13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-31, with 1,252 holding rows worth $3,670,508,000.
- Accession
- 0001085146-19-002697
- Filer
- CIK 822581
- Filed
- 2019-10-31
- 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, 1,252 entries on the cover page, a total value of $3,670,508,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,670,508,000 with VALUE read as thousands by filing date, 13F file number 028-04046. 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 |
|---|---|---|---|---|---|---|
| SAP SE SPON ADR | 803054204 | ADR | 2,422 | $285,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,503 | $284,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 13,706 | $284,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 7,500 | $283,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 6,941 | $283,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 3,758 | $281,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 945 | $281,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 4,632 | $281,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 4,156 | $278,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 44,540 | $278,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 4,934 | $276,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,508 | $276,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092204 | MSCI CONSM DIS | 6,005 | $275,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 5,694 | $275,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 14,150 | $274,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 10,070 | $274,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 4,828 | $273,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V696 | NEXT GEN MEDIA | 8,682 | $272,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 2,273 | $271,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 742 | $270,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 8,521 | $270,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 17,085 | $268,000 | thousands by filing date | |
| DBX ETF TR | 233051705 | XTRACK MUN INFRA | 9,425 | $266,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 2,532 | $265,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 4,733 | $265,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,997 | $264,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E842 | DORSEY WRGT SMLC | 5,267 | $264,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 6,282 | $264,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 26,953 | $263,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 11,750 | $262,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 36,213 | $262,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 5,241 | $261,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,374 | $259,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 58,726 | $258,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 18,184 | $257,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 7,160 | $256,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 3,773 | $256,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 5,172 | $255,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 46,771 | $254,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA INC | 89421B109 | COMMON STOCK | 20,580 | $254,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 9,665 | $254,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 10,217 | $254,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 13,313 | $253,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 50,000 | $253,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 13,100 | $252,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 22,313 | $252,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 17,638 | $252,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 17,730 | $252,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 12,132 | $252,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 4,291 | $250,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 21,119 | $250,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 22,088 | $250,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 27,862 | $248,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 11,025 | $247,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 7,969 | $246,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,434 | $246,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 2,544 | $245,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 1,544 | $245,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 23,788 | $244,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 1,891 | $244,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 4,166 | $243,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 225 | $243,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 15,702 | $243,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,249 | $241,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 4,580 | $241,000 | thousands by filing date | |
| WILLSCOT CORP | 971375126 | COM | 15,477 | $241,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 2,632 | $240,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 12,002 | $240,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 20,600 | $239,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 3,786 | $238,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 4,663 | $237,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 5,020 | $236,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 7,681 | $236,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 35,515 | $236,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,269 | $236,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,310 | $234,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 11,879 | $233,000 | thousands by filing date | |
| CARGURUS INC COM CL A | 141788109 | Stock | 7,487 | $232,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E628 | KBW BK ETF | 4,500 | $232,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 5,175 | $232,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 50,159 | $231,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 23,100 | $231,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 5,787 | $230,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 11,766 | $228,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 11,467 | $228,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 52,600 | $228,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 2,101 | $227,000 | thousands by filing date | |
| THE REALREAL INC | 88339P101 | COM | 10,130 | $227,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 4,054 | $225,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 3,512 | $224,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 5,160 | $224,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 7,947 | $223,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 4,824 | $222,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 1,782 | $222,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 20,000 | $222,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 9,006 | $222,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 26,663 | $221,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 261 | $219,000 | thousands by filing date | |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 4,000 | $219,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 6,640 | $219,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 4,926 | $218,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 6,877 | $218,000 | thousands by filing date | |
| ATLANTIC UN BANKSHARES CORP COM | 04911A107 | Stock | 5,826 | $217,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 3,000 | $217,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,238 | $215,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 19,073 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 8,022 | $215,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 6,500 | $215,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,885 | $214,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 9,033 | $214,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 5,557 | $214,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 14,300 | $213,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 4,406 | $213,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 14,725 | $212,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 7,525 | $212,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 35,430 | $212,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 9,255 | $212,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 4,868 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 3,982 | $212,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 66,612 | $212,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 5,080 | $210,000 | thousands by filing date | |
| NTNLGRIDPLCADRFSPONSOREDADR1ADRREPS5ORDSHS | 636274409 | STOK | 3,861 | $209,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 2,288 | $207,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 28,900 | $207,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 4,798 | $206,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 1,643 | $206,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 8,877 | $206,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 1,265 | $205,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 7,598 | $205,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 20,000 | $205,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 12,448 | $205,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V688 | NEXT GEN CON ETF | 3,624 | $204,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,756 | $203,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 7,871 | $203,000 | thousands by filing date | |
| SIMPLY GOOD FOODS CO COM | 82900L102 | Stock | 6,996 | $203,000 | thousands by filing date | |
| iShares MBS ETF | 464288588 | SHS | 1,869 | $202,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 2,162 | $202,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 13,600 | $202,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 1,650 | $201,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 3,900 | $201,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,175 | $201,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 10,800 | $201,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 3,744 | $200,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 1,021 | $200,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 11,311 | $200,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 54,900 | $200,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 27,086 | $199,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 18,400 | $198,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 10,500 | $196,000 | thousands by filing date | |
| Uxin Ltd | 91818X108 | ADS | 79,945 | $196,000 | thousands by filing date | |
| EAGLE POINT CREDIT COMPANY I | 269808101 | COM | 12,341 | $195,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 72,100 | $195,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 27,003 | $192,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 23,825 | $191,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 19,154 | $189,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 15,000 | $189,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 45,000 | $189,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 57,522 | $186,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 10,860 | $185,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 13,700 | $185,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 61,791 | $181,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 17,130 | $179,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 12,682 | $179,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 12,812 | $178,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 11,030 | $178,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 13,199 | $177,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 21,777 | $176,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 14,300 | $175,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 17,339 | $175,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 26,361 | $174,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 12,000 | $172,000 | thousands by filing date | |
| REDFIN CORP | 75737F108 | COM | 10,195 | $172,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 19,061 | $168,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 10,531 | $165,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 13,340 | $163,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 14,715 | $162,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 29,300 | $162,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 13,253 | $162,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 11,080 | $162,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 20,000 | $161,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 11,104 | $161,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 10,500 | $158,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 12,760 | $157,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 42,865 | $157,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 48,600 | $156,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 11,790 | $152,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 18,000 | $150,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 49,217 | $149,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 12,730 | $144,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 10,404 | $143,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 23,329 | $142,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 10,140 | $141,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 30,000 | $141,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 23,050 | $139,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,790 | $137,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,085 | $136,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 17,000 | $132,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,150 | $131,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 12,971 | $130,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 30,600 | $128,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 68,055 | $127,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 11,379 | $125,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 29,000 | $125,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 11,892 | $124,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 11,250 | $123,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 13,830 | $117,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 11,825 | $113,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 12,637 | $113,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 33,434 | $111,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 31,022 | $111,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 55,000 | $105,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 55,159 | $104,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 10,490 | $103,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 42,731 | $102,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 10,400 | $96,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 24,540 | $96,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 12,889 | $93,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 23,200 | $92,000 | thousands by filing date | |
| BRIGGS & STRATTON CORP | 109043109 | COM | 15,004 | $91,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 16,261 | $86,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 20,708 | $83,000 | thousands by filing date | |
| ANGI INC CLASS A | 00183L102 | CL A | 11,700 | $83,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 40,295 | $79,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 20,800 | $77,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 12,760 | $72,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 102,500 | $69,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 20,000 | $63,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 10,251 | $63,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 10,000 | $61,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 15,240 | $60,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 31,797 | $60,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 45,435 | $59,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 245,281 | $56,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 31,127 | $54,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 12,479 | $52,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 10,000 | $48,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 32,600 | $40,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,188 | $33,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 10,000 | $33,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 15,288 | $30,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 217,997 | $30,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 12,240 | $28,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 28,146 | $28,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 27,300 | $24,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 10,214 | $21,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $13,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 21,300 | $13,000 | thousands by filing date | |
| INTEC PHARMA LTD JERUSALEM | M53644106 | SHS | 16,000 | $12,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 16,000 | $11,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 22,840 | $8,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,100 | $5,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 10,204 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002697 | this filing | 2019-10-31 | acceptance time not in the bulk data set |