13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 3,227 holding rows worth $41,719,532,000.
- Accession
- 0001403438-18-000007
- Filer
- CIK 1403438
- Filed
- 2018-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 3,227 entries on the cover page, a total value of $41,719,532,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $41,719,532,000 with VALUE read as thousands by filing date, 13F file number 028-12526. 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 |
|---|---|---|---|---|---|---|
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 15,520 | $198,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 15,347 | $196,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 19,944 | $195,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 16,352 | $195,000 | thousands by filing date | |
| COOL HLDGS INC | 21640C105 | COM | 17,300 | $195,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 150,968 | $193,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 17,410 | $193,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 59,978 | $193,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 12,106 | $192,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 15,877 | $192,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 14,603 | $188,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 10,144 | $187,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 11,607 | $187,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 10,607 | $187,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 10,442 | $185,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 13,534 | $183,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 11,769 | $183,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 13,655 | $183,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 15,385 | $183,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 40,086 | $182,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 29,872 | $181,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 86,110 | $181,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 20,107 | $180,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,954 | $180,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 29,793 | $179,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 11,295 | $178,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 84,543 | $177,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 10,050 | $177,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 15,367 | $177,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 80,196 | $177,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 30,058 | $176,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 19,381 | $174,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 13,376 | $174,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 11,771 | $174,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 12,577 | $173,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 30,426 | $173,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 17,327 | $172,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 12,310 | $170,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 22,361 | $170,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 50,000 | $169,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,102 | $168,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 10,788 | $166,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 11,091 | $166,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 10,555 | $166,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 13,731 | $164,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 11,970 | $163,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 13,063 | $163,000 | thousands by filing date | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 33,572 | $162,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,900 | $162,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 10,905 | $161,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 10,840 | $160,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 38,228 | $159,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 23,944 | $159,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 12,697 | $159,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 10,146 | $157,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 10,076 | $156,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 10,061 | $155,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 14,241 | $155,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 15,363 | $154,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 12,974 | $152,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 11,050 | $152,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 11,385 | $152,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 10,204 | $151,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 21,529 | $151,000 | thousands by filing date | |
| CASA SYS INC | 14713L102 | COM | 10,152 | $150,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 10,579 | $148,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 13,664 | $148,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 11,206 | $147,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 12,621 | $146,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 45,571 | $146,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 10,198 | $145,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 16,284 | $143,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,782 | $142,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,281 | $142,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 14,822 | $142,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 123,143 | $142,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 26,895 | $142,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 13,355 | $141,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 18,902 | $140,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 14,546 | $140,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 13,976 | $140,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 23,039 | $140,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,381 | $138,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 11,089 | $138,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 16,094 | $137,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 12,843 | $136,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 14,412 | $135,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 10,976 | $134,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 15,193 | $133,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 24,050 | $132,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 10,061 | $126,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 12,100 | $126,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 23,095 | $125,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 10,601 | $125,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 131,577 | $125,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 10,826 | $123,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 12,868 | $123,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,208 | $123,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 42,478 | $122,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 11,870 | $122,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 72,363 | $122,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 10,000 | $122,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 11,125 | $122,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,018 | $121,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 36,675 | $121,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 15,655 | $120,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 12,623 | $120,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 47,821 | $119,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 117,105 | $119,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 11,362 | $117,000 | thousands by filing date | |
| EMX RTY CORP | 26873J107 | COM | 95,697 | $117,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 20,385 | $117,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 21,713 | $116,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 13,509 | $116,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 29,043 | $116,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 25,544 | $115,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 14,130 | $114,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 12,678 | $114,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 23,753 | $113,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 17,745 | $110,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,085 | $110,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 15,139 | $108,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 19,032 | $107,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 15,821 | $103,000 | thousands by filing date | |
| SOCIAL REALITY INC | 83362P300 | COM CL A NEW | 27,500 | $103,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 35,635 | $102,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 25,421 | $101,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 92,450 | $100,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 10,611 | $99,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 13,312 | $97,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 57,855 | $96,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 16,070 | $94,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 11,379 | $94,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 14,792 | $92,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 11,672 | $92,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,137 | $90,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 17,347 | $89,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 16,802 | $88,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 14,781 | $87,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 10,008 | $82,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 10,962 | $82,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 22,590 | $79,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 12,023 | $75,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 11,933 | $74,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 12,780 | $72,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 10,865 | $71,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 10,045 | $71,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 11,328 | $71,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,056 | $70,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 16,134 | $69,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 10,014 | $69,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,000 | $68,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 25,402 | $67,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 16,966 | $65,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 18,658 | $65,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 14,150 | $64,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 23,079 | $64,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 62,000 | $62,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 12,032 | $61,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 11,210 | $61,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,486 | $60,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 95,000 | $60,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 60,000 | $59,000 | thousands by filing date | principal |
| AGENUS INC | 00847G705 | COM NEW | 26,957 | $58,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 55,598 | $56,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 14,665 | $55,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 42,048 | $54,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 11,352 | $53,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 15,853 | $52,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 23,500 | $52,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,250 | $51,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 17,980 | $51,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 27,867 | $49,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 26,807 | $49,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 10,522 | $46,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,685 | $46,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 26,542 | $45,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 11,485 | $45,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 12,800 | $43,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 13,164 | $42,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 21,020 | $42,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 24,630 | $42,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 13,218 | $38,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $38,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,325 | $37,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 11,500 | $37,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 44,227 | $35,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 35,000 | $35,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 12,500 | $31,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $28,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 31,900 | $27,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,500 | $25,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 10,654 | $25,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 25,000 | $25,000 | thousands by filing date | principal |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,400 | $25,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 27,900 | $24,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 10,294 | $23,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 24,000 | $23,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 11,080 | $22,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 11,565 | $22,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 25,000 | $22,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 20,000 | $20,000 | thousands by filing date | principal |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 11,465 | $19,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 37,630 | $19,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $19,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 26,787 | $18,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 10,431 | $17,000 | thousands by filing date | principal |
| MICROVISION INC DEL | 594960304 | COM NEW | 13,500 | $16,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 34,780 | $16,000 | thousands by filing date | |
| ALIO GOLD INC | 01627X108 | COM | 16,665 | $13,000 | thousands by filing date | |
| Link Motion Inc | 53577L105 | COM | 17,275 | $11,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 11,625 | $11,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,701 | $9,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,936 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 14,010 | $8,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,700 | $8,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 40,000 | $8,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 10,000 | $8,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 17,262 | $6,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 20,055 | $4,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 35,638 | $3,000 | thousands by filing date | |
| XPRESSPA GROUP INC | 98420U109 | COM | 20,300 | $3,000 | thousands by filing date | |
| Regional Health Properties Inc | 75903M101 | COM | 11,300 | $2,000 | thousands by filing date | |
| GABELLI CONV&INCOM SECS FD I | 36240B125 | RIGHT 10/17/2018 | 10,327 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 68,173 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-18-000007 | this filing | 2018-11-14 | acceptance time not in the bulk data set |