13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2017-12-31, filed 2018-02-14, with 2,707 holding rows worth $42,211,458,000.
- Accession
- 0001172661-18-000727
- Filer
- CIK 1283072
- Filed
- 2018-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2017
A holdings report, 5,505 entries on the cover page, a total value of $42,211,458,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $42,211,458,000 with VALUE read as thousands by filing date, 13F file number 028-12836. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC028-11097
- included managerGUGGENHEIM FUNDS DISTRIBUTORS, LLC028-12550
- included managerSECURITY INVESTORS LLC028-01689
- included managerGuggenheim Partners Investment Management, LLC028-12837
- included managerSEI INVESTMENTS CO028-16454
- included managerGuggenheim Life & Annuity Co
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 |
|---|---|---|---|---|---|---|
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 19,389 | $291,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 12,670 | $290,000 | thousands by filing date | |
| ICHOR HOLDINGS | G4740B105 | SHS | 11,789 | $290,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 46,927 | $290,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 19,040 | $288,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 4,664 | $287,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 2,427 | $287,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 15,380 | $286,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 49,995 | $285,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 26,898 | $278,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 6,714 | $277,000 | thousands by filing date | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 2,187 | $276,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 8,878 | $276,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 6,429 | $275,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 1,885 | $274,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 17,317 | $274,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 11,247 | $273,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 7,824 | $272,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 2,388 | $271,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 16,104 | $269,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 40,123 | $268,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 6,187 | $264,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 11,319 | $263,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 12,012 | $262,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 6,773 | $259,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 14,780 | $259,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 5,308 | $257,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 28,313 | $256,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 14,026 | $255,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 9,773 | $255,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 12,682 | $255,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 18,317 | $254,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 6,237 | $250,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 4,247 | $248,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 15,824 | $247,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 3,338 | $245,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 15,575 | $245,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 1,694 | $243,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 10,713 | $242,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 24,588 | $242,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,189 | $241,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 16,746 | $240,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 6,926 | $239,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 10,701 | $239,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 13,299 | $239,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 10,793 | $239,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 18,989 | $236,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 4,295 | $236,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 16,119 | $234,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 4,090 | $233,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 11,468 | $232,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 20,486 | $231,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 43,739 | $230,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 6,515 | $229,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 8,006 | $228,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 5,049 | $227,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 11,008 | $226,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 6,663 | $224,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 2,542 | $222,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,492 | $222,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 6,807 | $222,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 90,695 | $222,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 4,303 | $217,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 5,406 | $216,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 8,505 | $214,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,277 | $214,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 18,850 | $213,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 6,702 | $211,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 36,765 | $210,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 21,366 | $208,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 2,375 | $207,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 2,368 | $203,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 34,766 | $197,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 25,093 | $193,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 25,598 | $193,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 103,120 | $190,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 15,612 | $189,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 16,139 | $187,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 11,127 | $184,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 13,548 | $181,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 12,516 | $175,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 21,899 | $173,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 10,069 | $167,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 11,445 | $166,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 26,691 | $165,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 13,232 | $165,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 13,804 | $163,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 11,327 | $163,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 12,362 | $161,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 12,377 | $158,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 20,485 | $154,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 18,133 | $152,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 16,248 | $142,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 14,285 | $139,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 12,886 | $129,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 13,550 | $129,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 13,362 | $123,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 12,493 | $122,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 20,267 | $115,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 49,675 | $113,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 10,015 | $109,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 15,247 | $104,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 11,036 | $101,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 14,481 | $98,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 20,128 | $97,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 25,529 | $93,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 11,521 | $93,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 10,693 | $92,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 23,516 | $91,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,167 | $88,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 39,229 | $86,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 29,561 | $86,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,184 | $84,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 18,730 | $84,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 38,749 | $82,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 19,722 | $80,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 12,678 | $78,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 28,244 | $78,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 41,623 | $72,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 15,666 | $69,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 24,609 | $69,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 11,813 | $69,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 64,425 | $67,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 22,944 | $64,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 14,911 | $64,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 29,717 | $63,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 10,397 | $62,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 12,097 | $61,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 13,235 | $59,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 13,733 | $57,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 11,879 | $57,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 17,444 | $54,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 12,946 | $54,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 13,329 | $50,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 19,605 | $47,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 12,724 | $46,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 14,560 | $46,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 10,702 | $42,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 15,206 | $40,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 43,151 | $39,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 31,448 | $38,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 43,115 | $37,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 15,212 | $36,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 12,420 | $36,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 20,497 | $36,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 21,876 | $35,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 10,390 | $35,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 16,362 | $35,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,883 | $35,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 15,530 | $34,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 11,192 | $34,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,333 | $33,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 32,490 | $33,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 11,850 | $32,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 12,781 | $32,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 15,461 | $30,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 12,021 | $29,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 20,646 | $29,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 13,406 | $27,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,138 | $27,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 25,867 | $27,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 40,666 | $26,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 12,161 | $26,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,231 | $26,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 154,628 | $24,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 20,736 | $23,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,665 | $22,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 17,005 | $22,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 16,886 | $22,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 13,386 | $22,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,098 | $21,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 14,950 | $20,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 13,606 | $20,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 10,523 | $20,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,321 | $20,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 12,066 | $19,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 49,895 | $18,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 12,275 | $17,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 11,636 | $16,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 29,855 | $15,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 10,367 | $14,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 20,262 | $14,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 14,317 | $14,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 11,083 | $13,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 15,483 | $12,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 11,568 | $12,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 28,095 | $11,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 21,100 | $11,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 10,206 | $10,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 11,888 | $10,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 17,968 | $10,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 21,824 | $9,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 12,172 | $9,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 25,261 | $8,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 22,379 | $7,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 19,788 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 15,730 | $7,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 13,953 | $7,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 17,838 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 19,495 | $7,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 17,253 | $5,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 17,614 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 12,083 | $4,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 24,877 | $4,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 27,047 | $3,000 | thousands by filing date | |
| INPIXON COM | 45790J107 | Stock | 13,337 | $3,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 13,426 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-18-000727 | this filing | 2018-02-14 | acceptance time not in the bulk data set |