13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2020-12-31, filed 2021-02-12, with 3,805 holding rows worth $77,221,974,000.
- Accession
- 0001403438-21-000002
- Filer
- CIK 1403438
- Filed
- 2021-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, 3,805 entries on the cover page, a total value of $77,221,974,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $77,221,974,000 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 |
|---|---|---|---|---|---|---|
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 6,077 | $205,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 6,500 | $205,000 | thousands by filing date | call |
| CABOT CORP | 127055101 | COM | 4,579 | $205,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 1,704 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,564 | $205,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 13,251 | $204,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 1,885 | $204,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 13,825 | $204,000 | thousands by filing date | |
| AMERICAN WELL CORP | 03044L105 | CL A | 8,053 | $204,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 5,384 | $204,000 | thousands by filing date | |
| NEW RELIC INC | 64829B100 | COMMON STOCK | 3,112 | $204,000 | thousands by filing date | |
| Global X Cannabis ETF | 37954Y426 | EX TRD EQ FD | 20,588 | $204,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 10,357 | $203,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 15,778 | $203,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 6,464 | $203,000 | thousands by filing date | |
| iShares iBonds Dec. 2027 Municipal Bond ETF | 46435U283 | ETF | 7,435 | $203,000 | thousands by filing date | |
| TURTLE BEACH CORP | 900450206 | COMMON STOCK | 9,430 | $203,000 | thousands by filing date | |
| ABACUS FCF ETF TR | 89628W401 | INTL LEADERS ETF | 6,350 | $203,000 | thousands by filing date | |
| PROSHARES TR | 74347B847 | MSCI EMRG MKTS | 3,500 | $203,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 11,465 | $203,000 | thousands by filing date | |
| O-I GLASS INC | 67098H104 | COM | 16,945 | $202,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P706 | CMN | 7,504 | $202,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A172 | NATIONWIDE NASDQ | 7,355 | $202,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 1,345 | $201,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 7,885 | $201,000 | thousands by filing date | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 11,190 | $201,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHA FD I | 33737J133 | BRAZIL ALPHA | 14,987 | $201,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 17,159 | $200,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 7,647 | $200,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 18,853 | $199,000 | thousands by filing date | |
| API GROUP CORP COM STK | 00187Y100 | Stock | 10,886 | $198,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 17,589 | $198,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,347 | $198,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 44,214 | $198,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 30,877 | $196,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 72,144 | $196,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439102 | CL A | 19,560 | $196,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 17,169 | $195,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 18,133 | $195,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K100 | COM | 10,397 | $194,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 13,206 | $193,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 13,494 | $192,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 15,245 | $190,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 47,809 | $189,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 11,819 | $188,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 69,418 | $187,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103877 | COM SHS | 72,265 | $187,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A685 | REVERSE WEIGHT | 10,000 | $187,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 10,533 | $186,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 17,928 | $186,000 | thousands by filing date | |
| EVOGENE LTD | M4119S104 | SHS | 39,590 | $186,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 12,412 | $185,000 | thousands by filing date | |
| CARTER BANKSHARES INC | 146103106 | COMMON STOCK | 17,230 | $185,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 13,576 | $183,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 134,500 | $183,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 17,199 | $182,000 | thousands by filing date | |
| PLAINS GP HLDGS L P | 72651A207 | LTD PARTNR INT A | 21,280 | $180,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 11,555 | $180,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 144,300 | $180,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 15,480 | $180,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 12,903 | $178,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J701 | MLTFACTOR ENRG | 12,167 | $177,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,830 | $176,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 13,097 | $175,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 10,320 | $175,000 | thousands by filing date | |
| ARCIMOTO INC | 039587100 | COM | 13,224 | $175,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 13,711 | $174,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 14,705 | $174,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 19,614 | $172,000 | thousands by filing date | |
| FINSERV ACQUISITION CORP | 318085107 | CL A | 13,750 | $172,000 | thousands by filing date | |
| AT HOME GROUP INC | 04650Y100 | COM | 11,000 | $170,000 | thousands by filing date | call |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 11,201 | $169,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 29,422 | $169,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 11,450 | $168,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 16,230 | $167,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 49,278 | $166,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 31,303 | $165,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 26,383 | $163,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 12,337 | $163,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 33,850 | $163,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 18,523 | $162,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 11,195 | $161,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 14,791 | $159,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 12,504 | $158,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 18,102 | $157,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 19,995 | $157,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 15,434 | $157,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 10,732 | $157,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 15,350 | $157,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 49,600 | $157,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 11,500 | $156,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 35,025 | $156,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 36,940 | $156,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 12,221 | $155,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 10,206 | $154,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 14,157 | $154,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 26,500 | $154,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L101 | COM | 11,229 | $154,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 10,179 | $152,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 14,020 | $152,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 27,194 | $151,000 | thousands by filing date | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 16,565 | $151,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 13,888 | $148,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 14,160 | $148,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 436,037 | $148,000 | thousands by filing date | |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 13,000 | $148,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 84,086 | $147,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 10,201 | $146,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 17,724 | $146,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 16,719 | $145,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 29,258 | $145,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 13,253 | $144,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 19,369 | $144,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 38,761 | $144,000 | thousands by filing date | |
| CAPITAL CLEAN ENERGY CARRIERS COM | Y11082206 | Stock | 17,777 | $144,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 20,700 | $143,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 24,393 | $143,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 23,885 | $143,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 15,073 | $140,000 | thousands by filing date | |
| BAIN CAP SPECIALTY FIN INC | 05684B107 | COM STK | 11,575 | $140,000 | thousands by filing date | |
| IMMATICS N.V | N44445109 | SHS | 12,943 | $140,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 14,281 | $138,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 36,266 | $137,000 | thousands by filing date | |
| URBAN ONE INC | 91705J105 | CL A | 32,450 | $137,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 40,048 | $135,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 11,922 | $135,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762107 | COM | 13,300 | $135,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 193,550 | $135,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 12,705 | $134,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 48,702 | $134,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 41,200 | $133,000 | thousands by filing date | |
| SASOL LTD | 803866300 | SPONSORED ADR | 15,062 | $133,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 11,419 | $133,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 28,008 | $133,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 17,886 | $132,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 17,630 | $131,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 21,066 | $131,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 34,314 | $131,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 41,062 | $130,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 13,199 | $130,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 18,856 | $128,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 90274D382 | ETRACS ALER MLP | 10,814 | $128,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,396 | $127,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 16,308 | $126,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A409 | SUGAR FD | 18,670 | $126,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 19,866 | $125,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 56,915 | $125,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 13,503 | $125,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 53,543 | $124,000 | thousands by filing date | |
| INVESCO ENERGY EXPLORATION & PRODUCTION ETF | 46137V761 | ETF | 12,201 | $124,000 | thousands by filing date | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 14,233 | $123,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 46,816 | $123,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 19,910 | $123,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 15,139 | $122,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 16,720 | $120,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 13,568 | $119,000 | thousands by filing date | |
| NUVEEN CORPORATE INCOME 2023 | 67079F101 | COM | 12,441 | $119,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 40,143 | $118,000 | thousands by filing date | |
| NOBLE MIDSTREAM PARTNERS LP | 65506L105 | COM UNIT REPST | 11,334 | $118,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 13,225 | $113,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 45,191 | $112,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 10,185 | $112,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 19,711 | $112,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 19,283 | $111,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 10,106 | $110,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 20,918 | $109,000 | thousands by filing date | |
| AMNEAL PHARMACEUTICALS INC | 03168L105 | COM STK CL A | 23,635 | $108,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 31,947 | $108,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 36,356 | $108,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 68,050 | $108,000 | thousands by filing date | |
| NULL | 09071M205 | NULL | 42,876 | $108,000 | thousands by filing date | |
| LEXINFINTECH HLDGS LTD ADR | 528877103 | ADR | 15,781 | $106,000 | thousands by filing date | |
| RANGER ENERGY SERVICES CL A | 75282U104 | COMMON STOCK | 29,198 | $106,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 13,178 | $106,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 26,460 | $106,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 15,657 | $105,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 12,636 | $103,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 51,800 | $103,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 11,357 | $102,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 13,300 | $100,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 23,982 | $99,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 21,575 | $99,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 30,614 | $97,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 11,635 | $96,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 10,550 | $95,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 20,918 | $94,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 10,400 | $94,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 13,000 | $92,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 28,437 | $92,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 16,163 | $91,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 133,940 | $91,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 16,064 | $90,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 69,706 | $89,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 13,341 | $88,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 14,101 | $87,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 20,590 | $86,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 27,460 | $86,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 11,154 | $86,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 10,324 | $85,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 23,012 | $85,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,651 | $85,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 38,225 | $84,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 11,457 | $84,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 14,395 | $81,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 116,860 | $81,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 88,249 | $80,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 10,000 | $79,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 23,662 | $74,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 11,013 | $72,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 14,038 | $71,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 14,750 | $69,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 17,500 | $69,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 32,619 | $69,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 26,750 | $68,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 10,250 | $68,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771300 | COM NEW | 10,080 | $67,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,343 | $66,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 15,750 | $64,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 13,240 | $63,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 14,135 | $60,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 32,500 | $59,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 42,250 | $57,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 11,167 | $55,000 | thousands by filing date | |
| IBIO INC | 451033203 | COM NEW | 52,510 | $55,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 47,000 | $54,000 | thousands by filing date | principal |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 14,685 | $54,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 35,000 | $54,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 12,618 | $52,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 73,000 | $51,000 | thousands by filing date | principal |
| IRIDEX CORP | 462684101 | COM | 20,033 | $50,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $50,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 25,000 | $49,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 18,600 | $49,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 15,486 | $47,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 13,000 | $45,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 35,825 | $45,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 25,073 | $44,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 17,617 | $43,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 13,106 | $43,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 10,175 | $42,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 13,859 | $42,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 18,267 | $42,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 17,000 | $42,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 17,584 | $39,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 44,825 | $39,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 14,000 | $39,000 | thousands by filing date | principal |
| POLYMET MNG CORP | 731916409 | COM | 11,578 | $39,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 64,511 | $39,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 27,325 | $39,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 10,600 | $38,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 10,000 | $37,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,956 | $37,000 | thousands by filing date | |
| TANZANIAN GOLD CORP | 87601A107 | COM | 56,182 | $37,000 | thousands by filing date | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 12,339 | $34,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,000 | $34,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 13,876 | $33,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 14,000 | $33,000 | thousands by filing date | principal |
| BIONANO GENOMICS INC | 09075F107 | COM | 10,750 | $33,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H114 | *W EXP 10/26/202 | 13,500 | $33,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 22,000 | $32,000 | thousands by filing date | principal |
| ENERGOUS CORP | 29272C103 | COM | 17,803 | $32,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 25,050 | $32,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 31,283 | $31,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 50,218 | $31,000 | thousands by filing date | principal |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 10,600 | $30,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 30,000 | $30,000 | thousands by filing date | principal |
| Lee Enterprises Inc | 523768109 | COM | 23,306 | $29,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,116 | $29,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 11,510 | $27,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 26,000 | $26,000 | thousands by filing date | principal |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 11,895 | $26,000 | thousands by filing date | principal |
| GERON CORP | 374163103 | COM | 15,317 | $24,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $24,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $24,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 21,000 | $24,000 | thousands by filing date | principal |
| ROCKWELL MED INC | 774374102 | COM | 24,223 | $24,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 12,500 | $22,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 14,617 | $21,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 15,663 | $21,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $21,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $20,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,411 | $19,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $19,000 | thousands by filing date | principal |
| EASTSIDE DISTILLING INC | 277802302 | COM | 15,000 | $19,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 11,895 | $19,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 26,000 | $18,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 24,952 | $16,000 | thousands by filing date | |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $16,000 | thousands by filing date | principal |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 30,000 | $16,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $16,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $15,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $15,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15,000 | $14,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $14,000 | thousands by filing date | principal |
| CONFORMIS INC | 20717E101 | COM | 21,350 | $14,000 | thousands by filing date | |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $13,000 | thousands by filing date | principal |
| Indivior Pharmaceuticals Inc | 04546C106 | COMMON STOCK | 33,900 | $12,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 11,200 | $10,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 29,350 | $9,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,920 | $8,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $8,000 | thousands by filing date | |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 17,500 | $6,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 13,360 | $5,000 | thousands by filing date | |
| SUNDIAL GROWERS INC | 86730L109 | COM | 10,000 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-21-000002 | this filing | 2021-02-12 | acceptance time not in the bulk data set |