13F-HR filed by SANDERS MORRIS HARRIS LLC
SANDERS MORRIS HARRIS LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-10-16, with 274 holding rows worth $367,989,000.
- Accession
- 0001085146-20-002543
- Filer
- CIK 1053994
- Filed
- 2020-10-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 274 entries on the cover page, a total value of $367,989,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $367,989,000 with VALUE read as thousands by filing date, 13F file number 028-12760. 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 |
|---|---|---|---|---|---|---|
| INVESCO QQQ TR | 46090E103 | COM | 151,352 | $42,053,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 371,620 | $19,451,000 | thousands by filing date | |
| ELANCO ANIMAL HEALTH INC COM | 28414H103 | Stock | 531,260 | $14,838,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 841,068 | $11,817,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 741,305 | $11,717,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 94,274 | $11,126,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 246,254 | $7,002,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 4,296,637 | $6,789,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 227,342 | $6,723,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 148,267 | $5,406,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 25,237 | $5,132,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 13,014 | $4,572,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 150,500 | $4,416,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F114 | VIDEO GMNG ESPRT | 66,096 | $4,172,000 | thousands by filing date | |
| DOCUSIGN INC COM | 256163106 | Stock | 17,381 | $4,137,000 | thousands by filing date | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 667,004 | $4,062,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 41,511 | $4,025,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 52,563 | $3,997,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,539 | $3,952,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 6,926 | $3,602,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 92,018 | $3,565,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 59,347 | $3,469,000 | thousands by filing date | |
| DYNATRACE INC COM NEW | 268150109 | Stock | 78,284 | $3,437,000 | thousands by filing date | |
| AVALARA INC | 05338G106 | COM | 20,291 | $3,156,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 88,221 | $3,028,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 893 | $3,004,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 259,775 | $2,892,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 13,246 | $2,875,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 9 | $2,869,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 13,082 | $2,862,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 5,020 | $2,829,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 443,052 | $2,773,000 | thousands by filing date | |
| TELA BIO INC | 872381108 | COM | 163,121 | $2,698,000 | thousands by filing date | |
| SNOWFLAKE INC COM SHS | 833445109 | Stock | 10,358 | $2,579,000 | thousands by filing date | |
| LISTED FD TR | 53656F821 | TRUESHS TECH AI | 59,250 | $2,529,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 41,419 | $2,508,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 1,110,633 | $2,455,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 142,430 | $2,312,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 16,702 | $2,144,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 68,090 | $2,015,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 22,498 | $1,969,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 219,992 | $1,831,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 49,522 | $1,822,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 5,045 | $1,760,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 21,020 | $1,691,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 6,051 | $1,681,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 1,068 | $1,671,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 6,142 | $1,638,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 13,300 | $1,619,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 50,205 | $1,614,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 4,242 | $1,591,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 26,126 | $1,528,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 10,208 | $1,518,000 | thousands by filing date | |
| Intuit Inc. | 461202103 | COM | 4,321 | $1,512,000 | thousands by filing date | |
| LISTED FD TR | 53656F813 | TRUESHS ESG ACTV | 46,330 | $1,509,000 | thousands by filing date | |
| REATA PHARMACEUTICALS INC | 75615P103 | CL A | 13,595 | $1,504,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,900 | $1,494,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 5,384 | $1,464,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 24,233 | $1,438,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 36,000 | $1,347,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 9,170 | $1,299,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,757 | $1,289,000 | thousands by filing date | |
| BOQII HLDG LTD | 09950L104 | SPONSORED ADS | 179,000 | $1,289,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 8,670 | $1,287,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 5,960 | $1,250,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 10,925 | $1,209,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 18,460 | $1,126,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 5,597 | $1,126,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 40,000 | $1,124,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,150 | $1,119,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,307 | $1,095,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,445 | $1,058,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 4,292 | $1,028,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 55,466 | $998,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 11,350 | $967,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 5,324 | $967,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 5,506 | $962,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 5,000 | $947,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 6,040 | $929,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 19,700 | $929,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 74,500 | $909,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 5,360 | $903,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M110 | W EXP 07/25/202 | 219,742 | $901,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 24,748 | $893,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 17,816 | $879,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 3,200 | $875,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 8,025 | $873,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 70,121 | $872,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 2,600 | $865,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 7,542 | $853,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 152,434 | $852,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 5,060 | $830,000 | thousands by filing date | |
| BEONE MEDICINES LTD SPONSORED ADS | 07725L102 | ADR | 2,700 | $825,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 4,600 | $812,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 15,095 | $811,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 1,239 | $802,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 1,700 | $795,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 4,735 | $785,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 4,493 | $784,000 | thousands by filing date | |
| ROCKET PHARMACEUTICALS INC | 77313F106 | COM | 27,709 | $772,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 2,677 | $769,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 3,250 | $761,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 9,255 | $755,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 1,964 | $749,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 13,600 | $744,000 | thousands by filing date | |
| DATADOGINCCLASSA | 23804L103 | STOK | 6,290 | $735,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 10,175 | $733,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 5,350 | $709,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 250 | $709,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 11,824 | $693,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 148,490 | $661,000 | thousands by filing date | |
| SPRINGWORKS THERAPEUTICS INC | 85205L107 | COM | 11,200 | $655,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 5,475 | $645,000 | thousands by filing date | |
| LINDE PLC | G5494J103 | SHS | 2,700 | $643,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 3,000 | $631,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 188,723 | $623,000 | thousands by filing date | |
| AIR PRODS & CHEMS INC | 009158106 | COM | 2,075 | $618,000 | thousands by filing date | |
| Raytheon Technologies Corporation | 75513E101 | COM | 10,488 | $617,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 38,955 | $610,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 7,500 | $593,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 35,013 | $584,000 | thousands by filing date | |
| CELANESE CORP DEL COM | 150870103 | Stock | 5,000 | $578,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 1,900 | $563,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 3,700 | $562,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,000 | $560,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 5,480 | $559,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 5,244 | $558,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 2,500 | $555,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 20,915 | $540,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,389 | $538,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 5,925 | $536,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 4,200 | $533,000 | thousands by filing date | |
| PRA Group Inc | 69354N106 | COM | 13,421 | $533,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 2,730 | $528,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 4,030 | $519,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 15,000 | $519,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 4,800 | $519,000 | thousands by filing date | |
| IOVANCE BIOTHERAPEUTICS INC | 462260100 | COM | 16,200 | $518,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 102,500 | $516,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 3,500 | $514,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 14,900 | $510,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 1,830 | $509,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 3,370 | $508,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 900 | $507,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 5,647 | $505,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,500 | $500,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,266 | $499,000 | thousands by filing date | |
| PRECIGEN INC | 74017N105 | COM | 140,809 | $493,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 5,000 | $487,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 2,370 | $485,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 36,950 | $484,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 2,922 | $483,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 3,631 | $481,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 2,183 | $480,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 10,377 | $474,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 2,082 | $474,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 32,372 | $472,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 8,000 | $466,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 2,175 | $465,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,100 | $461,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,400 | $461,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 6,000 | $439,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A102 | SHS | 43,780 | $434,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 166,900 | $433,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 3,000 | $429,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 2,100 | $426,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 3,400 | $421,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 24,555 | $413,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 3,676 | $412,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 6,750 | $408,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 28,000 | $403,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 19,734 | $400,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 1,000 | $396,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 8,162 | $394,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 4,920 | $393,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,900 | $391,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 1,750 | $384,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 4,620 | $384,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 2,000 | $376,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 2,450 | $364,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 1,155 | $360,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 29,000 | $356,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 25,730 | $353,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 19,800 | $350,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 1,000 | $349,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 3,292 | $344,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 13,199 | $343,000 | thousands by filing date | |
| TFF PHARMACEUTICALS INC | 87241J104 | COM | 21,326 | $340,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,010 | $338,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 8,000 | $337,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 25,500 | $337,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 4,600 | $337,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 5,900 | $337,000 | thousands by filing date | |
| MERUS N V | N5749R100 | COM | 24,870 | $333,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 16,998 | $332,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 2,100 | $329,000 | thousands by filing date | |
| DROPBOX INC CL A | 26210C104 | Stock | 15,970 | $324,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 4,000 | $320,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 2,890 | $316,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 18,600 | $311,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 2,108 | $310,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 46,000 | $306,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 7,625 | $304,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 20,000 | $301,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 1,067 | $296,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 6,656 | $294,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 6,000 | $291,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 7,560 | $290,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 15,000 | $290,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 24,500 | $288,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 28,498 | $278,000 | thousands by filing date | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,500 | $267,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 5,000 | $265,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 1,588 | $265,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 26,220 | $265,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 2,000 | $260,000 | thousands by filing date | |
| CLOUDFLARE INC CL A COM | 18915M107 | Stock | 6,300 | $259,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C103 | COM CL A | 25,000 | $251,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 9,570 | $247,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P106 | COM CL A | 24,450 | $247,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,161 | $245,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 2,750 | $243,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 34,100 | $242,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 8,500 | $234,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 12,420 | $232,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 55,000 | $225,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 49,498 | $218,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 21,000 | $217,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 500 | $215,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 1,319 | $212,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 21,875 | $209,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 4,500 | $206,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,375 | $205,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 5,550 | $203,000 | thousands by filing date | |
| FLYING EAGLE ACQUISITION COR | 34407Y103 | COM | 16,650 | $203,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 1,800 | $202,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 22,259 | $194,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 46,200 | $185,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 12,897 | $181,000 | thousands by filing date | |
| RIVERNORTH MANAGED DUR MUN I | 76882H105 | COM | 10,300 | $174,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 19,400 | $173,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 55,100 | $172,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 35,700 | $161,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 11,000 | $157,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 13,400 | $150,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 14,150 | $149,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 15,000 | $147,000 | thousands by filing date | |
| GREENROSE ACQUISITION CORP | 395392103 | COM | 15,000 | $147,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 15,960 | $144,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 10,170 | $132,000 | thousands by filing date | |
| MEIRAGTX HOLDINGS PLC | G59665102 | COMMON STOCK | 10,000 | $132,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 15,500 | $128,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S116 | CL A SHS | 12,500 | $125,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402q100 | COM | 12,500 | $124,000 | thousands by filing date | |
| PROPETRO HLDG CORP | 74347M108 | COM | 30,000 | $122,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 27,000 | $109,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 39,000 | $107,000 | thousands by filing date | |
| INTERPRIVATE ACQUISITION COR COM | 46064A103 | Stock | 10,000 | $100,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D108 | SHS | 10,000 | $98,000 | thousands by filing date | |
| CADENCE BANCORP | 12739A100 | COMMON EQUITY | 10,000 | $86,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 20,000 | $64,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G114 | *W EXP 11/13/202 | 37,500 | $51,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 12,000 | $41,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 124,667 | $28,000 | thousands by filing date | |
| SHAPEWAYS HOLDIN | G3770A110 | EQUITY WRT | 46,255 | $27,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,000 | $19,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 26,330 | $17,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P114 | *W EXP 99/99/999 | 12,225 | $13,000 | thousands by filing date | |
| CIIG MERGER CORP | 12559C111 | *W EXP 12/31/202 | 12,500 | $11,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M114 | *W EXP 11/07/202 | 15,000 | $8,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402Q126 | *W EXP 04/01/202 | 12,500 | $7,000 | thousands by filing date | |
| WTS/GREENROSE ACQUISITION CORP EXP12/31/2024 | 395392111 | WARR | 15,000 | $5,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D132 | RIGHT 02/24/2027 | 10,000 | $2,000 | thousands by filing date | |
| EAST STONE ACQUISITION CORP | G2911D116 | *W EXP 12/31/202 | 10,000 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-002543 | this filing | 2020-10-16 | acceptance time not in the bulk data set |