13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2021-03-31, filed 2021-05-17, with 1,211 holding rows worth $3,637,811,000.
- Accession
- 0001085146-21-001716
- Filer
- CIK 1534400
- Filed
- 2021-05-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2021
A holdings report, 1,211 entries on the cover page, a total value of $3,637,811,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,637,811,000 with VALUE read as thousands by filing date, 13F file number 028-14617. 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 |
|---|---|---|---|---|---|---|
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 6,036 | $272,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 2,194 | $272,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 19,747 | $272,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 1,938 | $271,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 2,054 | $271,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 2,443 | $270,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 1,571 | $270,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 10,851 | $270,000 | thousands by filing date | |
| VIATRIS INC COM | 92556V106 | Stock | 19,250 | $269,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 20,700 | $268,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 27,530 | $266,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 8,035 | $266,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,673 | $266,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,358 | $265,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 18,478 | $265,000 | thousands by filing date | |
| IAC INTERACTIVECORP NEW | 44891N109 | COM | 1,223 | $265,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 12,112 | $265,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 2,708 | $264,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 1,535 | $263,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 3,229 | $263,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X131 | INTL QULTY DIV | 7,097 | $263,000 | thousands by filing date | |
| ISHARES IBONDS 2023 TERM HIGH YIELD & INCOME ETF | 46435U150 | ETF | 10,681 | $263,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,083 | $262,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE CORP | 11284V105 | CL A SUB VTG | 5,597 | $262,000 | thousands by filing date | |
| SPINNAKER ETF SERIES | 84858T400 | CANNABIS ETF | 13,267 | $261,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C276 | GRWT100 PWR BUF | 5,712 | $260,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 19,639 | $259,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 7,126 | $259,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 4,466 | $258,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 1,347 | $257,000 | thousands by filing date | |
| BIO-TECHNE CORP | 09073M104 | COM | 674 | $257,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 15,925 | $257,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 5,836 | $256,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 2,874 | $256,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,472 | $256,000 | thousands by filing date | |
| FULGENT GENETICS INC | 359664109 | COM | 2,625 | $254,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108847 | HIGH INCOME | 15,116 | $252,000 | thousands by filing date | |
| PACER TRENDPILOT EUROPEAN INDEX ETF | 69374H808 | ETF | 10,859 | $252,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 9,883 | $251,000 | thousands by filing date | |
| AXOSFINLINC | 05465C100 | STOK | 5,310 | $250,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505723 | ROBO GBL HLTCR | 5,700 | $250,000 | thousands by filing date | |
| POSHMARK INC | 73739W104 | COM CL A | 6,162 | $250,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 509 | $247,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 24,865 | $247,000 | thousands by filing date | |
| Airbnb, Inc. Class A | 009066101 | COM | 1,308 | $246,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,202 | $246,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439102 | CL A | 10,553 | $245,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 8,436 | $244,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 5,273 | $244,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 2,700 | $244,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 1,698 | $243,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740F615 | FT VEST US EQT | 8,090 | $243,000 | thousands by filing date | |
| iShares Mortgage Real Estate ETF | 46435G342 | SHS | 6,854 | $242,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 4,130 | $242,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 13,103 | $242,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 16,755 | $242,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 3,154 | $241,000 | thousands by filing date | |
| ASANA INC | 04342Y104 | CL A | 8,422 | $241,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 1,316 | $240,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 1,816 | $240,000 | thousands by filing date | |
| ISHARES TR | 46436E551 | ESG SELECT SCRE | 6,665 | $240,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 9,491 | $239,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 3,775 | $239,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y442 | CLOUD COMPUTNG | 9,261 | $238,000 | thousands by filing date | |
| ISHARES TR | 46436E544 | ESG SELECT SCREE | 6,126 | $238,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 4,542 | $237,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G656 | S&P ULTRA DIVIDE | 5,967 | $237,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 12,254 | $236,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 13,025 | $235,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E784 | EMRNG MKT SVRG | 8,792 | $235,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 5,195 | $234,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 7,213 | $234,000 | thousands by filing date | |
| iShares Emerging Markets Equity Factor ETF | 46434G889 | SHS | 4,486 | $233,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 4,743 | $233,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 8,682 | $233,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 25,658 | $233,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 1,272 | $233,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 2,870 | $233,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 9,038 | $232,000 | thousands by filing date | |
| DIMENSIONAL ETF TRUST | 25434V104 | US CORE EQT MKT | 8,250 | $232,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 27,157 | $232,000 | thousands by filing date | |
| LYFT INC | 55087P104 | CL A COM | 3,663 | $231,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09260K101 | SHS BEN INT | 6,431 | $230,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 3,400 | $229,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 3,733 | $229,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 15,125 | $229,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,508 | $227,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 6,561 | $227,000 | thousands by filing date | |
| C3 AI INC | 12468P104 | CL A | 3,434 | $226,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 4,818 | $225,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 1,625 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 3,111 | $225,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 19,187 | $225,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 4,358 | $224,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 1,678 | $224,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 5,159 | $224,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 1,740 | $222,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,641 | $222,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 2,037 | $222,000 | thousands by filing date | |
| SLACK TECHNOLOGIES INC | 83088V102 | COM CL A | 5,462 | $222,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,702 | $222,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 6,010 | $222,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 1,415 | $221,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 1,571 | $221,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 572 | $220,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 14,715 | $220,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 562 | $219,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 14,672 | $219,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 7,500 | $219,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 4,838 | $218,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 1,006 | $218,000 | thousands by filing date | |
| COLONY CR REAL ESTATE INC | 19625T101 | COM CL A | 25,610 | $218,000 | thousands by filing date | |
| OPENDOOR TECHNOLOGIES INC | 683712103 | COM | 10,252 | $217,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 18,233 | $215,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 2,288 | $215,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 4,975 | $215,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 1,101 | $214,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 12,701 | $214,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 3,880 | $214,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 5,526 | $213,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 348 | $213,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y624 | AUTONMOUS EV ETF | 8,030 | $213,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 733 | $212,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F171 | GREEN BOND ETF | 7,824 | $212,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - JULY | 45782C284 | ETF | 8,000 | $212,000 | thousands by filing date | |
| KRANESHARES TRUST | 500767827 | ELEC VEH FUTUR | 5,005 | $212,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 1,121 | $211,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 4,198 | $211,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 2,623 | $211,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,728 | $210,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 2,648 | $210,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,020 | $210,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 6,278 | $210,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 3,670 | $209,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 2,203 | $209,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,772 | $208,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 9,620 | $208,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 67,290 | $208,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 3,084 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 4,592 | $204,000 | thousands by filing date | |
| ISHARES TR | 46434V381 | FUTU EXPO TE ETF | 3,450 | $204,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 7,631 | $203,000 | thousands by filing date | |
| OFFICE PPTYS INCOME TR | 67623C109 | COM SHS BEN INT | 7,371 | $203,000 | thousands by filing date | |
| CALLON PETROLEUM CORP | 13123X508 | COMMON STOCK | 5,263 | $203,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 3,997 | $202,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V217 | S&P MDCP400 PR | 921 | $202,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 855 | $202,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V811 | S&P500 EQL HIG | 1,402 | $202,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 4,400 | $201,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 1,638 | $200,000 | thousands by filing date | |
| AMERICAN FINANCE TRUST INC | 02607T109 | COM CLASS A | 20,009 | $196,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 20,542 | $195,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 20,296 | $192,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 11,302 | $191,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 11,410 | $191,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 46,839 | $187,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 10,000 | $183,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 11,528 | $179,000 | thousands by filing date | |
| FISKER INC | 33813J106 | CL A COM STK | 10,340 | $178,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 14,964 | $174,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 41,980 | $168,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,445 | $166,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 17,514 | $166,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 13,170 | $165,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 12,385 | $164,000 | thousands by filing date | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 12,187 | $163,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 12,299 | $163,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 49,310 | $162,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 16,417 | $153,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y180 | COM | 80,510 | $152,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 14,580 | $146,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 14,063 | $145,000 | thousands by filing date | |
| BANCO MACRO S A | 05961W105 | SPON ADR B | 10,775 | $144,000 | thousands by filing date | |
| CARLYLE CREDIT INCOME FUND | 92535C104 | SHS BEN INT | 13,783 | $142,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 10,351 | $137,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 10,929 | $137,000 | thousands by filing date | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 23,523 | $135,000 | thousands by filing date | |
| BNY MELLON MUN INCOME INC | 05589T104 | COM | 15,164 | $133,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 13,618 | $132,000 | thousands by filing date | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 10,120 | $125,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 22,705 | $123,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 19,468 | $119,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 38,999 | $112,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 79,450 | $106,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 15,340 | $103,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $96,000 | thousands by filing date | |
| CLOVER HEALTH INVESTMENTS CO | 18914F103 | COMMON STOCK | 12,348 | $93,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 41,940 | $90,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,350 | $88,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 16,904 | $81,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 10,000 | $79,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 16,440 | $71,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 29,062 | $70,000 | thousands by filing date | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 11,686 | $66,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 18,206 | $63,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 17,919 | $63,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 10,443 | $62,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 12,055 | $55,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 50,000 | $54,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,686 | $48,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 12,773 | $44,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 13,820 | $39,000 | thousands by filing date | |
| LUMENT FINANCE TRUST INC | 55025L108 | COM | 10,695 | $38,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 12,300 | $32,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 15,000 | $30,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 10 | $28,000 | thousands by filing date | put |
| MCEWEN MNG INC | 58039P107 | COM | 12,403 | $13,000 | thousands by filing date | |
| BRICKELL BIOTECH INC | 10802T105 | COM | 10,000 | $11,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 10,000 | $9,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 3 | $6,000 | thousands by filing date | put |
| XPENG INC ADS | 98422D105 | ADR | 9 | $1,000 | thousands by filing date | put |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-21-001716 | this filing | 2021-05-17 | acceptance time not in the bulk data set |