13F-HR filed by BLAIR WILLIAM & CO/IL
BLAIR WILLIAM & CO/IL filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-09, with 1,828 holding rows worth $27,276,891,000.
- Accession
- 0001104659-21-016381
- Filer
- CIK 902367
- Filed
- 2021-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 1,828 entries on the cover page, a total value of $27,276,891,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $27,276,891,000 with VALUE read as thousands by filing date, 13F file number 028-04871. 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 |
|---|---|---|---|---|---|---|
| UNDER ARMOUR INC | 904311206 | CL C | 9,816 | $146,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 140,000 | $146,000 | thousands by filing date | principal |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 15,319 | $145,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAC9 | NOTE 0.375% 3/0 | 111,000 | $144,000 | thousands by filing date | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 111,000 | $143,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78468R747 | ST STR MSCI GEN | 1,580 | $142,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,750 | $142,000 | thousands by filing date | |
| ETF MANG ETHO CLIMATE LEDRSHP US ETF | 26924G888 | UIT EXCHANGE TRADED | 2,680 | $142,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 1,436 | $141,000 | thousands by filing date | |
| PRETIUM RES INC | 74139CAB8 | NOTE 2.250% 3/1 | 132,000 | $141,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189H201 | INTRMDT MUNI ETF | 2,662 | $139,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 4,990 | $138,000 | thousands by filing date | |
| COWEN GROUP INC | 223622AE1 | BOND | 90,000 | $138,000 | thousands by filing date | principal |
| BlackRock Ultra Short-Term Bond ETF | 46434V878 | SHS | 2,714 | $137,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V258 | S&P500 PUR VAL | 2,180 | $134,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430404 | ACTIVEBETA JAP | 3,609 | $134,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 1,638 | $133,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 4,675 | $129,000 | thousands by filing date | |
| ACRES COMMERCIAL REALTY CORP | 76120WAC8 | NOTE 4.500% 8/1 | 140,000 | $129,000 | thousands by filing date | principal |
| EVOLENT HEALTH INC | 30050BAB7 | NOTE 2.000%12/0 | 127,000 | $127,000 | thousands by filing date | principal |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 50,000 | $125,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 24,500 | $125,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 1,397 | $124,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 3,903 | $122,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 26,600 | $118,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 2,443 | $117,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 4,345 | $117,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 1,513 | $116,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 17,433 | $116,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 20,000 | $116,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 675 | $115,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 3,750 | $115,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 4,732 | $115,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459AD0 | BOND | 120,000 | $114,000 | thousands by filing date | principal |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 3,081 | $113,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 63,000 | $111,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 2,217 | $111,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V712 | BLOO MVP MUL ETF | 1,032 | $109,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 1,849 | $108,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 2,905 | $108,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 1,666 | $107,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 2,805 | $104,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 14,434 | $104,000 | thousands by filing date | |
| EXACT SCIENCES CORP | 30063PAB1 | NOTE 0.375% 3/1 | 75,000 | $104,000 | thousands by filing date | principal |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 2,934 | $102,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 58,300 | $102,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A172 | NATIONWIDE NASDQ | 3,700 | $102,000 | thousands by filing date | |
| KNOWLES CORP | 49926DAB5 | NOTE 3.250%11/0 | 90,000 | $102,000 | thousands by filing date | principal |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 3,428 | $101,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 6,154 | $101,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 1,157 | $100,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 736 | $100,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 4,908 | $99,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 3,114 | $99,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 1,565 | $98,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 14,614 | $97,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 1,657 | $97,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E362 | S&P500 HDL VOL | 2,518 | $95,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 2,062 | $94,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 4,565 | $94,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 3,380 | $92,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 31,035 | $92,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 4,590 | $88,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 551 | $86,000 | thousands by filing date | |
| VIVINT SMART HOME INC | 928542117 | *W EXP 01/17/202 | 9,417 | $86,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 2,722 | $84,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E263 | S&P GBL WATER | 1,794 | $84,000 | thousands by filing date | |
| MGC | 921910873 | COM | 619 | $83,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E719 | BLOO EN ANGE ETF | 4,278 | $83,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 23,664 | $83,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 18,450 | $83,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 1,081 | $82,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 10,000 | $82,000 | thousands by filing date | |
| SPDR SER TR | 78468R622 | BLOOMBERG HIGH Y | 706 | $77,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 8,573 | $76,000 | thousands by filing date | |
| AMPLIFY BLUESTAR ISRAEL TECHNOLOGY ETF | 26924G870 | COM | 1,100 | $76,000 | thousands by filing date | |
| PROSHARES TR | 74347B714 | FUND | 5,171 | $75,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 6,500 | $74,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 27,015 | $74,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G763 | TREATMENTS TSTNG | 2,332 | $73,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 1,068 | $72,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 25,552 | $72,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 433 | $72,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 1,018 | $71,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 1,155 | $71,000 | thousands by filing date | |
| PAYSIGN INC | 70451A104 | COM | 15,120 | $70,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 615 | $69,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 1,973 | $69,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 295 | $68,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 31,000 | $68,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G508 | SR LN ETF | 3,068 | $68,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 1,563 | $68,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 10,250 | $68,000 | thousands by filing date | |
| Fidelity MSCI Real Estate Index ETF | 316092857 | SHS | 2,657 | $67,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 17,200 | $67,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 1,221 | $66,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 644 | $64,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 2,261 | $64,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 1,220 | $63,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,787 | $63,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 760 | $62,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X214 | EMERG MKTS ESG | 1,719 | $61,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 548 | $60,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 1,000 | $60,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 2,000 | $60,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 2,039 | $60,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 1,330 | $59,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 1,450 | $59,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V548 | COM | 3,800 | $58,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 1,278 | $58,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 35,100 | $58,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 1,115 | $57,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 1,251 | $57,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 147 | $56,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 824 | $55,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 1,789 | $55,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F825 | DEFENSE ETF | 2,572 | $55,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 1,674 | $54,000 | thousands by filing date | |
| Etfmg Prime Mobile | 26924G409 | COM | 819 | $54,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 25,000 | $54,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 1,603 | $53,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 1,197 | $52,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 347 | $52,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 4,986 | $52,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 1,271 | $51,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 280 | $51,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 800 | $51,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 50,000 | $51,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 1,234 | $50,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 45,900 | $50,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E800 | CHINA TECHNLGY | 613 | $50,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 293 | $49,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 11,956 | $48,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 1,050 | $48,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 1,258 | $47,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 370 | $47,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 604 | $46,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 2,555 | $45,000 | thousands by filing date | |
| GOLDMINING INC | 38149E101 | COM | 20,000 | $44,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 1,600 | $43,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 1,111 | $43,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V134 | WILDERHIL CLAN | 400 | $41,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 778 | $40,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 1,500 | $40,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 133 | $39,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V100 | AEROSPACE DEFN | 580 | $39,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 524 | $38,000 | thousands by filing date | |
| LIBERTY | 531229888 | COMMON STOCK | 1,534 | $38,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 1,039 | $37,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 662 | $37,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 120 | $36,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 392 | $36,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 743 | $36,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 11,345 | $35,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 940 | $35,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 785 | $35,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 925 | $34,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 251 | $33,000 | thousands by filing date | |
| INVESCO S&P SMALLCAP 600PURE VALUE ETF | 46137V167 | ETF | 500 | $33,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 438 | $32,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 450 | $32,000 | thousands by filing date | |
| ISHARES INC MSCI FRANCE ETF | 464286707 | ETF | 963 | $32,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 1,538 | $31,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 1,117 | $31,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 35,000 | $31,000 | thousands by filing date | principal |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 527 | $30,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Corporate Bond ETF | 46435U515 | ETF | 1,000 | $30,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 700 | $30,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 485 | $30,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 2,091 | $30,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 2,000 | $30,000 | thousands by filing date | principal |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 82 | $29,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 15,334 | $29,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 765 | $29,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 610 | $28,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 470 | $28,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 592 | $28,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V787 | BIOTECHNOLOGY | 400 | $28,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 168 | $27,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 239 | $27,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 880 | $27,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 104 | $26,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 500 | $26,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 557 | $26,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 10,000 | $26,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 284 | $25,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 2,200 | $25,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 320 | $25,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 534 | $24,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,756 | $24,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 15,000 | $24,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 400 | $23,000 | thousands by filing date | |
| VANECK DIGITAL NATIVE ECONOMY ETF | 92189F882 | ETF | 500 | $23,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V159 | CMN | 410 | $23,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 1,300 | $22,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 450 | $21,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137Y401 | CMN | 270 | $21,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 24,000 | $21,000 | thousands by filing date | |
| THERIVA BIOLOGICS INC COM NEW | 87164U201 | Stock | 54,537 | $21,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 297 | $20,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092782 | VLU FACTOR ETF | 500 | $20,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 412 | $20,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L795 | STOXX GLOBR INF | 349 | $19,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092600 | MSCI HLTH CARE I | 325 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 83 | $19,000 | thousands by filing date | |
| ISHARES MSCI NETHERLANDSETF | 464286814 | ETF | 450 | $19,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 880 | $19,000 | thousands by filing date | |
| TENAX THERAPEUTICS INC | 88032L209 | COM | 10,000 | $19,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 487 | $18,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 18,000 | $18,000 | thousands by filing date | principal |
| INVESCO EXCHNG TRADED FD TR | 46138E438 | RUSL 1000 ENHD | 580 | $18,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 267 | $17,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 152 | $17,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 17,000 | $17,000 | thousands by filing date | principal |
| ALPS ETF TR | 00162Q460 | CMN | 200 | $16,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A101 | CMN | 186 | $16,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 15,000 | $16,000 | thousands by filing date | principal |
| ISHARES TR | 46434V696 | CORE MSCI PAC | 237 | $15,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A540 | ST STR SP TELCO | 179 | $15,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V175 | S&P SML600 GWT | 110 | $15,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 11,200 | $15,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 350 | $14,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 396 | $14,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F460 | CEF MUNI INCOME | 474 | $14,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 406 | $13,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 200 | $13,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 296 | $13,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E545 | MSCI GBL TIMBR | 400 | $13,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 12,000 | $13,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 11,000 | $13,000 | thousands by filing date | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 3,000 | $13,000 | thousands by filing date | principal |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 475 | $12,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W705 | INT RT HDG C B | 127 | $12,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 87 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 148 | $12,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 190 | $11,000 | thousands by filing date | |
| WISDOMTREE TRUST CHINESE YUAN | 97717W182 | COM | 400 | $11,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 370 | $10,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 281 | $10,000 | thousands by filing date | |
| ISHARES TR | 46432F388 | MSCI USA VALUE | 110 | $10,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 341 | $10,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 220 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347X864 | ULTRPRO S&P500 | 125 | $10,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 1,423 | $10,000 | thousands by filing date | |
| Wisdomtree Equity Premium Income Fund | 97717X560 | COM | 344 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 177 | $10,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 75 | $10,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 296 | $10,000 | thousands by filing date | |
| PROSHARES TR | 74347G705 | ULTRA ENERGY | 143 | $10,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 250 | $9,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 552 | $9,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E412 | RUSEL 1000 LOW | 250 | $9,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 236 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 38 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 305 | $8,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 1,000 | $8,000 | thousands by filing date | principal |
| SPDR SER TR | 78468R556 | S&P OILGAS EXP | 126 | $7,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H607 | OIL SERVICES ETF | 45 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 261 | $7,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 106 | $7,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 100 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 283 | $7,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 200 | $7,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 78 | $6,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 124 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 85 | $6,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 66 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X719 | CHINADIV EX FI | 95 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 150 | $6,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092501 | MSCI FINLS IDX | 150 | $6,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V738 | LARGE CAP VALUE | 156 | $6,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 60 | $6,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 95 | $6,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 49 | $5,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V373 | S&P500 EQL STP | 35 | $5,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 135 | $5,000 | thousands by filing date | |
| INVESCO QQQ TRUST SERIES 1 | 74347B268 | ULTRAPRO SHORT S | 800 | $5,000 | thousands by filing date | |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 13,210 | $5,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E768 | FTSE INTL LOW | 180 | $5,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 115 | $4,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 70 | $4,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33741X201 | INDXX INOVTV ETF | 100 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V886 | S&P500 EX-RATE | 44 | $4,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V506 | DIVID ACHIEVEV | 111 | $4,000 | thousands by filing date | |
| ISHARES TR | 46434V100 | 0-5YR INVT GR CP | 65 | $3,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 50 | $3,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 50 | $3,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y293 | GLB X MLP ENRG I | 104 | $3,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 419 | $3,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 42 | $3,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H107 | COMMON STOCK | 75 | $3,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 10 | $2,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 20 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y343 | GLBL X MLP ETF | 66 | $2,000 | thousands by filing date | |
| VanEck Vectors Energy Inc | 92189H870 | ENERGY INCOME | 38 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 42 | $2,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V662 | PHARMACEUTICALS | 28 | $2,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 69 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 41 | $2,000 | thousands by filing date | |
| JARDEN CORP | 471109AM0 | NOTE 1.125% 3/1 | 2,000 | $2,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 125 | $2,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E388 | S&P 500 EX RAT | 55 | $2,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 2,000 | $2,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 130 | $2,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 10,000 | $2,000 | thousands by filing date | |
| Fidelity MSCI Information Technology Index ETF | 316092808 | SHS | 6 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 13 | $1,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 55 | $1,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 70 | $1,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 12 | $1,000 | thousands by filing date | |
| STATE STREET SPDR S&P OIL & GAS EQUIPMENT & SERVICES ETF | 78468R549 | ETF | 23 | $1,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 50 | $1,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 28 | $1,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 4,771 | $1,000 | thousands by filing date | |
| PROSHARES TR | 74347B383 | ULTRASHRT S&P500 | 63 | $1,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 115 | $1,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 12 | $1,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 85,202 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KNOWLES CORP COM | 49926D109 | Stock | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 765,034 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| J P MORGAN EXCHANGE TRADED F | 46641Q738 | BETBULD MSCI | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| INVESCO EXCH TRADED FD TR II | 46138E727 | RAFI EMRGNG MRKT | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74347B276 | PSHS ULDOW30 NEW | 25 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R117 | WARR | 43 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TIDEWATER INC NEW | 88642R125 | WARR | 46 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AI POWERED EQUITY ETF | 26924G813 | FUND | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR ULTSHRT QQQ | 74347B243 | CEF | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSHARES TR | 74348A244 | ULTSHT REAL EST | 10 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001104659-21-016381 | this filing | 2021-02-09 | acceptance time not in the bulk data set |