13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2021-06-30, filed 2021-08-13, with 4,218 holding rows worth $98,898,818,000.
- Accession
- 0001403438-21-000004
- Filer
- CIK 1403438
- Filed
- 2021-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2021
A holdings report, 4,218 entries on the cover page, a total value of $98,898,818,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $98,898,818,000 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 |
|---|---|---|---|---|---|---|
| FAST ACQUISITION CORP. CMN | 311875108 | COM | 11,367 | $134,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 10,220 | $133,000 | thousands by filing date | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 44,750 | $133,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 44,406 | $132,000 | thousands by filing date | |
| ROOT INC | 77664L108 | COMMON STOCK | 12,125 | $131,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 40,750 | $131,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 14,009 | $130,000 | thousands by filing date | |
| CONX CORP | 212873103 | WRNT | 13,150 | $130,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 19,150 | $129,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 35,399 | $128,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 12,812 | $128,000 | thousands by filing date | |
| APPLIED UV INC | 03828V105 | COM | 13,000 | $128,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 31,481 | $127,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 12,378 | $127,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 11,859 | $125,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 49,925 | $125,000 | thousands by filing date | |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 10,300 | $124,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 24,694 | $123,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 20,812 | $123,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 12,600 | $123,000 | thousands by filing date | |
| KKR ACQUISITION HOLDING I CO | 48253T109 | CMN | 12,500 | $123,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 12,007 | $122,000 | thousands by filing date | |
| COGENT BIOSCIENCES INC | 19240Q201 | COM | 15,000 | $122,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 42,453 | $122,000 | thousands by filing date | |
| FTAC HERA ACQUISITION CORP | G3728Y103 | COM | 12,500 | $122,000 | thousands by filing date | |
| HYLIION HOLDINGS CORP | 449109107 | COMMON STOCK | 10,388 | $121,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 27,780 | $121,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 155,958 | $121,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 10,023 | $120,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 19,381 | $119,000 | thousands by filing date | |
| ZYNERBA PHARMACEUTICALS INC | 98986X109 | COM | 22,578 | $119,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 36,097 | $118,000 | thousands by filing date | |
| PEABODY ENGR CORP | 704551100 | COM | 14,867 | $118,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 11,819 | $118,000 | thousands by filing date | |
| STARBOARD VALUE ACQUISITN CORP UNIT EXP 091025 | 85521J208 | Stock | 11,450 | $118,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 12,627 | $117,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 17,600 | $117,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 12,009 | $116,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 14,733 | $116,000 | thousands by filing date | |
| BREEZE HOLDINGS ACQUISITN CO | 106762107 | COM | 11,550 | $116,000 | thousands by filing date | |
| VY GLOBAL GROWTH | G9444H100 | CMN | 11,623 | $116,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 17,222 | $115,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 13,821 | $115,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 14,030 | $113,000 | thousands by filing date | |
| TRITERRAS INC | G9103H102 | COM CL A | 16,179 | $113,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 11,365 | $112,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 16,089 | $111,000 | thousands by filing date | |
| SPRUCE POWER HOLDING CORP | 9837FR100 | COMMON STOCK | 13,288 | $111,000 | thousands by filing date | |
| SPRING VALLEY ACQ CORP | G8377A108 | COMMON STOCK-FO | 11,050 | $111,000 | thousands by filing date | |
| ATHENEX INC | 04685N103 | COM | 24,093 | $111,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 10,135 | $111,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 24,566 | $110,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 20,044 | $110,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 30,286 | $110,000 | thousands by filing date | |
| BURGERFI INTERNATIONAL INC | 12122L119 | *W EXP 12/16/202 | 49,300 | $110,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 10,558 | $109,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 10,800 | $106,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,514 | $106,000 | thousands by filing date | |
| O2MICRO INTERNATIONAL LTD | 67107W100 | SPONS ADR | 14,552 | $105,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 10,074 | $103,000 | thousands by filing date | |
| SEVEN OAKS ACQUISITION CORP | 81787X106 | COM CL A | 10,400 | $103,000 | thousands by filing date | |
| GEVO INC | 374396406 | COM PAR | 13,902 | $101,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 11,995 | $101,000 | thousands by filing date | |
| FALCON CAPITAL ACQUISITN COR | 30606L108 | COM CL A | 10,896 | $101,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 16,575 | $99,000 | thousands by filing date | |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 13,302 | $99,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 11,575 | $98,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 11,350 | $97,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC COM NEW | 079481404 | Stock | 29,458 | $97,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 25,125 | $96,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 30,000 | $95,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 10,778 | $94,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION COM U | G9108L173 | SHS | 10,897 | $94,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 13,927 | $94,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 14,400 | $93,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 38,300 | $92,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 21,539 | $91,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,209 | $91,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 49,529 | $90,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 14,746 | $89,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 61,586 | $89,000 | thousands by filing date | |
| LIPOCINE INC NEW | 53630X104 | CMN | 62,750 | $88,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 12,998 | $87,000 | thousands by filing date | |
| RICEBRAN TECHNOLOGIES | 762831204 | COM NEW | 77,061 | $87,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,601 | $86,000 | thousands by filing date | |
| FIRST EAGLE ALTR CAP BDC INC | 26943B100 | COM | 18,840 | $86,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 12,336 | $84,000 | thousands by filing date | |
| NEWAGE INC | 650194103 | COMMON STOCK | 37,166 | $83,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 13,460 | $82,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 10,000 | $82,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 17,245 | $81,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 30,451 | $80,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 10,565 | $79,000 | thousands by filing date | |
| AKERNA CORP | 00973W102 | COM | 19,726 | $79,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 14,506 | $78,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 16,800 | $77,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 18,922 | $77,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 11,015 | $77,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 25,452 | $76,000 | thousands by filing date | |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 117,150 | $76,000 | thousands by filing date | |
| ELECTRAMECCANICA VEHS | 284849205 | COM | 17,556 | $75,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,103 | $75,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 15,167 | $74,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 10,150 | $74,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 15,000 | $73,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 10,353 | $73,000 | thousands by filing date | |
| NEXTIER OILFIELD SOLUTIONS INC | 65290C105 | COMMON STOCK | 15,152 | $72,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397218 | RIGHT 07/14/2021 | 608,339 | $71,000 | thousands by filing date | |
| AGEAGLE AERIAL SYS INC NEW | 00848K101 | COMMON | 13,507 | $71,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 16,088 | $70,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 16,753 | $69,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 16,045 | $68,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 32,000 | $68,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 22,357 | $68,000 | thousands by filing date | |
| IDEANOMICS INC | 45166V106 | COM | 23,475 | $67,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 10,000 | $64,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 45,009 | $62,000 | thousands by filing date | |
| CHEMBIO DIAGNOSTICS | 163572209 | COM | 20,885 | $62,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,610 | $61,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 14,533 | $61,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 12,350 | $61,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 23,500 | $60,000 | thousands by filing date | |
| VERSUS SYSTEMS INC | 92535P808 | COM NEW | 10,500 | $60,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 19,181 | $57,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 47,830 | $57,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 17,000 | $57,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 14,820 | $56,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 19,436 | $56,000 | thousands by filing date | |
| MARRIOTT VACTINS WORLDWID CO | 57164YAB3 | NOTE 1.500% 9/1 | 47,000 | $56,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 20,775 | $55,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 10,513 | $54,000 | thousands by filing date | |
| VYNE THERAP. | 92941V209 | COM | 15,325 | $54,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 10,281 | $53,000 | thousands by filing date | |
| Amplify Energy Corp | 03212B103 | COM | 13,043 | $53,000 | thousands by filing date | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 21,500 | $53,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 13,730 | $53,000 | thousands by filing date | |
| Goal Acquisitions Corp | 38021H115 | Warrant | 81,700 | $52,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 85,190 | $52,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 50,000 | $52,000 | thousands by filing date | principal |
| WESTWATER RES INC | 961684206 | COM NEW | 10,592 | $50,000 | thousands by filing date | |
| AYRO INC | 054748108 | COM | 10,200 | $50,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 46,000 | $50,000 | thousands by filing date | principal |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 50,218 | $50,000 | thousands by filing date | principal |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 44,720 | $49,000 | thousands by filing date | |
| CASTOR MARITIME INC | Y1146L125 | COMMON | 18,910 | $49,000 | thousands by filing date | |
| COOTEK CAYMAN INC SPONSORED ADS | 21718L102 | ADR | 29,500 | $49,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 12,305 | $47,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 14,592 | $46,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 15,382 | $46,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 19,625 | $46,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 27,109 | $46,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 13,028 | $45,000 | thousands by filing date | |
| BLOCK INC | 852234AD5 | NOTE 0.500% 5/1 | 14,000 | $44,000 | thousands by filing date | principal |
| REWALK ROBOTICS LTD | M8216Q200 | SHS | 26,110 | $44,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 17,855 | $42,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,516 | $42,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 35,095 | $42,000 | thousands by filing date | |
| DIGITAL ALLY INC | 25382P208 | COM NEW | 23,095 | $42,000 | thousands by filing date | |
| EASTSIDE DISTILLING INC | 277802302 | COM | 15,000 | $42,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 10,774 | $40,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 38,800 | $40,000 | thousands by filing date | |
| BIORA THERAPEUTICS INC | 74319F107 | COM | 11,000 | $39,000 | thousands by filing date | |
| GIGAMEDIA LTD | Y2711Y112 | SHS NEW | 12,469 | $38,000 | thousands by filing date | |
| AIM IMMUNOTECH INC | 00901B105 | COM | 17,025 | $37,000 | thousands by filing date | |
| AMERICAS GOLD AND SILVER COR | 03062D100 | COM | 23,000 | $35,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 14,825 | $35,000 | thousands by filing date | |
| TRIVAGO N V SPON ADS A SHS N | 89686D105 | ADR | 10,500 | $35,000 | thousands by filing date | |
| AGILE THERAPEUTICS INC | 00847L100 | COM | 26,344 | $35,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 48,000 | $34,000 | thousands by filing date | principal |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 22,000 | $33,000 | thousands by filing date | principal |
| Fluent Co | 34380C102 | COM | 11,300 | $33,000 | thousands by filing date | |
| ONCOLYTICS BIOTECH INC | 682310875 | COM NEW | 11,960 | $33,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 25,050 | $33,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 10,600 | $32,000 | thousands by filing date | |
| PORTMAN RIDGE FIN CORP | 73688F102 | COM | 13,406 | $32,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 15,000 | $31,000 | thousands by filing date | |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 30,000 | $31,000 | thousands by filing date | principal |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 16,500 | $30,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 12,500 | $30,000 | thousands by filing date | |
| ZOSANO PHARMA CORP | 98979H202 | COM NEW | 30,000 | $29,000 | thousands by filing date | |
| SPHERE 3D CORP NEW | 84841L308 | COM | 10,625 | $28,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 12,911 | $27,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 22,271 | $27,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 19,090 | $26,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 21,350 | $25,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLDWT | G8251L113 | WARRANT AND RIGH | 12,100 | $25,000 | thousands by filing date | |
| TREVI THERAPEUTICS INC COM | 89532M101 | Stock | 10,000 | $23,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 21,000 | $23,000 | thousands by filing date | principal |
| TANZANIAN GOLD CORP | 87601A107 | COM | 46,032 | $23,000 | thousands by filing date | |
| ALARUM TECHNOLOGIES LTD SPONSORD ADS NEW | 78643B401 | ADR | 15,300 | $23,000 | thousands by filing date | |
| ZOMEDICA CORP COM | 98980M109 | Stock | 25,958 | $22,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 10,000 | $22,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 20,000 | $22,000 | thousands by filing date | principal |
| NUVVE HOLDING | 67079Y118 | Rights and Bearer Warrants; Warrants (except Bearer) | 10,000 | $22,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 15,000 | $20,000 | thousands by filing date | principal |
| IBIO INC | 451033203 | COM NEW | 13,010 | $20,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 38,900 | $19,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 12,000 | $17,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 12,000 | $16,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 15,000 | $16,000 | thousands by filing date | principal |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 13,395 | $16,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 15,000 | $15,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 10,000 | $15,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 16,000 | $15,000 | thousands by filing date | principal |
| ROCKWELL MED INC | 774374102 | COM | 16,960 | $15,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G112 | RIGHT 07/14/2021 | 22,319 | $15,000 | thousands by filing date | |
| TEKKORP DIGITAL ACQUISITN CO | G8739H114 | *W EXP 10/26/202 | 13,500 | $14,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 10,182 | $13,000 | thousands by filing date | |
| BAUDAX BIO INC | 07160F107 | COM | 17,000 | $13,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 13,000 | $13,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AD6 | BOND | 10,000 | $12,000 | thousands by filing date | principal |
| DYNATRONICS CORP | 268157401 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 12,000 | $12,000 | thousands by filing date | principal |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ACASTI PHARMA INC | 00430K402 | CL A NEW | 17,500 | $10,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 17,000 | $9,000 | thousands by filing date | |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 10,000 | $8,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 10,025 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-21-000004 | this filing | 2021-08-13 | acceptance time not in the bulk data set |