13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-13, with 1,275 holding rows worth $3,996,708,000.
- Accession
- 0001085146-20-002928
- Filer
- CIK 822581
- Filed
- 2020-11-13
- 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, 1,275 entries on the cover page, a total value of $3,996,708,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,996,708,000 with VALUE read as thousands by filing date, 13F file number 028-04046. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ESSENTIAL UTILS INC COM | 29670G102 | Stock | 7,081 | $285,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 2,001 | $285,000 | thousands by filing date | |
| ACM RESH INC COM CL A | 00108J109 | Stock | 4,133 | $285,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 7,361 | $284,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 29,753 | $284,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 2,676 | $283,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 1,120 | $283,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 17,840 | $283,000 | thousands by filing date | |
| GROCERY OUTLET HLDG CORP COM | 39874R101 | Stock | 7,183 | $282,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 21,894 | $282,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 6,683 | $282,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 2,998 | $281,000 | thousands by filing date | |
| ISHARES TR | 464287580 | US CONSUM DISCRE | 1,118 | $280,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 17,444 | $279,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 8,728 | $278,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 1,981 | $277,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,398 | $277,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 14,672 | $275,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 33,749 | $275,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 19,671 | $274,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,716 | $274,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 24,617 | $274,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 284 | $274,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 879 | $273,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 1,029 | $271,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q452 | ALERIAN MLP | 13,564 | $271,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 21,650 | $271,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y814 | FINTECH ETF | 7,148 | $271,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 36,766 | $270,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 3,713 | $270,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 19,364 | $269,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 3,532 | $269,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505889 | EMQQ EME MAR ETF | 5,120 | $268,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 45,003 | $268,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 5,000 | $268,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,854 | $267,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,451 | $267,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,498 | $267,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 1,740 | $266,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 5,022 | $265,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 3,346 | $265,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 1,103 | $265,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 22,381 | $265,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 961 | $264,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 3,558 | $264,000 | thousands by filing date | |
| CONSTRUCTION PARTNERS INC | 21044C107 | COM CL A | 14,495 | $264,000 | thousands by filing date | |
| QIAGEN NV | N72482123 | SHS NEW | 5,024 | $263,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 13,520 | $262,000 | thousands by filing date | |
| ETFS GOLD TR | 00326A104 | PHYSCL GOLD SHS | 14,330 | $260,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 12,450 | $259,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 3,000 | $258,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 17,507 | $257,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 93,219 | $256,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 13,451 | $256,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 732 | $255,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 11,450 | $255,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V639 | AI AND NEXT GEN | 2,060 | $255,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,035 | $254,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 14,035 | $253,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 16,219 | $253,000 | thousands by filing date | |
| Invesco S&P MidCap Momentum ETF | 46137V464 | SHS | 3,803 | $252,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 4,900 | $252,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 20,600 | $251,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 3,018 | $250,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 2,430 | $250,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 14,223 | $250,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 2,777 | $249,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 9,827 | $248,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 12,870 | $248,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 1,165 | $248,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 16,969 | $247,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 3,608 | $246,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 7,280 | $243,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 16,758 | $243,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 3,191 | $242,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 5,646 | $242,000 | thousands by filing date | |
| FREQUENCY THERAPEUTICS INC | 35803L108 | COM | 12,600 | $242,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 1,354 | $241,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 9,230 | $241,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 6,906 | $240,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 12,929 | $240,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 16,660 | $240,000 | thousands by filing date | |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 10,322 | $239,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 5,938 | $239,000 | thousands by filing date | |
| REYNOLDS CONSUMER PRODS INC COM | 76171L106 | Stock | 7,743 | $237,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 4,200 | $237,000 | thousands by filing date | |
| ARK ETF TR | 00214Q401 | NEXT GNRTN INTER | 2,180 | $237,000 | thousands by filing date | |
| PROSHARES TR | 74347B698 | RUSS 2000 DIVD | 5,024 | $237,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 20,800 | $237,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 46,023 | $237,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 2,495 | $236,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 7,700 | $236,000 | thousands by filing date | |
| WARNER MUSIC GROUP CORP | 934550203 | COM CL A | 8,200 | $236,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 7,115 | $236,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 3,286 | $235,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 2,048 | $234,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 4,705 | $234,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 1,395 | $233,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V332 | S&P500 EQL HLT | 988 | $233,000 | thousands by filing date | |
| NEXTERA ENERGY INC | 65339F770 | CONV | 5,000 | $233,000 | thousands by filing date | |
| LI AUTO INC SPONSORED ADS | 50202M102 | ADR | 13,329 | $232,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 5,491 | $231,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 6,918 | $230,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,165 | $228,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 1,511 | $228,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 5,468 | $227,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 165,000 | $227,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 21,485 | $227,000 | thousands by filing date | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 11,719 | $225,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 26,364 | $225,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 7,449 | $225,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 8,642 | $224,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,832 | $224,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 6,641 | $223,000 | thousands by filing date | |
| PALOMAR HLDGS INC COM | 69753M105 | Stock | 2,136 | $223,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 14,676 | $223,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 78,007 | $223,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 17,078 | $221,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 7,926 | $220,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 4,908 | $219,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 3,850 | $219,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 42,690 | $217,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 19,748 | $217,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 4,893 | $216,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 18,800 | $216,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 40,924 | $216,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,210 | $215,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 14,132 | $215,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 8,246 | $214,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 5,809 | $214,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 3,720 | $213,000 | thousands by filing date | |
| PARSONS CORP DEL COM | 70202L102 | Stock | 6,350 | $213,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 15,709 | $212,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 17,191 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 8,222 | $211,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 1,504 | $210,000 | thousands by filing date | |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 333 | $208,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 23,866 | $208,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 3,844 | $208,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 38,640 | $207,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 5,651 | $207,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A172 | NATIONWIDE NASDQ | 8,000 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 7,570 | $206,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 1,494 | $206,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2021 HIGH | 46138J809 | BULSHS 2021 HY | 8,963 | $206,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 4,289 | $205,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,075 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 14,675 | $205,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 5,197 | $205,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 14,800 | $204,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 2,000 | $203,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 6,610 | $203,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 9,099 | $203,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 6,693 | $202,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 10,655 | $202,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 4,467 | $202,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 9,096 | $202,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 9,242 | $201,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,631 | $201,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 12,817 | $199,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 12,619 | $198,000 | thousands by filing date | |
| POWERFLEET INC | 73931J109 | COMMON STOCK | 35,222 | $198,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 10,849 | $196,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 19,502 | $196,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 15,500 | $196,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 12,800 | $190,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 90,220 | $190,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 10,395 | $189,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 30,294 | $183,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 15,400 | $183,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 11,990 | $181,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 14,005 | $178,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 17,250 | $178,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 20,555 | $178,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 13,509 | $177,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 21,221 | $176,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 18,111 | $175,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 47,295 | $173,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 14,281 | $172,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 19,920 | $170,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 11,901 | $170,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 101,600 | $166,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 13,663 | $165,000 | thousands by filing date | |
| NEOLEUKIN THERAPEUTICS INC | 64049K104 | COM | 13,750 | $165,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 15,400 | $164,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 13,400 | $163,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 14,000 | $163,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 24,318 | $161,000 | thousands by filing date | |
| OVINTIV INC | 69047Q102 | COM | 19,703 | $160,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 21,350 | $158,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 10,450 | $157,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 65,466 | $157,000 | thousands by filing date | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 10,027 | $156,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,135 | $155,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 12,000 | $154,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 10,359 | $152,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 60,226 | $151,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 10,144 | $148,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 53,386 | $148,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 43,850 | $147,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 28,898 | $145,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,873 | $144,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 11,256 | $144,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 37,061 | $142,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 27,904 | $141,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 37,200 | $140,000 | thousands by filing date | |
| TUFIN SOFTWARE TECHNOLOGIS L | M8893U102 | SHS | 16,800 | $139,000 | thousands by filing date | |
| DIANTHUS THERAPEUTICS INC COM | 55910K108 | Stock | 20,000 | $136,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 16,534 | $134,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 36,000 | $133,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 11,800 | $133,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 12,250 | $132,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 10,200 | $131,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 10,763 | $129,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 27,548 | $128,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 12,550 | $125,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 16,000 | $123,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 14,032 | $122,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 30,600 | $122,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 15,000 | $120,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 10,150 | $119,000 | thousands by filing date | |
| EVOFEM BIOSCIENCES INC | 30048L104 | COM | 49,262 | $116,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 11,911 | $113,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 10,000 | $111,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 10,696 | $111,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 32,700 | $111,000 | thousands by filing date | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 13,166 | $108,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 18,430 | $107,000 | thousands by filing date | |
| BNY MELLON ALCENTRA GLOBAL C | 05588N108 | COM | 13,195 | $106,000 | thousands by filing date | |
| Ohr Pharmaceutical Inc | 64132K102 | COM | 13,800 | $105,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 42,865 | $101,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 42,794 | $97,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 61,350 | $97,000 | thousands by filing date | |
| RLJ LODGING TR COM | 74965L101 | REIT | 10,860 | $94,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 25,715 | $93,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 15,000 | $93,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 11,200 | $92,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 45,801 | $85,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 10,404 | $83,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 10,000 | $80,000 | thousands by filing date | |
| AMYRIS INC | 03236M200 | COM NEW | 26,711 | $78,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 14,186 | $78,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 10,650 | $74,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 29,000 | $73,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 30,757 | $72,000 | thousands by filing date | |
| SUPER LEAGUE ENTERPRISE INC COM | 86804F202 | Stock | 38,333 | $70,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 11,543 | $69,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 10,200 | $66,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 31,022 | $64,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 13,339 | $62,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 21,001 | $62,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 10,717 | $62,000 | thousands by filing date | |
| ECLIPSE RESOURCES CORP | 61179L100 | EQUITY | 14,200 | $62,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 18,782 | $60,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 11,725 | $59,000 | thousands by filing date | |
| ALKALINE WTR CO INC | 01643A207 | COM NEW | 44,200 | $56,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 11,200 | $54,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 14,277 | $51,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 29,446 | $50,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 24,000 | $50,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 41,500 | $49,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 16,084 | $47,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 56,326 | $45,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 13,188 | $42,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 13,900 | $42,000 | thousands by filing date | |
| VACCINEX INC | 918640103 | CMN | 23,543 | $42,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 194,786 | $39,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 27,500 | $38,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 11,700 | $22,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $20,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 10,000 | $12,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 12,000 | $9,000 | thousands by filing date | |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 10,000 | $7,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 10,000 | $4,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 10,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-20-002928 | this filing | 2020-11-13 | acceptance time not in the bulk data set |