13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-02-14, with 3,341 holding rows worth $54,954,139,000.
- Accession
- 0001403438-20-000001
- Filer
- CIK 1403438
- Filed
- 2020-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 3,341 entries on the cover page, a total value of $54,954,139,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $54,954,139,000 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 |
|---|---|---|---|---|---|---|
| BANCROFT FUND LIMITED | 059695106 | COM | 8,699 | $227,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,164 | $227,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 9,000 | $227,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 5,851 | $226,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 9,670 | $226,000 | thousands by filing date | |
| PROSHARES TR | 74347R214 | PSHS ULT NASB | 3,660 | $226,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 65,453 | $226,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 5,051 | $226,000 | thousands by filing date | |
| INVITATION HOMES INC COM | 46187W107 | REIT | 7,494 | $225,000 | thousands by filing date | |
| CLEARWAY ENERGY INC CL C | 18539C204 | Stock | 11,255 | $225,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 10,530 | $225,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 19,087 | $225,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 20,879 | $225,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 3,473 | $225,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 10,944 | $225,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G780 | VIRTUS REAL AS | 8,856 | $225,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 8,647 | $225,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 12,506 | $224,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 5,382 | $224,000 | thousands by filing date | |
| WORLD KINECT CORPORATION | 981475106 | COM | 5,146 | $223,000 | thousands by filing date | |
| JPMorgan BetaBuilders Dev Asia | 46641Q688 | ETF | 8,606 | $223,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 55,275 | $222,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 5,523 | $222,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J505 | EURO ALPHADEX | 5,438 | $222,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 8,982 | $221,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 16,332 | $220,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 34,759 | $220,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 6,635 | $220,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 8,941 | $220,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 18,384 | $218,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 6,258 | $218,000 | thousands by filing date | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 5,706 | $218,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 9,318 | $218,000 | thousands by filing date | |
| US Ecology, Inc. | 91734M103 | COM | 3,760 | $218,000 | thousands by filing date | |
| Invesco S&P 500 Momentum ETF | 46138E339 | SHS | 5,185 | $217,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 4,261 | $217,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 22,190 | $217,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 39,639 | $217,000 | thousands by filing date | |
| BLUEROCK RESIDENTIAL GWT REI | 09627J102 | COM CL A | 18,020 | $217,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 10,369 | $216,000 | thousands by filing date | |
| INNOVATOR TR ETF S&P 500 ULTRA BUFFER APRIL | 45782C805 | ETF | 8,195 | $216,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F635 | ISRAEL ETF | 6,170 | $216,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 2,482 | $215,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH | 03938L203 | ADR | 12,264 | $215,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 8,024 | $215,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 2,515 | $215,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 11,624 | $215,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 4,251 | $214,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 7,491 | $214,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 19,941 | $214,000 | thousands by filing date | |
| GDS HLDGS LTD SPONSORED ADS | 36165L108 | ADR | 4,132 | $213,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,422 | $213,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 4,647 | $213,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 3,433 | $212,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 12,675 | $212,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 5,578 | $212,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 2,989 | $212,000 | thousands by filing date | |
| TIMOTHY PLAN | 887432326 | HIG DV STK ETF | 7,871 | $212,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,962 | $212,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 10,226 | $211,000 | thousands by filing date | |
| WINGSTOP INC COM | 974155103 | Stock | 2,450 | $211,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 15,148 | $211,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 26,030 | $210,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 16,705 | $210,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 10,079 | $210,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 5,847 | $210,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 11,450 | $210,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533AC2 | NOTE 5.000% 6/1 | 210,000 | $210,000 | thousands by filing date | principal |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 4,226 | $209,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 2,396 | $209,000 | thousands by filing date | |
| ETF MANAGERS TR | 26924G706 | WEDBUSH VID GAME | 4,685 | $209,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 10,803 | $208,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 6,256 | $208,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 2,160 | $208,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 2,796 | $208,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 25,357 | $208,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 5,651 | $208,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 12,355 | $208,000 | thousands by filing date | |
| RUBIUS THERAPEUTICS INC | 78116T103 | COM | 21,926 | $208,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 81,782 | $207,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 14,500 | $207,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y731 | CONSCIOUS COS | 8,811 | $207,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 1,846 | $206,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 9,315 | $206,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 3,438 | $206,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 16,473 | $206,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 4,091 | $205,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 2,988 | $205,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 16,598 | $205,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 2,252 | $204,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 48 | $204,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 4,001 | $203,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 2,717 | $203,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 5,035 | $203,000 | thousands by filing date | |
| EQUINOR ASA SPONSORED ADR | 29446M102 | ADR | 10,142 | $202,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 6,220 | $202,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 33,813 | $202,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 55,567 | $202,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 12,297 | $202,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 5,718 | $201,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 1,929 | $201,000 | thousands by filing date | |
| FIRST CAPITAL INC | 31942S104 | COMMON STOCK | 2,757 | $201,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 61,508 | $201,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 3,200 | $200,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 18,812 | $197,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 15,000 | $197,000 | thousands by filing date | put |
| SIERRA WIRELESS INC | 826516106 | COM | 20,560 | $196,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 26,549 | $195,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 47,117 | $195,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 10,384 | $195,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 42,337 | $193,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 39,553 | $192,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 16,649 | $192,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 19,640 | $192,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 15,872 | $191,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 39,988 | $189,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 15,753 | $188,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 12,283 | $187,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 13,226 | $187,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 13,769 | $187,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 13,127 | $187,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 10,936 | $185,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 15,353 | $185,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 20,048 | $183,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 16,211 | $182,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 38,886 | $181,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 71,476 | $180,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,195 | $179,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 10,861 | $179,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 69,500 | $179,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 10,590 | $178,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 37,771 | $177,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 27,476 | $176,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 12,574 | $175,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 11,704 | $175,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 28,633 | $174,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 12,382 | $174,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 14,408 | $174,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 170,000 | $174,000 | thousands by filing date | principal |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 54,911 | $173,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 12,844 | $172,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 11,978 | $172,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 12,777 | $172,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,305 | $171,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 16,651 | $169,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 131,226 | $169,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 13,025 | $167,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 27,976 | $167,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,510 | $166,000 | thousands by filing date | |
| NUVEEN EMERGING MKTS DEBT 20 | 67077P101 | COM | 18,579 | $166,000 | thousands by filing date | |
| INVESCO DB MULTI-SECTOR COMM | 46140H304 | ENERGY FD | 11,286 | $165,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 13,530 | $161,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 27,055 | $161,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 33,786 | $160,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 31,938 | $160,000 | thousands by filing date | |
| TWO RDS SHARED TR ANFIELD DIVERSIF | 90213U115 | ETF | 15,613 | $160,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 192,275 | $159,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 11,091 | $156,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 13,996 | $155,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 15,898 | $155,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 13,918 | $153,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 15,434 | $153,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 14,143 | $151,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 34,825 | $151,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 23,257 | $149,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 10,072 | $149,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 13,240 | $149,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 10,418 | $149,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 23,643 | $149,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 14,916 | $148,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 11,002 | $147,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 10,586 | $146,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 16,641 | $145,000 | thousands by filing date | |
| ATENTO S A | L0427L105 | SHS | 50,000 | $144,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 12,900 | $144,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 13,575 | $143,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E776 | FRONTIER MKTS | 10,024 | $143,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 17,670 | $142,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 27,798 | $142,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 10,621 | $141,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 15,196 | $141,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 12,594 | $140,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 15,000 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 10,697 | $139,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 25,476 | $138,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 11,220 | $137,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 21,200 | $135,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 30,393 | $134,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 40,100 | $132,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 12,884 | $131,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP. | Y8162K204 | SHS PAR | 11,045 | $130,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 16,372 | $129,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,449 | $128,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 15,630 | $128,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 10,400 | $128,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 16,254 | $128,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,340 | $126,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 10,943 | $126,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 11,360 | $123,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 67,359 | $123,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 55,823 | $122,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 15,992 | $122,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 36,547 | $120,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 13,838 | $119,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 29,357 | $119,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 147,850 | $116,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 10,400 | $115,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 102,000 | $115,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 11,710 | $115,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 27,661 | $114,000 | thousands by filing date | |
| VALARIS PLC XXX SHS CL A | G9402V109 | COM | 17,191 | $113,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 23,240 | $112,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 15,350 | $108,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 14,000 | $107,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 10,250 | $107,000 | thousands by filing date | |
| BLOOM ENERGY CORP | 093712107 | COM | 14,001 | $105,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 18,228 | $103,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 13,159 | $102,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 13,364 | $101,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 24,743 | $100,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 11,355 | $100,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,163 | $99,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 19,735 | $98,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 18,137 | $98,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 39,456 | $96,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 11,738 | $96,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 10,456 | $94,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 11,872 | $93,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 10,975 | $92,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 10,980 | $90,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 13,440 | $90,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 17,725 | $90,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 27,600 | $89,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 78,525 | $88,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,727 | $87,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 16,807 | $87,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 12,357 | $87,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 32,627 | $86,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 10,245 | $85,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,800 | $83,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 12,631 | $80,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 13,891 | $80,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 54,707 | $80,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 20,700 | $79,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 15,899 | $78,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 22,200 | $77,000 | thousands by filing date | put |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 10,557 | $76,000 | thousands by filing date | |
| FINVOLUTION GROUP SPONSORED ADS | 31810T101 | ADR | 28,793 | $76,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 24,628 | $76,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 26,511 | $76,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 115,000 | $74,000 | thousands by filing date | principal |
| FULL HSE RESORTS INC | 359678109 | COM | 22,078 | $74,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 21,118 | $72,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 16,472 | $71,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 15,782 | $71,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 10,017 | $70,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 23,615 | $68,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 12,726 | $67,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 45,551 | $64,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 16,479 | $63,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,288 | $63,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 18,041 | $62,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 10,364 | $61,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 43,302 | $61,000 | thousands by filing date | |
| GROWGENERATION CORP | 39986L109 | COM | 14,447 | $59,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 20,042 | $58,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 25,033 | $56,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 10,000 | $55,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $54,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 55,000 | $54,000 | thousands by filing date | principal |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 22,625 | $53,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 90,791 | $53,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 10,171 | $52,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 146,120 | $51,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 12,895 | $50,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 11,250 | $50,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 29,140 | $50,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 138,300 | $48,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L306 | COM | 26,044 | $47,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,567 | $43,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 39,495 | $43,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 15,325 | $42,000 | thousands by filing date | |
| LIMBACH HLDGS INC | 53263P105 | COM | 10,850 | $41,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,264 | $39,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 23,970 | $38,000 | thousands by filing date | |
| SONIM TECHNOLOGIES INC | 83548F101 | EQUITY | 10,294 | $37,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 14,891 | $36,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 28,400 | $36,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 28,436 | $35,000 | thousands by filing date | |
| TOCAGEN INC | 888846102 | COM | 61,456 | $33,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 13,772 | $32,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,857 | $31,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 11,020 | $31,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 13,405 | $28,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 77,351 | $28,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 18,800 | $28,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 11,480 | $27,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 11,000 | $27,000 | thousands by filing date | |
| CORREVIO PHARMA CORP | 22026V105 | COM | 66,764 | $27,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 10,673 | $26,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 25,000 | $26,000 | thousands by filing date | principal |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 11,500 | $25,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 11,400 | $25,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 31,577 | $23,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 18,561 | $23,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,895 | $23,000 | thousands by filing date | principal |
| GERON CORP | 374163103 | COM | 15,917 | $22,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 84,830 | $22,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 25,023 | $22,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $21,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 21,173 | $19,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 13,772 | $18,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 14,281 | $18,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $17,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 25,000 | $17,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 11,598 | $17,000 | thousands by filing date | |
| HEXINDAI INC | 428295109 | ADR | 18,000 | $17,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 30,410 | $16,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 21,237 | $16,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 17,314 | $15,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 15,950 | $15,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,311 | $14,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 20,314 | $14,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 42,647 | $14,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,500 | $13,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 12,625 | $13,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS PLC | G63637105 | SHS | 10,000 | $13,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 41,925 | $13,000 | thousands by filing date | |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 14,690 | $11,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 12,115 | $11,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 12,000 | $11,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 24,839 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $10,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 55,938 | $10,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 16,462 | $10,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 14,800 | $10,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,003 | $9,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 11,162 | $8,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 10,650 | $7,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,585 | $5,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-20-000001 | this filing | 2020-02-14 | acceptance time not in the bulk data set |