13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-13, with 3,286 holding rows worth $49,126,162,000.
- Accession
- 0001403438-19-000008
- Filer
- CIK 1403438
- Filed
- 2019-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 3,286 entries on the cover page, a total value of $49,126,162,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $49,126,162,000 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 |
|---|---|---|---|---|---|---|
| LIMBACH HLDGS INC | 53263P105 | COM | 40,481 | $200,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 2,690 | $200,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33737A108 | NASDQ CLN EDGE | 4,040 | $200,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 15,228 | $199,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 17,473 | $198,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 17,958 | $198,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 29,685 | $198,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 11,479 | $197,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 13,409 | $196,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y495 | PURE CANNABIS | 13,481 | $196,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 12,473 | $194,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 18,802 | $194,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 17,779 | $193,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 23,308 | $192,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 37,024 | $192,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 41,394 | $191,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 27,829 | $189,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 68,434 | $189,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 148,476 | $189,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 12,008 | $188,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 15,000 | $188,000 | thousands by filing date | put |
| Zagg, Inc. | 98884U108 | COM | 30,030 | $188,000 | thousands by filing date | |
| VENATOR MATERIALS PLC | G9329Z100 | Foreign Stock | 77,180 | $188,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 13,099 | $187,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 10,165 | $186,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 10,590 | $186,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 26,895 | $186,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 18,250 | $185,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 22,885 | $184,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 13,508 | $182,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 13,352 | $182,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 16,359 | $180,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 21,063 | $179,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 15,883 | $178,000 | thousands by filing date | |
| ZUORA INC | 98983V106 | COMMON STOCK | 11,836 | $178,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,195 | $177,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 11,686 | $177,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 11,596 | $176,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 16,510 | $176,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 14,035 | $176,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 15,527 | $176,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 10,578 | $175,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 170,000 | $175,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,600 | $174,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 14,287 | $174,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 31,979 | $174,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,477 | $174,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 40,565 | $174,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 12,161 | $173,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 12,246 | $173,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 34,276 | $173,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 17,412 | $173,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 12,300 | $173,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 12,537 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,430 | $172,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 12,809 | $172,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 15,044 | $172,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 12,876 | $172,000 | thousands by filing date | |
| PLURALSIGHT INC | 72941B106 | COM CL A | 10,228 | $172,000 | thousands by filing date | |
| FIRST TRUST INDXX GLOBALNATURAL RESOURCES INCOMEETF | 33734X838 | ETF | 14,932 | $171,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 13,639 | $169,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 11,280 | $169,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 29,519 | $169,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 27,416 | $168,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 11,096 | $168,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 14,790 | $167,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,664 | $167,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 12,700 | $166,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 12,805 | $164,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 15,335 | $162,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 10,406 | $162,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 17,950 | $162,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 80,855 | $162,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 28,204 | $161,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 19,119 | $160,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 11,329 | $160,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,420 | $158,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 11,215 | $158,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 33,786 | $158,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 15,898 | $158,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 10,133 | $155,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 10,539 | $154,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 11,002 | $154,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 12,262 | $153,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 14,483 | $152,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 11,411 | $150,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 11,582 | $150,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 13,446 | $149,000 | thousands by filing date | |
| NUVEEN HIGH INCOME DECMBR 20 | 67076E107 | COM | 15,117 | $149,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 12,759 | $148,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 21,368 | $147,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 15,799 | $146,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 55,500 | $146,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 15,858 | $145,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,900 | $145,000 | thousands by filing date | |
| SOLARIS ENERGY INFRAS INC COM CL A | 83418M103 | Stock | 10,749 | $144,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 11,830 | $144,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 101,811 | $144,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 12,526 | $144,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,800 | $143,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 13,910 | $142,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 17,353 | $141,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 15,625 | $141,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 26,767 | $140,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 54,707 | $140,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 10,354 | $139,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 10,501 | $139,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 50,000 | $139,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 13,030 | $139,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 17,565 | $138,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 21,314 | $134,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 17,973 | $134,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 147,850 | $134,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 12,023 | $132,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,000 | $132,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 14,522 | $132,000 | thousands by filing date | |
| ROAN RES INC | 769755109 | CL A COM | 106,000 | $130,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 14,076 | $128,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 11,143 | $128,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 28,943 | $127,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 32,525 | $127,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 10,475 | $125,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 12,123 | $125,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 10,909 | $124,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 34,129 | $122,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 23,043 | $121,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 11,903 | $120,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 10,927 | $120,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 15,799 | $119,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 36,976 | $119,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 10,040 | $119,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 29,558 | $117,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 27,135 | $115,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 49,495 | $112,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 31,154 | $108,000 | thousands by filing date | |
| BRAEMAR HOTELS RESORTS INC | 10482B101 | REIT | 11,242 | $106,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 18,007 | $104,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 10,782 | $104,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 21,220 | $102,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 11,462 | $102,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 17,462 | $101,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 15,200 | $101,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 13,334 | $101,000 | thousands by filing date | |
| VAPOTHERM INC | 922107107 | COM | 10,682 | $101,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,137 | $100,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 10,250 | $99,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 10,825 | $97,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 26,511 | $97,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 15,457 | $96,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 11,985 | $96,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 16,301 | $95,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 23,700 | $95,000 | thousands by filing date | put |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,484 | $93,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 12,372 | $90,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 32,756 | $90,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 56,974 | $89,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 22,661 | $89,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 10,050 | $89,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 43,302 | $88,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 12,357 | $87,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 10,396 | $85,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,891 | $85,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 37,585 | $85,000 | thousands by filing date | |
| PPDAI GROUP INC | 69354V108 | SPONSORED ADR | 29,245 | $85,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 14,953 | $83,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 14,302 | $83,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 14,826 | $83,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 19,700 | $80,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 32,743 | $79,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 16,472 | $78,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 15,239 | $78,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 87,900 | $78,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 150,120 | $76,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 115,000 | $76,000 | thousands by filing date | principal |
| AGENUS INC | 00847G705 | COM NEW | 29,357 | $76,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 22,795 | $76,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 15,533 | $75,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 10,666 | $74,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 10,048 | $72,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 35,000 | $72,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E164 | S&P SMLCP ENGY | 10,295 | $72,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 23,200 | $71,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 17,000 | $71,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,737 | $69,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 14,372 | $69,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 13,054 | $68,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 62,500 | $67,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 138,300 | $67,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 11,763 | $66,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 11,627 | $66,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 12,849 | $64,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,276 | $61,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 14,816 | $60,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 17,579 | $59,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 32,136 | $56,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,800 | $56,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 12,670 | $55,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 14,371 | $55,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,400 | $54,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 45,676 | $54,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 55,000 | $54,000 | thousands by filing date | principal |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 10,579 | $53,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $53,000 | thousands by filing date | principal |
| BLOOM ENERGY CORP | 093712107 | COM | 15,825 | $51,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 15,128 | $51,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 11,250 | $51,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 38,410 | $51,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 23,878 | $50,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 23,840 | $48,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 22,078 | $48,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 14,841 | $47,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 25,033 | $46,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 19,480 | $46,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 11,330 | $45,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 90,791 | $45,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 20,020 | $43,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 11,774 | $41,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 61,456 | $41,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 11,000 | $40,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 10,278 | $39,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 31,517 | $39,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 19,601 | $39,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 14,502 | $39,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 11,598 | $39,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 29,752 | $38,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 17,825 | $37,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 28,400 | $36,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 18,500 | $36,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 35,000 | $36,000 | thousands by filing date | principal |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 16,591 | $33,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 99,449 | $32,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 11,020 | $31,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 12,815 | $31,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,300 | $31,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 13,147 | $30,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 14,840 | $30,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 16,100 | $30,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 18,751 | $29,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 27,740 | $29,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 18,650 | $29,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 10,385 | $28,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 17,327 | $28,000 | thousands by filing date | |
| TRILOGY METALS INC | 89621C105 | COMMON STOCK | 16,159 | $27,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 25,000 | $26,000 | thousands by filing date | principal |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $25,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,400 | $24,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 16,517 | $22,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 21,679 | $22,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 11,536 | $22,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 11,500 | $22,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 11,622 | $22,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 33,800 | $22,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 17,072 | $21,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $21,000 | thousands by filing date | principal |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 16,475 | $21,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 81,951 | $21,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,895 | $20,000 | thousands by filing date | principal |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 10,000 | $20,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 20,000 | $20,000 | thousands by filing date | principal |
| COOL HLDGS INC | 21640C105 | COM | 16,700 | $19,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 33,206 | $18,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 21,375 | $18,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 17,702 | $17,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 41,925 | $16,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 31,577 | $15,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 13,376 | $15,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 12,746 | $15,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 24,110 | $15,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,500 | $14,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 56,788 | $14,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 15,850 | $13,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 30,410 | $13,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 16,762 | $13,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 25,710 | $12,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 10,950 | $11,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $11,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 14,000 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,311 | $9,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 10,950 | $8,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,585 | $7,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $6,000 | thousands by filing date | |
| CONATUS PHARMACEUTICALS INC | 20600T108 | COM | 17,500 | $6,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 14,147 | $5,000 | thousands by filing date | |
| MY SIZE INC | 62844N109 | COM | 10,072 | $5,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 13,751 | $4,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 17,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-19-000008 | this filing | 2019-11-13 | acceptance time not in the bulk data set |