13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2018-06-30, filed 2018-08-10, with 2,197 holding rows worth $9,470,792,000 by the sum of the rows.
- Accession
- 0001419186-18-000007
- Filer
- CIK 1419186
- Filed
- 2018-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2018
A holdings report, 2,197 entries on the cover page, a total value of $9,470,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,470,792,000 with VALUE read as thousands by filing date, 13F file number 028-12861. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $9,470,000, about 1/1,000 of the sum of the rows, $9,470,792,000. The filer likely wrote its cover total in thousands and its rows in dollars. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 16,493 | $206,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STRATASYS LTD | M85548101 | SHS | 10,762 | $206,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PLEXUS CORP COM | 729132100 | Stock | 3,444 | $205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 3,153 | $205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SER TR | 78468R820 | S&P 500 BUYBCK | 3,253 | $205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 8,865 | $204,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 5,327 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Foundation Medicine Inc | 350465100 | COM | 1,485 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 7,981 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 1,534 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GAMESTOP CORP | 36467W109 | CL A | 13,850 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 7,911 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNUM GROUP COM | 91529Y106 | Stock | 5,434 | $201,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 14,041 | $201,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V183 | S&P SML 600 EQ | 3,383 | $201,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 8,588 | $200,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LADDER CAP CORP CL A | 505743104 | REIT | 12,814 | $200,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EDITAS MEDICINE INC | 28106W103 | COM | 5,594 | $200,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WENDYS CO COM | 95058W100 | Stock | 11,563 | $199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KNOWLES CORP COM | 49926D109 | Stock | 13,032 | $199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 15,525 | $199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFA FINL INC | 55272X102 | COM | 26,219 | $199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 16,674 | $197,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AES CORP COM | 00130H105 | Stock | 14,633 | $196,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FLEX LTD ORD | Y2573F102 | Stock | 13,783 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DAUCH CORP | 024061103 | COM | 12,489 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VANECK ETF TRUST | 92189F528 | VANECK SHRT MUNI | 11,255 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 15,599 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 14,232 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TIVO CORP | 88870P106 | COM | 14,315 | $193,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 19,048 | $190,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 11,640 | $189,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 14,457 | $188,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 21,417 | $187,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 18,533 | $186,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GANNETT SPINCO INC | 36473H104 | COM | 17,337 | $186,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 11,763 | $186,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERGY RECOVERY INC | 29270J100 | COM | 22,865 | $185,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 14,842 | $183,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPRINT CORP | 85207U105 | COM SER 1 | 33,565 | $183,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 14,952 | $180,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 31,892 | $180,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 20,981 | $178,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 15,159 | $176,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOKIA CORP | 654902204 | SPONSORED ADR | 30,420 | $175,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 27,961 | $175,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 13,927 | $175,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,268 | $171,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 12,966 | $169,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 17,943 | $167,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 13,400 | $167,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 12,984 | $167,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,483 | $164,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERPLUS CORP | 292766102 | COM | 13,045 | $164,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 13,902 | $162,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 20,284 | $161,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,357 | $161,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 13,350 | $160,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 17,419 | $159,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 23,363 | $159,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 15,789 | $158,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,072 | $154,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 31,560 | $151,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 13,943 | $150,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,402 | $147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 19,748 | $147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 48,805 | $147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,355 | $146,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENCANA CORP | 292505104 | COM | 11,191 | $146,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 10,800 | $144,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CENTURY CASINOS INC | 156492100 | COM | 16,325 | $143,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 83,687 | $143,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 36,886 | $142,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 11,601 | $137,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 10,106 | $136,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 12,593 | $136,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 14,489 | $133,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 49,041 | $131,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 10,109 | $131,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIRNETX HLDG CORP | 92823T108 | COM | 38,405 | $131,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 12,165 | $130,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 14,736 | $129,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 14,267 | $129,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,029 | $127,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 12,113 | $125,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 12,263 | $125,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 11,485 | $125,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,777 | $124,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BOVIE MEDICAL CORP | 10211F100 | COM | 28,395 | $124,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,545 | $122,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VUZIX CORP | 92921W300 | COM NEW | 16,000 | $119,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| USD PARTNERS LP LP | 903318103 | STOK | 11,025 | $119,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 23,504 | $119,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 15,381 | $116,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 16,339 | $114,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 33,972 | $113,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AEGON N V | 007924103 | NY REGISTRY SHS | 18,872 | $112,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Abrdn Emerging Markets | 00301W105 | COM | 15,757 | $110,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 23,639 | $109,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 10,483 | $109,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 34,911 | $107,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 22,029 | $105,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 13,960 | $105,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 10,986 | $104,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENSCO PLC | G3157S106 | SHS CLASS A | 14,354 | $104,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,224 | $103,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 14,705 | $103,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 10,116 | $102,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 11,504 | $101,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 14,894 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 11,241 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 10,041 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 12,298 | $95,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 11,911 | $93,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 11,805 | $91,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRUSTCO BK CORP N Y | 898349105 | COM | 10,012 | $89,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 31,227 | $88,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 14,209 | $87,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 13,619 | $87,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 14,748 | $86,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 27,283 | $86,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 18,928 | $85,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 14,334 | $84,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 18,550 | $84,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 17,978 | $83,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CRONOS GROUP INC | 22717L101 | COM | 12,530 | $82,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RIOT PLATFORMS INC | 767292105 | COM | 12,229 | $78,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,783 | $78,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWLINK GENETICS CORP | 651511107 | COM | 16,281 | $77,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GSV CAPITAL CORP | 36191J101 | COM | 11,157 | $77,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SEADRILL ORD | G7945E105 | COM | 350,015 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 25,328 | $73,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIGMATRON INTL INC | 82661L101 | COM | 10,400 | $73,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 12,941 | $72,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,335 | $71,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOPRO INC | 38268T103 | CL A | 11,042 | $71,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 10,903 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 12,941 | $69,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,688 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRANSENTERIX INC | 89366M201 | COM NEW | 15,426 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 70,000 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 19,938 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 24,959 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO SR INCOME TR | 46131H107 | COM | 14,691 | $63,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 10,853 | $63,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OFFICE DEPOT INC | 676220106 | COM | 24,225 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 12,445 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $61,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 58,000 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 17,515 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 15,452 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 49,829 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| YAMANA GOLD INC | 98462Y100 | COM | 18,159 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIBROCELL SCIENCE INC | 315721407 | COM | 19,566 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AH BELO CORP | 001282102 | COMMON STOCK | 11,100 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 12,835 | $51,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 18,900 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 50,000 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CENTRAL FED CORP | 15346Q202 | COM NEW | 20,000 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HECLA MNG CO | 422704106 | COM | 13,415 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POLYMET MINING CORP | 731916102 | COM | 46,090 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 17,301 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 12,688 | $43,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PLUG PWR INC | 72919P202 | COM NEW | 20,821 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,794 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 22,245 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JUST ENERGY GROUP INC | 48213W101 | COM | 11,733 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 29,708 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PDL BIOPHARMA INC | 69329Y104 | COM | 17,477 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 22,514 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 41,000 | $41,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 22ND CENTY GROUP INC | 90137F103 | COM | 15,620 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Seadrill Partners, LLC | Y7545W109 | LTD | 10,650 | $37,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GERON CORP | 374163103 | COM | 10,535 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 18,694 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 11,725 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 10,403 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,010 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QUANTUM CORP | 747906501 | COM | 14,208 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 180 DEGREE CAP CORP | 68235B109 | COM | 12,925 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 30,000 | $29,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PENNEY J C INC | 708160106 | COM | 11,940 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 118,095 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UQM TECHNOLOGIES INC | 903213106 | COM | 25,869 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ATHERSYS INC | 04744L106 | COM | 12,795 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 18,000 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 10,572 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALIMERA SCIENCES INC | 016259103 | COM | 23,800 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 16,225 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 12,850 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 22,610 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENETIC TECHNOLOGIES LTD | 37185R208 | SPONSORED ADR | 17,000 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,090 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANK OF AMERICA CORP | 060505153 | CMN | 20,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 12,000 | $12,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 10,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEOVASC INC COM STK | 64065J106 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios.The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-18-000007 | this filing | 2018-08-10 | acceptance time not in the bulk data set |