13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-10-28, with 2,259 holding rows worth $10,987,821,000 by the sum of the rows.
- Accession
- 0001419186-19-000007
- Filer
- CIK 1419186
- Filed
- 2019-10-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 2,259 entries on the cover page, a total value of $10,987,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $10,987,821,000 with VALUE read as thousands by filing date, 13F file number 028-12861. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $10,987,000, about 1/1,000 of the sum of the rows, $10,987,821,000. 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 |
|---|---|---|---|---|---|---|
| FIRST TR EXCHNG TRADED FD VI | 33740F870 | LOW DUR STRTGC | 10,746 | $220,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 15,129 | $219,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 46,203 | $219,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 8,640 | $219,000 | thousands by filing date | |
| M.D.C. HOLDINGS INC | 552676108 | COM | 6,652 | $218,000 | thousands by filing date | |
| INVESCO MSCI SUSTAINABLEFUTURE ETF | 46137V407 | ETF | 4,776 | $218,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 2,158 | $217,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 11,163 | $216,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 5,449 | $216,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,008 | $216,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 2,378 | $216,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 21,604 | $216,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 12,003 | $215,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 10,245 | $213,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 30,506 | $213,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 1,450 | $213,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 4,164 | $213,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 11,721 | $213,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 15,136 | $213,000 | thousands by filing date | |
| iShares International Equity Factor ETF | 46434V274 | SHS | 8,091 | $212,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 26,217 | $212,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265K102 | COM | 10,815 | $212,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 1,373 | $211,000 | thousands by filing date | |
| ARK ETF TR | 00214Q203 | AUTNMUS TECHNLGY | 6,264 | $211,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F205 | STEEL ETF | 5,388 | $211,000 | thousands by filing date | |
| ATLANTIC UN BANKSHARES CORP COM | 04911A107 | Stock | 5,939 | $210,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 2,686 | $210,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 4,090 | $210,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 21,798 | $210,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 19,486 | $210,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 4,107 | $209,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 7,752 | $209,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 21,436 | $209,000 | thousands by filing date | |
| ISHARES TR | 46434VBD1 | IBONDS DEC25 ETF | 8,153 | $209,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 9,648 | $209,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 3,240 | $209,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 13,103 | $208,000 | thousands by filing date | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 18,173 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 3,565 | $208,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 87,678 | $208,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 4,263 | $207,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,124 | $207,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 5,818 | $206,000 | thousands by filing date | |
| ISHARES INC MSCI TAIWAN ETF | 46434G772 | MSCI TAIWAN ETF | 5,896 | $206,000 | thousands by filing date | |
| STERIS PLC SHS USD | G8473T100 | Stock | 1,374 | $205,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 10,484 | $205,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 7,301 | $205,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 15,096 | $205,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J867 | MLTFACTR UTILS | 6,405 | $205,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 510 | $204,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 3,963 | $204,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 3,213 | $204,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 22,816 | $204,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 15,650 | $204,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 3,940 | $203,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092790 | QLTY FCTOR ETF | 5,843 | $203,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 14,020 | $202,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 8,161 | $202,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 872 | $201,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 10,534 | $201,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 31,258 | $201,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 14,908 | $200,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 8,973 | $200,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 12,316 | $200,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 16,433 | $199,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 43,067 | $197,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 10,762 | $193,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 12,763 | $193,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 11,182 | $192,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 18,268 | $190,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 19,964 | $188,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 15,699 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,769 | $185,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 31,662 | $185,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 13,136 | $184,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 10,289 | $183,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 35,731 | $183,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 78,181 | $183,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 35,076 | $183,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 13,041 | $182,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 13,388 | $181,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 96,705 | $181,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 14,497 | $180,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 17,553 | $179,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 14,964 | $179,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 115,760 | $179,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 11,953 | $177,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,484 | $176,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 11,972 | $176,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 10,386 | $173,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 10,376 | $173,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 26,365 | $173,000 | thousands by filing date | |
| ABRDN SILVER ETF TRUST | 003264108 | PHYSCL SILVR SHS | 11,474 | $171,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 10,141 | $170,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,707 | $169,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 21,744 | $167,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 31,900 | $166,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 20,007 | $165,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 25,600 | $163,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,901 | $162,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 15,828 | $162,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 15,120 | $161,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 14,368 | $161,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 11,544 | $159,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 39,875 | $159,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 11,800 | $158,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 21,941 | $158,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,493 | $157,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 33,067 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 12,189 | $155,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 12,500 | $154,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 10,914 | $154,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 10,031 | $149,000 | thousands by filing date | |
| QURATE RETAIL INC | 74915M100 | COM SER A | 11,949 | $148,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 13,047 | $147,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 11,480 | $147,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 29,390 | $147,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 27,715 | $147,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 15,610 | $146,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 22,655 | $145,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 12,675 | $145,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 12,688 | $143,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 12,580 | $143,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 12,054 | $142,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 11,783 | $141,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 174,044 | $141,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 45,903 | $140,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 12,271 | $140,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 11,016 | $140,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 10,787 | $140,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 17,124 | $139,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,370 | $138,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 24,313 | $138,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 11,934 | $137,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 18,341 | $134,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 22,300 | $134,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 52,979 | $134,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 15,028 | $133,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 16,266 | $133,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 12,380 | $133,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 77,615 | $133,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 26,950 | $130,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 30,142 | $129,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 12,774 | $129,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 11,054 | $127,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 10,251 | $124,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 125,000 | $124,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 12,018 | $123,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 11,471 | $122,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 10,933 | $122,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 72,862 | $122,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 47,188 | $120,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 12,225 | $119,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 10,705 | $115,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 65,943 | $115,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 13,900 | $112,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 14,581 | $111,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 39,111 | $110,000 | thousands by filing date | |
| NUVEEN HIGH INCOME 2020 TARG | 67075L102 | COM | 11,027 | $109,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 178,140 | $109,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 12,048 | $105,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 14,345 | $105,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 19,069 | $104,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 20,101 | $103,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 10,849 | $103,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 16,265 | $100,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 11,139 | $100,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 18,669 | $98,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 13,111 | $98,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 10,110 | $98,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,776 | $96,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 18,560 | $95,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 90,000 | $92,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 10,020 | $91,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 10,000 | $90,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 15,077 | $89,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 21,844 | $89,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 15,593 | $89,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 12,557 | $88,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,054 | $87,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 12,085 | $87,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 15,565 | $85,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 19,497 | $85,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 13,474 | $84,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 11,099 | $84,000 | thousands by filing date | |
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 11,200 | $80,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 11,473 | $79,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 11,400 | $79,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 15,680 | $78,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 10,877 | $77,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 12,171 | $77,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 13,161 | $76,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 16,090 | $75,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 14,174 | $73,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 12,647 | $72,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 16,458 | $70,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 12,100 | $66,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 14,447 | $66,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 24,973 | $65,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 26,521 | $65,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $64,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 42,017 | $63,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 37,550 | $63,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 10,044 | $62,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 13,287 | $57,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 66,125 | $57,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 27,267 | $56,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 59,015 | $56,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 13,100 | $54,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 45,877 | $53,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 11,075 | $53,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 20,000 | $52,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 10,576 | $49,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 35,776 | $49,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 12,658 | $46,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 11,102 | $44,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 10,623 | $44,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 44,000 | $44,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,729 | $41,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 12,700 | $41,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 41,000 | $41,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,849 | $40,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 13,419 | $40,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 13,175 | $39,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 04545L107 | COM | 11,308 | $39,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 12,794 | $38,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,057 | $38,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 12,565 | $36,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 16,474 | $36,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 17,290 | $36,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,436 | $35,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 11,574 | $35,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 15,075 | $34,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,677 | $34,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC COM | 039014204 | Stock | 10,973 | $34,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 44,750 | $32,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 20,900 | $31,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 16,106 | $28,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 19,045 | $27,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 16,640 | $27,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 25,000 | $26,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 12,925 | $25,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 10,800 | $24,000 | thousands by filing date | |
| TITAN MED INC | 88830X819 | COM | 10,381 | $24,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 13,600 | $23,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 46,090 | $20,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 10,804 | $19,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 10,016 | $19,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 31,350 | $17,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 13,320 | $17,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 13,000 | $16,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 18,100 | $16,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,000 | $15,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 11,650 | $14,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 14,700 | $13,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 11,587 | $13,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10,000 | $10,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 14,526 | $9,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 11,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-19-000007 | this filing | 2019-10-28 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001419186-19-000008 | base | 2019-11-06 | acceptance time not in the bulk data set |