13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-02, with 2,230 holding rows worth $10,471,148,000 by the sum of the rows.
- Accession
- 0001419186-18-000008
- Filer
- CIK 1419186
- Filed
- 2018-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 2,230 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 $10,471,148,000 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, $10,471,148,000. 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 |
|---|---|---|---|---|---|---|
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 17,106 | $218,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 14,872 | $217,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 4,862 | $217,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 3,231 | $217,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WENDYS CO COM | 95058W100 | Stock | 12,620 | $216,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PVH CORPORATION COM | 693656100 | Stock | 1,496 | $216,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 9,246 | $216,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARNES GROUP INC | 067806109 | COM | 3,035 | $216,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 38,506 | $216,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PENTAIR PLC SHS | G7S00T104 | Stock | 4,957 | $215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 2,059 | $215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 2,675 | $215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LADDER CAP CORP CL A | 505743104 | REIT | 12,696 | $215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 43,572 | $215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KRANESHARES TRUST | 500767405 | BOSE MSC CHI ETF | 7,374 | $213,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEXCEL CORP NEW | 428291108 | COM | 3,180 | $213,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 9,582 | $213,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,204 | $212,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 16,241 | $212,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 2,286 | $212,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 19,664 | $212,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOTELEMETRY INC | 090672106 | COM | 3,278 | $211,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 39,967 | $211,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AVALARA INC | 05338G106 | COM | 6,030 | $211,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 2,223 | $210,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V720 | LEISU ENTMT ETF | 4,446 | $210,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNUM GROUP COM | 91529Y106 | Stock | 5,358 | $209,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SENSIENT TECHNOLOGIES CORP | 81725T100 | COM | 2,735 | $209,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TENNANT CO | 880345103 | COM | 2,748 | $209,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCH TRD SLF IDX FD | 46138J817 | BULSHS 2025 HY | 8,610 | $209,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Attunity Ltd | M15332121 | SHS NEW | 11,087 | $209,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 11,129 | $208,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWTEKONE INC | 652526203 | COM NEW | 9,915 | $208,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 17,115 | $208,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 17,429 | $208,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STEIN MART INC | 858375108 | COM | 88,600 | $208,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES INC | 464286103 | MSCI AUST ETF | 9,378 | $207,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 14,630 | $207,000 | 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 | 3,385 | $207,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 13,812 | $206,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 11,300 | $205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CUBIC CORP | 229669106 | COM | 2,813 | $205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 4,552 | $205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANITOWOC CO INC | 563571405 | COM NEW | 8,514 | $204,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 16,557 | $204,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORBOTECH LTD | M75253100 | ORD | 3,420 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERGOUS CORP | 29272C103 | COM | 20,031 | $203,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PLEXUS CORP COM | 729132100 | Stock | 3,444 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OXFORD LANE CAP CORP | 691543102 | COM | 19,077 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 2,753 | $202,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 3,822 | $200,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 115,760 | $198,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERGY RECOVERY INC | 29270J100 | COM | 21,959 | $197,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 14,767 | $197,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 25,597 | $197,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 10,812 | $195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 15,785 | $195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 12,530 | $195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 16,568 | $192,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 16,674 | $192,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 16,667 | $190,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,628 | $190,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO DB MULTI-SECTOR COMM | 46140H106 | AGRICULTURE FD | 11,182 | $189,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 13,206 | $188,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BGC PARTNERS INC | 05541T101 | CL A | 15,785 | $187,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 13,316 | $187,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PITNEY BOWES INC COM | 724479100 | Stock | 26,179 | $185,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 35,248 | $185,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKBERRY LTD COM | 09228F103 | Stock | 16,283 | $185,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 15,606 | $185,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RITEAID CORP | 767754104 | COM | 143,624 | $184,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS PLC ADR | 06738E204 | ADR | 20,464 | $183,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TIVO CORP | 88870P106 | COM | 14,718 | $183,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 10,716 | $182,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BOVIE MEDICAL CORP | 10211F100 | COM | 25,395 | $180,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 12,695 | $177,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 13,590 | $176,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 14,738 | $176,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 19,739 | $174,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GANNETT SPINCO INC | 36473H104 | COM | 17,346 | $174,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 12,525 | $173,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FLEX LTD ORD | Y2573F102 | Stock | 13,144 | $172,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 10,752 | $172,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW SR INVT GROUP INC | 648691103 | COM | 28,905 | $171,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 13,970 | $169,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 14,718 | $169,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 13,129 | $169,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CERECOR INC | 15671L109 | COM | 36,128 | $169,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 30,398 | $168,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 10,325 | $167,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,277 | $166,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 10,538 | $164,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENERPLUS CORP | 292766102 | COM | 13,318 | $164,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 13,495 | $163,000 | 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 | 18,509 | $163,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GAMESTOP CORP | 36467W109 | CL A | 10,587 | $162,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 15,283 | $161,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 12,800 | $160,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 14,663 | $160,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENCANA CORP | 292505104 | COM | 12,213 | $160,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIRNETX HLDG CORP | 92823T108 | COM | 34,490 | $160,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AES CORP COM | 00130H105 | Stock | 11,343 | $159,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,483 | $159,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRANSENTERIX INC | 89366M201 | COM NEW | 27,376 | $159,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 16,540 | $158,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 12,097 | $158,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,522 | $157,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 24,083 | $157,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 23,854 | $155,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,141 | $155,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 13,985 | $155,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 26,957 | $154,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 32,327 | $154,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 14,181 | $150,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 25,408 | $150,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CENTURY ALUM CO | 156431108 | COM | 12,500 | $150,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 15,209 | $149,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 66,424 | $147,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 11,700 | $146,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFA FINL INC | 55272X102 | COM | 19,829 | $146,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 12,380 | $140,000 | 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 | $139,000 | 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 | 12,524 | $138,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 12,021 | $137,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 65,226 | $136,000 | 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 | 10,910 | $136,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 83,687 | $136,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 16,635 | $133,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 14,444 | $133,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENSCO PLC | G3157S106 | SHS CLASS A | 15,705 | $133,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 12,172 | $128,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 10,053 | $125,000 | 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 | 14,373 | $124,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 12,975 | $124,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CENTURY CASINOS INC | 156492100 | COM | 16,225 | $121,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 10,939 | $119,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 11,236 | $116,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 14,881 | $114,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 14,194 | $113,000 | 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 | $109,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 17,452 | $109,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,191 | $107,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VUZIX CORP | 92921W300 | COM NEW | 16,000 | $105,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 37,423 | $104,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AEGON N V | 007924103 | NY REGISTRY SHS | 16,052 | $103,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 27,250 | $103,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 10,043 | $101,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 32,162 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 21,364 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 11,634 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 10,158 | $98,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 14,944 | $97,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 11,966 | $96,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Abrdn Emerging Markets | 00301W105 | COM | 13,673 | $94,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 14,800 | $93,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 11,102 | $89,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 11,288 | $81,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 17,717 | $80,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RED VIOLET INC | 75704L104 | COMMON STOCK | 12,081 | $79,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 15,750 | $78,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OFFICE DEPOT INC | 676220106 | COM | 23,928 | $77,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,634 | $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. |
| GOPRO INC | 38268T103 | CL A | 10,553 | $76,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JUST ENERGY GROUP INC | 48213W101 | COM | 24,444 | $76,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IGC PHARMA INC | 45408X308 | COM NEW | 11,700 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 14,086 | $75,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 10,035 | $71,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 12,288 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 18,485 | $69,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 10,578 | $69,000 | 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. |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 25,036 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,794 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 12,445 | $65,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIGMATRON INTL INC | 82661L101 | COM | 10,400 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO SR INCOME TR | 46131H107 | COM | 13,790 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GABELLI UTIL TR | 36240A101 | COM | 10,071 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 19,938 | $58,000 | 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 | $58,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 27,227 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 11,703 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 23,328 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QUANTUM CORP | 747906501 | COM | 22,008 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,688 | $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 | $51,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TCP Cap Corp Sr Conv Nt | 87238qad5 | CONV | 50,000 | $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. |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,272 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| YAMANA GOLD INC | 98462Y100 | COM | 18,878 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POLYMET MINING CORP | 731916102 | COM | 46,090 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 10,466 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OBSIDIAN ENERGY LTD | 674482104 | COM | 49,178 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 16,874 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 22ND CENTY GROUP INC | 90137F103 | COM | 16,198 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GERON CORP | 374163103 | COM | 25,619 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 19,622 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOSCRIP INC | 09069N108 | COM | 14,677 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 16,280 | $42,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HECLA MNG CO | 422704106 | COM | 14,777 | $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. |
| PLUG PWR INC | 72919P202 | COM NEW | 20,826 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Seadrill Partners, LLC | Y7545W109 | LTD | 10,650 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWLINK GENETICS CORP | 651511107 | COM | 16,281 | $39,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 12,331 | $37,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 22,610 | $35,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 18,713 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UQM TECHNOLOGIES INC | 903213106 | COM | 25,869 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PDL BIOPHARMA INC | 69329Y104 | COM | 12,704 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 25,850 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NOVAVAX INC | 670002104 | COMMON STOCK | 17,277 | $32,000 | 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 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 26,244 | $30,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 180 DEGREE CAP CORP | 68235B109 | COM | 12,925 | $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. |
| ATHERSYS INC | 04744L106 | COM | 12,795 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 10,800 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TASEKO MINES LTD COM | 876511106 | Stock | 31,350 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AGENUS INC | 00847G705 | COM NEW | 11,334 | $24,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIBROCELL SCIENCE INC | 315721407 | COM | 10,085 | $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. |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 12,250 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 11,403 | $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 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 12,872 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,650 | $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. |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 20,159 | $2,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 48,582 | $1,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-18-000008 | this filing | 2018-11-02 | acceptance time not in the bulk data set |