13F-HR filed by First Allied Advisory Services, Inc.
First Allied Advisory Services, Inc. filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-10, with 1,206 holding rows worth $2,960,649,000.
- Accession
- 0001085146-20-000484
- Filer
- CIK 1512647
- Filed
- 2020-02-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 1,206 entries on the cover page, a total value of $2,960,649,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,960,649,000 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 |
|---|---|---|---|---|---|---|
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 1,757 | $260,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 5,046 | $260,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 2,888 | $260,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 7,786 | $260,000 | thousands by filing date | |
| ISHARES TR | 46435G433 | MSCI USA SMCP MN | 7,395 | $260,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 2,839 | $259,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 720 | $257,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 10,581 | $257,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 28,699 | $256,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 82,200 | $256,000 | thousands by filing date | |
| BIO-TECHNE CORP | 09073M104 | COM | 1,143 | $255,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 8,401 | $252,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 579 | $252,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 25,293 | $251,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 6,293 | $250,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 43,351 | $250,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 17,890 | $250,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 14,390 | $250,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 11,567 | $249,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 15,620 | $248,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 3,425 | $248,000 | thousands by filing date | |
| KEURIG DR PEPPER INC COM | 49271V100 | Stock | 8,560 | $247,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 2,835 | $246,000 | thousands by filing date | |
| CIRRUS LOGIC INC COM | 172755100 | Stock | 2,994 | $246,000 | thousands by filing date | |
| IQVIA HLDGS INC COM | 46266C105 | Stock | 1,582 | $244,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,290 | $244,000 | thousands by filing date | |
| BOOZ ALLEN HAMILTON HLDG CORP CL A | 099502106 | Stock | 3,458 | $244,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 2,691 | $243,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4,310 | $243,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 18,049 | $243,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 14,535 | $242,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 5,260 | $242,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 2,236 | $241,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 19,950 | $240,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 6,015 | $239,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 23,948 | $239,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 4,100 | $238,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 10,792 | $237,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 983 | $236,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 10,811 | $236,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,731 | $235,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 2,295 | $235,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 846 | $234,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 1,005 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 3,983 | $234,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E149 | S&P SMLCP HELT | 1,808 | $234,000 | thousands by filing date | |
| APTIV PLC | G6095L109 | SHS | 2,442 | $233,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 4,791 | $232,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 14,679 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 7,941 | $231,000 | thousands by filing date | |
| SMITH A O CORP COM | 831865209 | Stock | 4,845 | $230,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 4,841 | $230,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 7,042 | $230,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 3,902 | $229,000 | thousands by filing date | |
| FOX CORP | 35137L204 | CL B COM | 6,268 | $229,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 15,102 | $229,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 4,993 | $229,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,311 | $228,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 18,012 | $228,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P888 | NUVEEN ESG EMRGN | 8,381 | $228,000 | thousands by filing date | |
| GLACIER BANCORP INC NEW | 37637Q105 | COM | 4,958 | $228,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 3,642 | $228,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 1,985 | $228,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 15,187 | $228,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 951 | $227,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,723 | $227,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 1,912 | $226,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 3,510 | $226,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 21,235 | $226,000 | thousands by filing date | |
| SONOCO PRODS CO | 835495102 | COM | 3,687 | $224,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 7,544 | $224,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 382 | $222,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 4,417 | $222,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 2,926 | $221,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 3,906 | $221,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 1,648 | $221,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 1,304 | $221,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 10,500 | $221,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 7,413 | $221,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,224 | $219,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 6,802 | $219,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 1,489 | $217,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 15,730 | $217,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 1,404 | $215,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 9,716 | $215,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 39,875 | $215,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 5,962 | $214,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 8,967 | $214,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 10,137 | $213,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 13,129 | $213,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 5,790 | $213,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,498 | $212,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 1,858 | $212,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,160 | $212,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 11,973 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 5,347 | $212,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 1,752 | $211,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 1,170 | $211,000 | thousands by filing date | |
| AGILENT TECHNOLOGIES INC COM | 00846U101 | Stock | 2,468 | $211,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,447 | $211,000 | thousands by filing date | |
| LAKEFRONT BIOTHERAPEUTICS NV | 36315X101 | SPON ADR | 1,017 | $211,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 4,691 | $210,000 | thousands by filing date | |
| O'Shares FTSE U.S. Quality Divid | 67110P407 | COM | 5,666 | $210,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 2,639 | $209,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 4,122 | $209,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 6,892 | $208,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,820 | $207,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 3,339 | $206,000 | thousands by filing date | |
| BALCHEM CORP | 057665200 | COM | 2,029 | $206,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 2,672 | $206,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 1,257 | $205,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 14,345 | $205,000 | thousands by filing date | |
| FIRST HAWAIIAN INC | 32051X108 | COM | 7,076 | $204,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 3,759 | $203,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 2,622 | $203,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 2,359 | $203,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 6,104 | $203,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 16,592 | $202,000 | thousands by filing date | |
| HUNT J B TRANS SVCS INC COM | 445658107 | Stock | 1,739 | $202,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 1,499 | $201,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,517 | $201,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 3,028 | $201,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 28,382 | $201,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 1,566 | $201,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 5,715 | $200,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 13,637 | $199,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 41,786 | $198,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,875 | $197,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 11,034 | $196,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 13,018 | $193,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 12,870 | $192,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 12,470 | $191,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 13,456 | $189,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 25,426 | $187,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 22,246 | $186,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 11,737 | $183,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 12,212 | $183,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 33,662 | $183,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 14,162 | $181,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 15,877 | $179,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 27,769 | $177,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 23,475 | $175,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 68,000 | $173,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 10,273 | $172,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 10,344 | $172,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,673 | $170,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 15,616 | $167,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 13,421 | $163,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 40,000 | $163,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 11,238 | $160,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 24,745 | $159,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 15,164 | $155,000 | thousands by filing date | |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 19,000 | $155,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 16,805 | $154,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 37,048 | $154,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 11,775 | $151,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,000 | $144,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 49,124 | $142,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 11,618 | $139,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 17,467 | $138,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 30,902 | $136,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,120 | $129,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,546 | $126,000 | thousands by filing date | |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 11,900 | $126,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 13,373 | $123,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 13,145 | $119,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 13,100 | $118,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 27,582 | $116,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 10,048 | $112,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 29,000 | $109,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 24,695 | $106,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 27,987 | $104,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 12,275 | $102,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,470 | $101,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 22,830 | $98,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 112,125 | $95,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 19,374 | $91,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 42,562 | $90,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,520 | $87,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 10,172 | $82,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 13,543 | $80,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,105 | $77,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 20,123 | $76,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 71,000 | $73,000 | thousands by filing date | principal |
| INTELSAT S A | L5140P101 | COM | 10,150 | $72,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 13,450 | $66,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 11,000 | $65,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 12,053 | $61,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 11,402 | $59,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 15,773 | $59,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 15,805 | $57,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255807 | COM | 13,000 | $56,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 16,470 | $54,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 16,000 | $52,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,858 | $51,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 56,251 | $49,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 17,321 | $46,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 10,000 | $34,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 10,379 | $34,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 10,862 | $29,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 17,500 | $20,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,397 | $17,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 15,000 | $15,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 34,500 | $14,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 40,000 | $7,000 | thousands by filing date | put |
| ROKU INC COM CL A | 77543R102 | Stock | 200 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-000484 | this filing | 2020-02-10 | acceptance time not in the bulk data set |