13F-HR filed by CHARLES SCHWAB INVESTMENT MANAGEMENT INC
CHARLES SCHWAB INVESTMENT MANAGEMENT INC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-05-15, with 3,234 holding rows worth $170,249,148,000.
- Accession
- 0001085146-20-001592
- Filer
- CIK 884546
- Filed
- 2020-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A combination report, 3,261 entries on the cover page, a total value of $170,249,148,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $170,249,148,000 with VALUE read as thousands by filing date, 13F file number 028-03128. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAMERICAN CENTURY COMPANIES INC028-11918
- reports for this filerBAILLIE GIFFORD OVERSEAS LTD028-04395
- reports for this filerBlackRock Investment Management, LLC028-12016
- reports for this filerBLAIR WILLIAM & CO/IL028-04871
- reports for this filerHARRIS ASSOCIATES L P028-02013
- reports for this filerMELLON INVESTMENTS Corp028-02900
- reports for this filerMondrian Investment Partners LTD028-11450
- included managerCharles Schwab Trust Co028-19636
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 |
|---|---|---|---|---|---|---|
| CULP INC | 230215105 | CMN | 28,689 | $212,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 44,903 | $212,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 113,653 | $211,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 33,801 | $211,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 67,141 | $209,000 | thousands by filing date | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 65,152 | $208,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 49,809 | $207,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 32,297 | $207,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 20,616 | $207,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 27,171 | $203,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 27,123 | $203,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082801 | COM CL A | 37,229 | $202,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 267,453 | $201,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 20,947 | $199,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 133,956 | $195,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 26,993 | $194,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 233,687 | $194,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 37,204 | $193,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 23,543 | $192,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 17,559 | $192,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 17,505 | $192,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 47,268 | $191,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 41,395 | $190,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 70,414 | $189,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 12,964 | $188,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 81,784 | $187,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 231,829 | $186,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 91,808 | $183,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 92,444 | $182,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 209,363 | $177,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 143,896 | $177,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 42,856 | $176,000 | thousands by filing date | |
| HOOKIPA PHARMA INC | 43906K100 | COM | 21,321 | $176,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 18,398 | $175,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 24,982 | $175,000 | thousands by filing date | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 40,980 | $172,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 88,114 | $172,000 | thousands by filing date | |
| EVI INDUSTRIES INC | 26929N102 | COMMON STOCK | 10,835 | $171,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 30,133 | $171,000 | thousands by filing date | |
| SAVARA INC | 805111101 | COM | 79,437 | $169,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 22,662 | $168,000 | thousands by filing date | |
| ASCENT INDUSTRIES CO | 871565107 | COM | 19,228 | $168,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 19,487 | $168,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 183,336 | $165,000 | thousands by filing date | |
| STARTEK INC | 85569C107 | COM | 43,747 | $165,000 | thousands by filing date | |
| CONCRETE PUMPING HOLDINGS IN | 206704108 | COMMON STOCK | 56,380 | $162,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 22,317 | $162,000 | thousands by filing date | |
| SHARPSPRING INC | 820054104 | COM | 26,682 | $162,000 | thousands by filing date | |
| REPAY HLDGS CORP | 76029L100 | COM CL A | 11,120 | $160,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 51,613 | $160,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 14,057 | $160,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 144,363 | $159,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 26,551 | $158,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 65,388 | $158,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 152,354 | $157,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 29,423 | $157,000 | thousands by filing date | |
| MIRUM PHARMACEUTICALS INC | 604749101 | COM | 11,078 | $156,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 14,880 | $155,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 46,159 | $155,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 116,183 | $153,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 38,854 | $152,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 102,159 | $147,000 | thousands by filing date | |
| EYEPOINT PHARMACEUTICALS INC | 30233G100 | COM | 142,737 | $146,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 30,682 | $145,000 | thousands by filing date | |
| HAMILTON BEACH BRAND A | 40701T104 | COMMON STOCK | 15,228 | $145,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 48,241 | $144,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 38,754 | $144,000 | thousands by filing date | |
| STRONGBRIDGE BIOPHARMA PLC | G85347105 | SHS USD | 75,231 | $143,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 25,946 | $142,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 26,369 | $140,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 48,956 | $138,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 47,230 | $137,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 330,148 | $137,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 55,044 | $137,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES | 05614L209 | COM | 132,758 | $136,000 | thousands by filing date | |
| CABALETTA BIO INC | 12674W109 | COMMON STOCK | 18,598 | $136,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 711,679 | $136,000 | thousands by filing date | |
| PROVENTION BIO INC | 74374N102 | COM | 14,553 | $134,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 54,072 | $133,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 110,082 | $131,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 52,683 | $131,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 84,487 | $131,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 34,189 | $131,000 | thousands by filing date | |
| LIVEXLIVE MEDIA INC | 53839L208 | COM NEW | 81,781 | $130,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 70,552 | $127,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 16,119 | $126,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 126,656 | $125,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 84,645 | $123,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 64,593 | $123,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 36,799 | $122,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 79,457 | $120,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 102,183 | $120,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 20,221 | $118,000 | thousands by filing date | |
| VELOCITY FINANCIAL INC | 92262D101 | COMMON STOCK | 15,603 | $118,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 34,442 | $115,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 127,199 | $114,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 75,209 | $114,000 | thousands by filing date | |
| Ramaco Resources Inc | 75134P303 | COM CL B | 47,021 | $113,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 73,177 | $111,000 | thousands by filing date | |
| PURPLE INNOVATION INC | 74640Y106 | CMN | 19,403 | $111,000 | thousands by filing date | |
| Renovaro Inc | 29350E104 | Common Stock | 36,514 | $110,000 | thousands by filing date | |
| FRANCESCAS HLDGS CORP | 351793203 | COM | 48,227 | $110,000 | thousands by filing date | |
| SELECT INTERIOR CONCEPTS INC CLASS | 816120307 | CL A | 52,308 | $109,000 | thousands by filing date | |
| COVIA HLDGS CORP | 22305A103 | COM | 188,719 | $108,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 47,338 | $107,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 129,446 | $106,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 21,028 | $105,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 53,982 | $101,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 12,953 | $98,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 154,953 | $98,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 14,709 | $96,000 | thousands by filing date | |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 21,898 | $94,000 | thousands by filing date | |
| NEXTDECADE CORP | 65342K105 | COM | 48,926 | $92,000 | thousands by filing date | |
| SOLITON INC | 834251100 | COM | 11,097 | $90,000 | thousands by filing date | |
| LOGICBIO THERAPEUTICS INC | 54142F102 | COM | 18,169 | $90,000 | thousands by filing date | |
| RESTORBIO INC | 76133L103 | COM | 87,052 | $90,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 84,702 | $89,000 | thousands by filing date | |
| DASAN ZHONE SOLUTIONS INC | 23305L206 | COM NEW | 21,092 | $89,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 123,219 | $87,000 | thousands by filing date | |
| MAJESCO | 56068V102 | COM | 15,678 | $86,000 | thousands by filing date | |
| INSPIRED ENTERTAINMENT INC | 45782N108 | COMMON STOCK | 24,992 | $85,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 47,590 | $84,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 56,311 | $83,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 100,979 | $82,000 | thousands by filing date | |
| MAYVILLE ENGINEERING CO INC | 578605107 | COMMON STOCK | 13,093 | $81,000 | thousands by filing date | |
| NEON THERAPEUTICS INC | 64050Y100 | COM | 30,308 | $81,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 13,059 | $78,000 | thousands by filing date | |
| ONEWATER MARINE INC CL A | 68280L101 | COMMON STOCK | 10,036 | $77,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 10,242 | $76,000 | thousands by filing date | |
| CODA OCTOPUS GROUP INC | 19188U206 | COM NEW | 12,803 | $72,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 11,699 | $72,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 36,954 | $70,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 14,305 | $70,000 | thousands by filing date | |
| AVALON GLOBOCARE CORP | 05344R104 | COM | 44,971 | $70,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 15,825 | $68,000 | thousands by filing date | |
| CAMBIUM NETWORKS CORPORATION | G17766109 | COMMON STOCK-FO | 12,132 | $68,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 116,759 | $68,000 | thousands by filing date | |
| CBDMD INC | 12482W101 | COM | 69,380 | $65,000 | thousands by filing date | |
| CASPER SLEEP INC | 147626105 | COM | 14,978 | $65,000 | thousands by filing date | |
| SYNLOGIC INC | 87166L100 | COM | 37,208 | $64,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 50,940 | $63,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 55,925 | $61,000 | thousands by filing date | |
| AXCELLA HEALTH INC | 05454B105 | COM | 17,008 | $59,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 14,548 | $58,000 | thousands by filing date | |
| ELEVATE CREDIT INC | 28621V101 | COM | 54,925 | $58,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 159,713 | $57,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 14,777 | $56,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 18,578 | $56,000 | thousands by filing date | |
| GENASYS INC | 36872P103 | CMN | 16,638 | $55,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 11,675 | $54,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 71,667 | $54,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 11,287 | $53,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 122,010 | $53,000 | thousands by filing date | |
| AGEX THERAPEUTICS INC | 00848H108 | COM | 54,863 | $52,000 | thousands by filing date | |
| EXELA TECHNOLOGIES INC | 30162V102 | COM | 253,228 | $52,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 414,456 | $51,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 48,150 | $51,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 15,200 | $50,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 50,786 | $49,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 16,205 | $49,000 | thousands by filing date | |
| LEAF GROUP LTD | 52177G102 | COM | 35,960 | $49,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 15,384 | $48,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 19,191 | $48,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 63,234 | $47,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 26,271 | $46,000 | thousands by filing date | |
| PHUNWARE INC | 71948P100 | COMMON | 67,278 | $46,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 29,038 | $44,000 | thousands by filing date | |
| FTS INTERNATIONAL INC | 30283W104 | COM | 191,517 | $43,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 15,939 | $40,000 | thousands by filing date | |
| CENTRIC BRANDS INC | 15644G104 | COM | 34,283 | $39,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 31,665 | $38,000 | thousands by filing date | |
| GREENLANE HLDGS INC | 395330103 | CL A | 21,662 | $38,000 | thousands by filing date | |
| SELECTA BIOSCIENCES INC | 816212104 | COM | 14,661 | $36,000 | thousands by filing date | |
| U S WELL SERVICES INC | 91274U101 | CLASS A | 107,722 | $33,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 19,137 | $33,000 | thousands by filing date | |
| HELIUS MED TECHNOLOGIES INC | 42328V504 | COM CL A | 95,675 | $32,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 73,284 | $31,000 | thousands by filing date | |
| CHAPARRAL ENERGY INC | 15942R208 | COM CL A | 64,581 | $31,000 | thousands by filing date | |
| AMERISERV FINL INC | 03074A102 | COM | 10,799 | $29,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HOLDINGS | 74275G107 | COMMON STOCK | 13,581 | $27,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG COM | L7257P205 | Stock | 62,142 | $27,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 29,948 | $26,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 11,147 | $25,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 16,798 | $25,000 | thousands by filing date | |
| HUNT COS FIN TR INC | 44558T100 | COM | 13,059 | $25,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 13,330 | $24,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 26,733 | $24,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 24,895 | $24,000 | thousands by filing date | |
| ACER THERAPEUTICS INC | 00444P108 | CMN | 11,934 | $24,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 39,231 | $23,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 12,207 | $23,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 41,479 | $23,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 35,096 | $22,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 11,791 | $22,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 13,292 | $20,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 20,055 | $19,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 31,860 | $19,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 28,476 | $19,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 18,900 | $18,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 82,711 | $18,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 19,000 | $18,000 | thousands by filing date | principal |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 10,000 | $17,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 14,681 | $17,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 80,219 | $16,000 | thousands by filing date | |
| NEOS THERAPEUTICS INC | 64052L106 | COM | 21,090 | $16,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 21,471 | $16,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 14,633 | $15,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 12,274 | $14,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 33,744 | $14,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 18,290 | $14,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 12,444 | $13,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 17,188 | $13,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 33,032 | $13,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 48,197 | $12,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 11,344 | $11,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 19,035 | $11,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 14,328 | $10,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 13,613 | $10,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 16,336 | $10,000 | thousands by filing date | |
| ROSETTA RES INC COM | 777385105 | Stock | 21,663 | $9,000 | thousands by filing date | |
| AERPIO PHARMACEUTICALS INC | 00810B105 | COM | 12,835 | $8,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 37,436 | $7,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 19,600 | $7,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 18,114 | $7,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 11,000 | $7,000 | thousands by filing date | |
| HTG MOLECULAR DIAGNOSTICS IN | 40434H104 | COM | 18,640 | $7,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 12,685 | $6,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 22,969 | $6,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 11,722 | $6,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 16,516 | $6,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 14,578 | $6,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 28,432 | $5,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 12,899 | $4,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 17,279 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-001592 | this filing | 2020-05-15 | acceptance time not in the bulk data set |