13F-HR filed by WEDBUSH SECURITIES INC
WEDBUSH SECURITIES INC filed this 13F-HR for the quarter ended 2020-03-31, filed 2020-04-17, with 880 holding rows worth $840,280,000.
- Accession
- 0001142495-20-000004
- Filer
- CIK 1142495
- Filed
- 2020-04-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2020
A holdings report, 14,083 entries on the cover page, a total value of $840,280,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $840,280,000 with VALUE read as thousands by filing date, 13F file number 028-12460. 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 |
|---|---|---|---|---|---|---|
| ZYNGA INC. | 98986T108 | CL A | 47,317 | $324,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 24,207 | $324,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 26,678 | $322,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 3,831 | $320,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 19,214 | $320,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 17,227 | $320,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 6,332 | $319,000 | thousands by filing date | |
| IHS MARKIT LTD | G47567105 | SHS | 5,294 | $318,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A110 | CMN | 3,205 | $317,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 18,950 | $313,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 3,498 | $312,000 | thousands by filing date | |
| PIMCO 15 YEAR US TIPS INDEX F | 72201R304 | 15+ YR US TIPS | 4,000 | $311,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 9,094 | $309,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 3,319 | $309,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 21,851 | $309,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 32,511 | $309,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 1,783 | $307,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 26,281 | $306,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 27,296 | $304,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 5,299 | $303,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 6,213 | $303,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 22,610 | $301,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 16,861 | $300,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 24,835 | $299,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 39,475 | $298,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189H300 | JP MRGAN EM LOC | 10,463 | $298,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 1,805 | $298,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 44,956 | $296,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 4,973 | $295,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 7,000 | $294,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,722 | $293,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 70,950 | $292,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 6 | $288,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 12,704 | $288,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 5,199 | $287,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 2,829 | $286,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 3,649 | $285,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P855 | INSTL PFD SECS | 16,874 | $285,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 8,343 | $284,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 24,189 | $284,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 38,000 | $283,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 22,248 | $282,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 1,214 | $282,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 39,262 | $282,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 9,586 | $280,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 5,563 | $280,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 13,900 | $280,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,987 | $276,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 3,906 | $276,000 | thousands by filing date | |
| ZSCALERINC | 98980G102 | STOK | 4,532 | $276,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 19,531 | $276,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 11,140 | $274,000 | thousands by filing date | |
| TRANE TECHNOLOGIES PLC SHS | G8994E103 | Stock | 3,318 | $274,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 19,159 | $274,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 20,206 | $273,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G102 | S&P SMLCP LOW | 8,240 | $273,000 | thousands by filing date | |
| SEI INVTS CO COM | 784117103 | Stock | 5,877 | $272,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 18,579 | $272,000 | thousands by filing date | |
| JOHNSON CTLS INTL PLC SHS | G51502105 | Stock | 10,042 | $271,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 8,777 | $271,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 2,985 | $270,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 2,208 | $270,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 2,018 | $270,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,209 | $269,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 17,084 | $268,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 14,050 | $268,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 7,485 | $267,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 1,974 | $267,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 847 | $266,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 3,746 | $264,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 3,126 | $264,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 1,093 | $262,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 22,540 | $262,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 1,270 | $259,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 8,312 | $259,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,904 | $258,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,879 | $257,000 | thousands by filing date | |
| TYLER TECHNOLOGIES INC COM | 902252105 | Stock | 863 | $256,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 6,987 | $256,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 3,271 | $255,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 13,445 | $255,000 | thousands by filing date | |
| JD.COM INC SPON ADS CL A | 47215P106 | ADR | 6,300 | $255,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 7,484 | $254,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,601 | $254,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 9,045 | $254,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 14,100 | $254,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 4,670 | $253,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 1,784 | $253,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 3,184 | $252,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 5,504 | $251,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 16,310 | $251,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,869 | $251,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E529 | NY AMT FRE MUN | 10,000 | $251,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 25,031 | $250,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 4,280 | $249,000 | thousands by filing date | |
| COGENT COMMUNICATIONS GROUP | 19239V302 | COM NEW | 3,032 | $249,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,297 | $249,000 | thousands by filing date | |
| AMREP CORP | 032159105 | COM | 51,882 | $249,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 6,156 | $248,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 6,587 | $248,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 2,527 | $247,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 505 | $247,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 6,875 | $245,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,555 | $241,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 8,933 | $241,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 967 | $240,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 809 | $240,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R860 | NASDAQ BK ETF | 15,380 | $240,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 3,000 | $240,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 7,802 | $239,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 27,643 | $238,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 7,523 | $237,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 8,411 | $236,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,224 | $236,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 2,932 | $235,000 | thousands by filing date | |
| XAI OCTAGN FLT RAT & ALT INM | 98400T106 | COM | 52,306 | $235,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,577 | $234,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y715 | RBTCS ARTFL INTE | 12,872 | $234,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 2,845 | $233,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 5,366 | $232,000 | thousands by filing date | |
| CLEARBRIDGE ALL CAP GROWTH ESG | 524682101 | FUND | 7,925 | $232,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,307 | $229,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 19,402 | $229,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,279 | $228,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 2,256 | $228,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 3,332 | $228,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 2,740 | $228,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 1,919 | $227,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 1,714 | $227,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 9,081 | $227,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,887 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 4,000 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,358 | $226,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 1,481 | $225,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 1,023 | $225,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 4,425 | $224,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 5,045 | $223,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 2,369 | $223,000 | thousands by filing date | |
| RIVERNORTH OPPORTUNITIES FD | 76881Y109 | COM | 17,867 | $222,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 26,252 | $222,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682309 | FRAN CLE ENH ETF | 8,475 | $222,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 2,709 | $221,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 70,824 | $220,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 16,720 | $220,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,310 | $219,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 1,037 | $218,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 16,560 | $218,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 1,976 | $218,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 2,369 | $217,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 8,370 | $217,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 2,412 | $217,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 6,890 | $216,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 20,347 | $216,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 12,647 | $216,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 3,961 | $216,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 8,095 | $216,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 5,232 | $215,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 18,200 | $215,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 5,363 | $214,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 33,395 | $214,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 5,053 | $214,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 4,104 | $214,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 17,101 | $214,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,301 | $213,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 1,625 | $213,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 5,093 | $213,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 1,920 | $213,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 22,139 | $213,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 12,147 | $213,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,532 | $212,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 5,322 | $212,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 8,875 | $211,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,035 | $211,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 22,894 | $211,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 1,143 | $210,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 1,725 | $210,000 | thousands by filing date | |
| JEFFERIES FINANCIAL GROUP IN | 47233W109 | COM | 15,279 | $209,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 29,066 | $209,000 | thousands by filing date | |
| LEGG MASON ETF INVT | 524682200 | CMN | 6,453 | $209,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,262 | $208,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 8,844 | $208,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 4,253 | $208,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 6,616 | $207,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 1,250 | $207,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 27,900 | $207,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 4,594 | $206,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 11,081 | $206,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 3,079 | $205,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 7,582 | $203,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 19,822 | $203,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 16,576 | $202,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 17,692 | $202,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 2,871 | $200,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 200,000 | $200,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 17,352 | $199,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 42,398 | $197,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 14,783 | $196,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 11,070 | $195,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 12,428 | $191,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 86,766 | $190,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 10,845 | $187,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 10,545 | $183,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 18,948 | $181,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 52,630 | $181,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,945 | $178,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 28,120 | $177,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 83,824 | $176,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 18,112 | $175,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 11,467 | $175,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 13,249 | $174,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 39,758 | $173,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 20,784 | $172,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 30,431 | $171,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 18,217 | $170,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 11,992 | $168,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 10,040 | $168,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 24,271 | $166,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 13,551 | $164,000 | thousands by filing date | |
| HOPE BANCORP INC | 43940T109 | COM | 19,807 | $163,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 11,922 | $162,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 24,836 | $162,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 11,941 | $161,000 | thousands by filing date | |
| CALAMOS LNG SHR EQT DYNAMIC | 12812C106 | COM | 11,000 | $159,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 42,600 | $158,000 | thousands by filing date | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 21,114 | $157,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 66,538 | $156,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 14,850 | $156,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 29,897 | $154,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 40,620 | $154,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 11,400 | $152,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 78,000 | $152,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 20,488 | $147,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 51,300 | $145,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 24,200 | $144,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 12,330 | $143,000 | thousands by filing date | |
| NUVEEN CORPORATE INCM NOVEME | 67077N106 | COM | 16,562 | $142,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 18,855 | $141,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 22,817 | $139,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 13,880 | $139,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 14,647 | $138,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 12,975 | $135,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 12,759 | $135,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 13,164 | $135,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 13,816 | $134,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 16,372 | $133,000 | thousands by filing date | |
| MARKER THERAPEUTICS INC | 57055L107 | COM | 70,068 | $133,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 28,851 | $132,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 17,308 | $132,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 28,817 | $131,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 10,500 | $129,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 58,626 | $129,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 10,925 | $128,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 30,070 | $127,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 22,387 | $127,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 25,644 | $127,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 10,194 | $126,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 40,092 | $126,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 10,500 | $123,000 | thousands by filing date | |
| TORTOISE ESSENTIAL ASSETS IN | 89148A103 | COM SH BEN INT | 12,036 | $122,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 16,500 | $119,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 23,500 | $118,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 20,204 | $116,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,234 | $115,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 24,814 | $112,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 15,592 | $106,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 24,624 | $106,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 14,154 | $104,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 15,736 | $103,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 65,600 | $102,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 13,458 | $100,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 20,511 | $100,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 10,782 | $98,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 67,900 | $98,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 18,838 | $96,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 25,791 | $96,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 13,818 | $95,000 | thousands by filing date | |
| UNICO AMERN CORP | 904607108 | COM | 18,632 | $94,000 | thousands by filing date | |
| PIMCO ENRGY TACTICAL CR OPP FD | 69346N107 | COM SHS BEN INT | 17,300 | $93,000 | thousands by filing date | |
| Aravive Inc | 03890D108 | Common / Ordinary Stock | 15,900 | $92,000 | thousands by filing date | |
| AURORA CANNABIS INC | 05156X108 | COMMON STOCK-FO | 100,538 | $91,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 12,060 | $91,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 19,000 | $89,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 24,337 | $88,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 29,327 | $88,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 32,028 | $88,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 11,000 | $87,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 29,090 | $87,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 19,950 | $86,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 20,360 | $85,000 | thousands by filing date | |
| KEWAUNEE SCIENTIFIC CP | 492854104 | COMM | 10,190 | $81,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 10,785 | $80,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,710 | $80,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 18,653 | $79,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 33,900 | $79,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 14,500 | $76,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 14,083 | $76,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 18,405 | $73,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 16,375 | $72,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 12,572 | $71,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 14,100 | $69,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,280 | $69,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 13,861 | $69,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 13,760 | $69,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 15,679 | $69,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 22,707 | $69,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 27,616 | $66,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,135 | $66,000 | thousands by filing date | |
| MILLENDO THERAPEUTICS INC | 60040X103 | COM | 12,492 | $66,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 16,100 | $65,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 10,625 | $64,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,500 | $63,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 10,150 | $63,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 16,628 | $62,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 44,705 | $62,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 20,380 | $61,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 14,101 | $59,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087302 | COM | 10,315 | $59,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 10,570 | $57,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 22,148 | $56,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,740 | $56,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 130,700 | $54,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 15,710 | $53,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,800 | $49,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CORP COM | 46186M506 | Stock | 28,450 | $48,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 26,985 | $47,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 10,395 | $46,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 16,100 | $45,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 16,365 | $45,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 43,000 | $43,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 25,600 | $43,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,665 | $43,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 28,094 | $42,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 10,113 | $42,000 | thousands by filing date | |
| QUALSTAR CORP | 74758R208 | COM NEW | 15,693 | $42,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 20,498 | $40,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 10,345 | $39,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 22,900 | $39,000 | thousands by filing date | |
| JAGUAR HEALTH INC | 47010C409 | COM | 80,831 | $39,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 93,935 | $39,000 | thousands by filing date | |
| COUNTERPATH CORP | 22228P302 | COM | 18,931 | $38,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 10,500 | $37,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 17,600 | $35,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 16,200 | $35,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 12,600 | $32,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 15,600 | $31,000 | thousands by filing date | |
| CEMTREX INC | 15130G600 | COM | 43,152 | $30,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 41,472 | $29,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 10,409 | $28,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 14,600 | $28,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S304 | COM NEW | 37,617 | $26,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 11,100 | $25,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 26,200 | $24,000 | thousands by filing date | |
| CITIGROUP GLOBAL MKTS HLDGS | 17325E291 | VLCTYSHS 3X LNG | 147,500 | $24,000 | thousands by filing date | |
| INSPIREMD INC | 45779A853 | COM | 38,670 | $24,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 29,041 | $23,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 35,401 | $23,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 83,772 | $23,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 24,150 | $23,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860202 | COM NEW | 13,321 | $22,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 20,156 | $21,000 | thousands by filing date | |
| Trovagene Inc | 897238606 | COM | 20,370 | $21,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 12,600 | $20,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 15,000 | $20,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 60,000 | $20,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 11,400 | $18,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 13,500 | $17,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 14,000 | $15,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 12,794 | $13,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 12,600 | $12,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 21,000 | $12,000 | thousands by filing date | |
| VALERITAS HOLDINGS INC | 91914N301 | COM | 224,523 | $11,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 20,741 | $10,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 15,000 | $10,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 10,240 | $9,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 16,500 | $9,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,095 | $8,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 20,689 | $4,000 | thousands by filing date | |
| SEADRILL LTD | G7998G106 | COM | 10,020 | $4,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 11,500 | $3,000 | thousands by filing date | |
| SINGLE TOUCH SYSTEMS INC | 82988R203 | COM | 15,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001142495-20-000004 | this filing | 2020-04-17 | acceptance time not in the bulk data set |