13F-HR filed by Cetera Advisor Networks LLC
Cetera Advisor Networks LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-06, with 1,199 holding rows worth $3,312,885,000.
- Accession
- 0001085146-19-002753
- Filer
- CIK 1534468
- Filed
- 2019-11-06
- 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, 1,199 entries on the cover page, a total value of $3,312,885,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,312,885,000 with VALUE read as thousands by filing date, 13F file number 028-14619. 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 |
|---|---|---|---|---|---|---|
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 2,477 | $251,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 6,252 | $251,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 25,316 | $251,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 6,940 | $250,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 15,467 | $250,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,560 | $248,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 5,180 | $248,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 4,422 | $247,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 12,318 | $246,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 19,064 | $246,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 15,786 | $245,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 12,150 | $245,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 5,094 | $245,000 | thousands by filing date | |
| COLUMBIA ETF TR I | 19761L102 | SUSTANBLE GLBL | 9,281 | $245,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 1,113 | $242,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 1,282 | $242,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 16,021 | $242,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 10,224 | $242,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 14,898 | $240,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 19,154 | $240,000 | thousands by filing date | |
| JPMORGAN ULTRA-SHORT MUNICIPAL INCOME ETF | 46641Q654 | ETF | 4,753 | $239,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 7,269 | $239,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 4,631 | $237,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 167,718 | $236,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 29,204 | $235,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 4,439 | $235,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 32,434 | $234,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R754 | CL A | 4,497 | $234,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y500 | ZACKS MULT AST | 10,551 | $234,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 4,633 | $233,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524755 | FUNDAMENTAL INTL | 8,426 | $233,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 907 | $232,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 900 | $232,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 3,434 | $232,000 | thousands by filing date | |
| ISHARES | 46434VBA7 | EXCHANGE TRADED | 9,200 | $232,000 | thousands by filing date | principal |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 11,761 | $231,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 4,585 | $231,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 20,182 | $231,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 34,502 | $231,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 6,314 | $230,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 1,575 | $229,000 | thousands by filing date | |
| FEDERAL REALTY INVESTMENT TRUS | 313747206 | SH BEN INT NEW | 1,686 | $229,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 6,088 | $228,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 21,313 | $228,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 798 | $227,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 14,468 | $226,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 1,960 | $225,000 | thousands by filing date | |
| AGNC INVT CORP COM | 00123Q104 | REIT | 14,003 | $224,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 3,059 | $224,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 3,351 | $224,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 4,995 | $223,000 | thousands by filing date | |
| FIRST TR NAS100 EQ WEIGHTED | 337344105 | SHS | 3,361 | $223,000 | thousands by filing date | |
| SPDR SER TR | 78468R101 | PORTFOLIO SH TSR | 7,425 | $223,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,637 | $223,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 1,901 | $222,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y768 | STAR GLOB BUYW | 6,849 | $221,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 2,802 | $220,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 3,788 | $220,000 | thousands by filing date | |
| PROSHARES TR | 74347B169 | CMN | 6,500 | $220,000 | thousands by filing date | |
| INVESCO EXCHANGETRADED FD T DWA TACTCL SCT | 46138E826 | CEF | 7,021 | $220,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 1,521 | $219,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V860 | DORSEY WRGT FINL | 5,825 | $219,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 12,990 | $218,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 2,386 | $217,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 8,991 | $217,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 6,514 | $217,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 5,171 | $216,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,107 | $214,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E644 | INTL BUYBACK | 6,927 | $214,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 6,150 | $214,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 4,625 | $213,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 1,826 | $213,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 5,640 | $213,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,028 | $213,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 5,421 | $213,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 1,035 | $212,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,649 | $212,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 3,666 | $212,000 | thousands by filing date | |
| NORTHWEST NAT HLDG CO COM | 66765N105 | Stock | 2,959 | $211,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 18,607 | $211,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 18,553 | $211,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 767 | $210,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 1,771 | $210,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 6,983 | $210,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 7,886 | $210,000 | thousands by filing date | |
| ISHARES TR | 46435G672 | CORE INTL AGGR | 3,767 | $209,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 8,336 | $209,000 | thousands by filing date | principal |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 18,096 | $208,000 | thousands by filing date | |
| INVESCO BLDRS INDEX FDS TR | 46090C206 | DEVLPD MKTS100 | 9,870 | $208,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 2,342 | $207,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,292 | $207,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 2,875 | $206,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 8,219 | $206,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 33,483 | $206,000 | thousands by filing date | |
| TC ENERGY CORP | 87807B107 | COM | 3,939 | $204,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 12,551 | $204,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 7,154 | $203,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 9,559 | $202,000 | thousands by filing date | |
| COLUMBIA INDIA CONSUMER ETF | 19762B707 | ETF | 4,970 | $202,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 3,058 | $201,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 5,478 | $201,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 2,525 | $201,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 1,100 | $200,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 8,440 | $200,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 4,331 | $200,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 10,382 | $200,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 13,642 | $198,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 10,139 | $198,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 12,867 | $196,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 33,663 | $195,000 | thousands by filing date | |
| EATON VANCE HIGH INCOME 2021 | 27829W101 | COM SH BEN INT | 19,415 | $194,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 12,901 | $190,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 13,848 | $188,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 14,795 | $184,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 10,922 | $182,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G102 | PRIME JUNIR SLVR | 19,279 | $181,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 15,405 | $177,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 31,025 | $175,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 13,846 | $172,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 15,480 | $172,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 36,132 | $169,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 14,164 | $160,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 46,103 | $158,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 11,247 | $157,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 11,121 | $156,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 68,135 | $155,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 11,250 | $154,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 18,715 | $150,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 10,084 | $150,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 11,370 | $146,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 14,474 | $145,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 13,750 | $144,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 19,707 | $143,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 23,508 | $141,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 20,400 | $139,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 11,137 | $139,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,407 | $138,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 22,244 | $137,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 15,730 | $136,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 10,210 | $125,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 12,639 | $123,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 19,261 | $120,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 11,243 | $119,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 17,390 | $118,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 11,850 | $116,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 18,550 | $115,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 14,800 | $114,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 10,986 | $113,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 11,800 | $109,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 18,801 | $109,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 26,325 | $106,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,436 | $102,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 14,200 | $100,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 20,049 | $100,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 25,000 | $98,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 20,211 | $96,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 24,109 | $96,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 12,600 | $95,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 20,355 | $94,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 10,650 | $94,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 10,225 | $91,000 | thousands by filing date | |
| RITE AID CORP | 767754872 | COM | 12,668 | $91,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 17,753 | $84,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 10,707 | $77,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 14,428 | $70,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 16,028 | $65,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 10,712 | $65,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 16,775 | $64,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 11,900 | $61,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 16,461 | $60,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 11,600 | $57,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 31,500 | $54,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 23,140 | $51,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 10,200 | $50,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 57,200 | $50,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 142,500 | $49,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 20,650 | $44,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 11,121 | $43,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 10,000 | $39,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 13,520 | $37,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 17,000 | $36,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 19,000 | $35,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 16,761 | $33,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 10,786 | $32,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 10,250 | $29,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 17,350 | $27,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 14,913 | $27,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 69,839 | $27,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 21,803 | $24,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 67,611 | $22,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 32,000 | $22,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 18,000 | $19,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 10,540 | $12,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 19,787 | $9,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 10,000 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,000 | $6,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 20,000 | $5,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 12,860 | $3,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-002753 | this filing | 2019-11-06 | acceptance time not in the bulk data set |