13F-HR/A filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR/A for the quarter ended 2019-09-30, filed 2019-11-06, with 2,339 holding rows worth $11,392,183,000 by the sum of the rows.
- Accession
- 0001419186-19-000008
- Filer
- CIK 1419186
- Filed
- 2019-11-06
- 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, amendment of type restatement, 2,339 entries on the cover page, a total value of $11,392,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,392,183,000 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 $11,392,000, about 1/1,000 of the sum of the rows, $11,392,183,000. 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 |
|---|---|---|---|---|---|---|
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 3,434 | $236,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 32,545 | $235,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 166,421 | $235,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,003 | $235,000 | thousands by filing date | |
| AMCOR PLC | G0250X107 | ORD | 24,030 | $234,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X475 | ST STR MSCI GLB | 5,853 | $234,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 4,642 | $234,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108102 | CMN | 5,007 | $234,000 | thousands by filing date | |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 4,505 | $233,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 1,860 | $233,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 10,455 | $233,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 4,084 | $232,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 9,450 | $232,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 2,189 | $232,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 11,335 | $232,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 13,632 | $232,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 7,788 | $231,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 29,525 | $231,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 3,875 | $231,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 1,690 | $230,000 | thousands by filing date | |
| PINTEREST INC CL A | 72352L106 | Stock | 8,682 | $230,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 6,327 | $230,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,075 | $230,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 6,467 | $229,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 5,330 | $229,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V399 | S&P500 BUY WRT | 10,573 | $229,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 21,478 | $229,000 | thousands by filing date | |
| Proshares VIX Short-Term | 74347W171 | Equity | 11,725 | $229,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 15,281 | $228,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 37,964 | $227,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 1,885 | $226,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 24,400 | $226,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED ETF | 46090A200 | BLNCD MLTI AST | 16,095 | $226,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 4,210 | $225,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 10,235 | $225,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G707 | VIRTUS NEWFLEET | 9,178 | $225,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCH TRD FD TR GLOBAL WATER PORT | 46138E651 | ETF | 8,077 | $225,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738R787 | DEVELOPED INTL | 4,507 | $225,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 11,174 | $224,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 13,279 | $224,000 | thousands by filing date | |
| PACER TRENDPILOT FUND OF FUNDS ETF | 69374H675 | ETF | 8,938 | $224,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 12,879 | $224,000 | thousands by filing date | |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 3,746 | $223,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V806 | MFS SYS COR EQ | 2,702 | $223,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 2,897 | $222,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 3,922 | $222,000 | thousands by filing date | |
| HARTFORD MULTIFACTOR EMERGING MARKETS ETF | 518416201 | ETF | 10,059 | $222,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E834 | DWA TACTCL MLT | 8,640 | $222,000 | thousands by filing date | |
| ATLANTIC UN BANKSHARES CORP COM | 04911A107 | Stock | 5,925 | $221,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 14,167 | $221,000 | thousands by filing date | |
| ISHARES TR | 46432F370 | MSCI USA SZE FT | 2,434 | $221,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 6,967 | $221,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,040 | $220,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 31,894 | $219,000 | thousands by filing date | |
| VORNADO RLTY TR | 929042109 | SH BEN INT | 3,434 | $219,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 36,996 | $219,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J635 | INVSCO BLSH 26 | 8,488 | $219,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 6,178 | $218,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A503 | VIDENT US EQUITY | 7,053 | $218,000 | thousands by filing date | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 10,675 | $216,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 15,650 | $216,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 6,441 | $215,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 16,983 | $215,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 4,952 | $215,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 11,093 | $215,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 26,747 | $215,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E708 | DIVIDEND STRNGTH | 6,392 | $215,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 18,700 | $214,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,566 | $214,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 3,881 | $213,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,516 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 3,315 | $212,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 8,007 | $212,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 12,638 | $211,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 11,724 | $211,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 15,108 | $211,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 5,601 | $210,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 4,009 | $210,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 8,927 | $210,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 3,169 | $210,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 4,096 | $209,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 2,933 | $209,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 3,813 | $209,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 4,903 | $209,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 3,559 | $208,000 | thousands by filing date | |
| IONIS PHARMACEUTICALS INC COM | 462222100 | Stock | 3,468 | $208,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 6,523 | $208,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 2,337 | $208,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 2,944 | $208,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 2,148 | $208,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 18,278 | $207,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 11,775 | $207,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 2,802 | $207,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 992 | $207,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 22,920 | $207,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 2,483 | $206,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P409 | NUVEEN ESG MIDCP | 6,295 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717Y857 | US MULTIFACTOR | 6,806 | $206,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 2,207 | $205,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 2,304 | $205,000 | thousands by filing date | |
| SSR MINING IN | 784730103 | COM | 14,155 | $205,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 4,361 | $205,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 10,926 | $205,000 | thousands by filing date | |
| INVESCO S&P MIDCAP 400 GARP ETF | 46137V225 | ETF | 3,240 | $205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 5,964 | $205,000 | thousands by filing date | |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 4,437 | $204,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 23,016 | $204,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 13,247 | $204,000 | thousands by filing date | |
| MERCADOLIBREINC | 58733R102 | STOK | 368 | $203,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 1,800 | $203,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 1,956 | $203,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 1,724 | $203,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 6,137 | $203,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 15,710 | $203,000 | thousands by filing date | |
| iShares iBonds Dec. 2028 Corporate Bond ETF | 46435U515 | ETF | 7,309 | $203,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 1,332 | $202,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 1,443 | $202,000 | thousands by filing date | |
| VANGUARD WELLINGTON FD | 921935607 | US MULTIFACTOR | 2,666 | $202,000 | thousands by filing date | |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 14,026 | $201,000 | thousands by filing date | |
| STERIS PLC SHS USD | G8473T100 | Stock | 1,390 | $201,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 5,633 | $201,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 15,542 | $201,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 2,400 | $201,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 2,824 | $201,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 9,424 | $201,000 | thousands by filing date | |
| LEVI STRAUSS & CO NEW CL A COM STK | 52736R102 | Stock | 10,527 | $200,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 6,113 | $200,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 22,822 | $200,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 19,023 | $199,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 21,816 | $198,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 24,918 | $198,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 86,744 | $197,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D332 | VELOCITY SHS DAI | 14,520 | $197,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 16,335 | $194,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 24,537 | $192,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,793 | $192,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 37,050 | $192,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 73,656 | $191,000 | thousands by filing date | |
| ELLINGTON FINANCIAL INC | 28852N109 | COM | 10,427 | $188,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 12,763 | $188,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 14,572 | $186,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 64,590 | $185,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q886 | COM | 12,346 | $182,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 14,770 | $182,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 15,977 | $179,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 15,032 | $178,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 12,550 | $175,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,732 | $174,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 11,216 | $174,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 23,480 | $173,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 175,000 | $173,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 15,991 | $172,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 27,644 | $171,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,418 | $170,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 29,831 | $169,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 10,403 | $169,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 53,124 | $169,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,160 | $168,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 12,129 | $167,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 15,828 | $166,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 13,103 | $165,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 10,582 | $164,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 10,703 | $163,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 14,317 | $163,000 | thousands by filing date | |
| World Gold TR | 98149E204 | SPRD GLD Minis | 11,110 | $163,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 21,000 | $163,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 35,015 | $161,000 | thousands by filing date | |
| ALJ REGIONAL HOLDINGS INC | 001627108 | COM | 115,760 | $161,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 21,392 | $158,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 10,376 | $158,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 34,262 | $157,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 12,729 | $155,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 13,406 | $154,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 11,816 | $154,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 11,934 | $153,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 15,841 | $153,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 29,150 | $153,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 10,338 | $149,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 11,405 | $149,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 15,010 | $148,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 36,461 | $147,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 13,016 | $147,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 15,349 | $146,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 11,131 | $146,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 45,318 | $146,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 12,765 | $143,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 10,400 | $143,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 46,144 | $141,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 09259E108 | COM | 10,303 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 10,222 | $139,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 38,875 | $139,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 18,430 | $139,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 11,770 | $139,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 10,387 | $138,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 20,500 | $138,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 14,000 | $138,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 20,301 | $136,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 12,400 | $135,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 14,536 | $132,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 77,615 | $132,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 16,212 | $130,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 10,899 | $130,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 12,380 | $130,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 11,000 | $128,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 75,562 | $128,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 13,989 | $127,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 12,573 | $126,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 11,483 | $126,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 12,083 | $126,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,616 | $125,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 29,961 | $124,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 33,971 | $123,000 | thousands by filing date | |
| SILVERCREST METALS INC | 828363101 | COM | 23,351 | $122,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 30,381 | $120,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 112,000 | $118,000 | thousands by filing date | |
| RESTORATION ROBOTICS INC | 76133C103 | COM | 178,140 | $116,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 10,305 | $113,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 12,189 | $113,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 20,590 | $110,000 | thousands by filing date | |
| HENNESSY ADVISORS INC | 425885100 | COM | 10,110 | $109,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 10,212 | $108,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 17,224 | $108,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 11,526 | $107,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 20,147 | $106,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 12,800 | $106,000 | thousands by filing date | |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 30,848 | $106,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827128 | CL A | 10,100 | $104,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 11,203 | $103,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 18,780 | $103,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 11,166 | $102,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 16,366 | $102,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 16,728 | $97,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138G607 | SHIPPING ETF | 11,029 | $97,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 90,000 | $95,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 14,345 | $94,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10,793 | $93,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 11,925 | $92,000 | thousands by filing date | |
| NIO INC SPON ADS | 62914V106 | ADR | 57,751 | $90,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 12,557 | $88,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 15,635 | $88,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 18,676 | $86,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 13,624 | $83,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,944 | $83,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 20,000 | $81,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 17,972 | $80,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 92,711 | $79,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 12,650 | $79,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 15,097 | $78,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 22,288 | $77,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 18,026 | $76,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 11,404 | $76,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 11,048 | $74,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 12,845 | $72,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 10,668 | $71,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 45,780 | $71,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 39,111 | $68,000 | thousands by filing date | |
| GEMPHIRE THERAPEUTICS INC | 36870A108 | COM | 176,544 | $67,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 16,794 | $66,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 10,513 | $66,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 12,550 | $66,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 19,367 | $64,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 12,100 | $63,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 59,140 | $63,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 18,669 | $61,000 | thousands by filing date | |
| OPTION CARE HEALTH INC | 68404L102 | COM | 18,786 | $60,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $59,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 12,500 | $58,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 48,017 | $58,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,916 | $57,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 15,137 | $57,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 44,757 | $56,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,342 | $56,000 | thousands by filing date | |
| MYOVANT SCIENCES LTD | G637AM102 | COMMON STOCK-FO | 10,725 | $56,000 | thousands by filing date | |
| MCDERMOTT INTL INC COM | 580037703 | Stock | 27,201 | $55,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 17,410 | $54,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 16,262 | $54,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,900 | $53,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 11,023 | $52,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N105 | CLASS A COM | 10,319 | $52,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 29,954 | $52,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 10,929 | $50,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 37,550 | $50,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 44,700 | $48,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 11,380 | $48,000 | thousands by filing date | |
| NEW AGE BEVERAGES CORP | 64157V108 | COM | 17,335 | $48,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 59,375 | $47,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 17,456 | $46,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 26,266 | $46,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 44,000 | $45,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 15,119 | $43,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 14,450 | $41,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 41,000 | $41,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 11,102 | $40,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 11,621 | $39,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 17,084 | $39,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 12,219 | $39,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 14,057 | $38,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,677 | $37,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X204 | COM NEW | 47,100 | $37,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721407 | COM | 12,618 | $37,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 13,419 | $35,000 | thousands by filing date | |
| CannTrust Holdings Inc | 137800207 | Common / Ordinary Stock | 31,315 | $35,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 11,235 | $34,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,729 | $32,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 11,574 | $32,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 13,100 | $30,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 14,599 | $30,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 11,235 | $30,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 22,007 | $30,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 25,000 | $29,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 10,260 | $28,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 11,887 | $28,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 12,925 | $28,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 12,994 | $27,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 10,800 | $26,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 13,273 | $26,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 19,045 | $25,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 35,645 | $22,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 51,350 | $21,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 12,700 | $21,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 11,509 | $20,000 | thousands by filing date | |
| NAUTILUS INC | 63910B102 | COMMON STOCK | 15,000 | $20,000 | thousands by filing date | |
| RTW RETAILWINDS INC | 74980D100 | COM | 13,600 | $19,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 53,107 | $17,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 16,640 | $16,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 13,320 | $16,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 73,811 | $16,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 13,000 | $15,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 13,493 | $12,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 13,580 | $12,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 10,511 | $12,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 14,700 | $10,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10,000 | $10,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 18,100 | $10,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 15,000 | $9,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 10,587 | $9,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 15,000 | $8,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 14,968 | $7,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 11,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-19-000007 | superseded | 2019-10-28 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001419186-19-000008 | this filing | 2019-11-06 | acceptance time not in the bulk data set |