,006,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 25,802 | $4,993,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 23,811 | $4,862,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 44,425 | $4,848,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 83,591 | $4,840,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 100,686 | $4,575,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 38,151 | $4,528,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 15,147 | $4,522,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 82,174 | $4,522,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 55,558 | $4,411,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 58,231 | $4,409,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 150,255 | $4,383,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 38,072 | $4,315,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 15,763 | $4,281,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 74,484 | $4,244,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 20,349 | $4,233,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 32,647 | $4,224,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 14,597 | $4,206,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 49,034 | $4,180,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 78,160 | $4,089,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 44,896 | $4,038,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 75,743 | $3,903,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 102,296 | $3,886,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 103,414 | $3,716,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 239,824 | $3,638,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 46,823 | $3,594,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 2,669 | $3,254,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 31,060 | $3,218,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 14,774 | $3,185,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 28,070 | $3,051,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 21,120 | $2,883,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 54,097 | $2,699,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 26,052 | $2,656,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 30,927 | $2,560,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 19,781 | $2,556,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 49,592 | $2,500,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 10,330 | $2,480,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 20,949 | $2,478,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 20,511 | $2,470,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 45,000 | $2,385,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 21,612 | $2,376,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 15,712 | $2,358,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 16,265 | $2,349,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 56,199 | $2,309,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 40,300 | $2,230,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 20,840 | $2,159,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 67,416 | $2,155,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 24,167 | $2,151,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 21,100 | $2,105,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 44,299 | $2,065,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 29,968 | $2,010,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 132,204 | $1,864,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 34,458 | $1,839,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 8,280 | $1,797,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 34,667 | $1,748,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 13,850 | $1,706,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 22,382 | $1,684,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 15,594 | $1,655,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 11,199 | $1,583,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 6,972 | $1,542,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 11,884 | $1,478,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 50,892 | $1,454,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 30,937 | $1,399,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 8,262 | $1,398,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 50,756 | $1,357,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 20,331 | $1,326,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 8,264 | $1,251,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 10,322 | $1,246,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 21,350 | $1,220,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 16,869 | $1,191,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 4,736 | $1,171,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 13,063 | $1,135,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 5,510 | $1,062,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 18,875 | $1,044,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 4,773 | $1,011,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 11,535 | $983,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 488 | $958,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 16,445 | $930,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 7,669 | $916,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 3,829 | $857,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 12,070 | $856,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 15,515 | $850,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 18,451 | $806,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 8,942 | $793,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 8,200 | $786,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 3,513 | $760,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 8,490 | $747,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 5,392 | $739,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 28,412 | $727,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 14,237 | $722,000 | thousands by filing date | |
| DBX ETF TR | 233051762 | XTRACK MSCI CHNA | 25,500 | $699,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 6,450 | $696,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 35,200 | $666,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 3,303 | $657,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 3,860 | $635,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,811 | $617,000 | thousands by filing date | |
| L3HARRIS TECHNOLOGIES INC COM | 502431109 | Stock | 2,929 | $611,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 9,575 | $607,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 2,679 | $583,000 | thousands by filing date | |
| VERISK ANALYTICS INC COM | 92345Y106 | Stock | 3,681 | $582,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,301 | $576,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,434 | $559,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 3,038 | $555,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,265 | $527,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 12,097 | $506,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,262 | $505,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 3,393 | $505,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 5,451 | $497,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 9,805 | $495,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 8,800 | $488,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 2,007 | $468,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 7,610 | $462,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 5,686 | $458,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 8,046 | $443,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 5,260 | $440,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 6,405 | $416,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 3,771 | $413,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 10,188 | $386,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 5,528 | $381,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,448 | $370,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 6,200 | $365,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 12,911 | $361,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 3,911 | $358,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 765 | $353,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 12,200 | $348,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 10,400 | $345,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,668 | $343,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 769 | $343,000 | thousands by filing date | |
| FOCUS FINANCIAL PARTNERS INC. | 34417P100 | COM CL A | 14,358 | $342,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 4,430 | $340,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 VALUE ETF | 464287598 | ETF | 2,628 | $337,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 1,700 | $337,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,597 | $329,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 2,351 | $327,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 3,471 | $311,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 2,592 | $310,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,813 | $309,000 | thousands by filing date | |
| REPUBLIC SVCS INC COM | 760759100 | Stock | 3,491 | $302,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E226 | GLB X MLP ENRG I | 24,409 | $300,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 39,705 | $294,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 4,985 | $293,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 2,031 | $289,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 19,599 | $281,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 6,802 | $278,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 1,200 | $278,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 2,450 | $275,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 6,100 | $254,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 1,540 | $252,000 | thousands by filing date | |
| HIGHLAND OPPS & INCOME FD | 43010E404 | HIGHLAND INCOME | 18,868 | $252,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 3,509 | $249,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 3,267 | $248,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 3,777 | $245,000 | thousands by filing date | |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 7,727 | $240,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 1,385 | $238,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 2,149 | $220,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 4,552 | $220,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 5,426 | $218,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 2,891 | $212,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 21,760 | $212,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,071 | $211,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,244 | $210,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 2,457 | $208,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 1,270 | $202,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 17,646 | $168,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,378 | $163,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 205,481 | $103,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 14,500 | $60,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 30,355 | $51,000 | thousands by filing date | |
| KAZIA THERAPEUTICS LTD | 48669G105 | American Depository Shares | 106,245 | $41,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 12,000 | $13,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002625 | this filing | 2019-10-24 | acceptance time not in the bulk data set |