13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-02, with 3,083 holding rows worth $20,253,883,000 by the sum of the rows.
- Accession
- 0001419186-21-000007
- Filer
- CIK 1419186
- Filed
- 2021-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 3,083 entries on the cover page, a total value of $20,253,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $20,253,883,000 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 $20,253,000, about 1/1,000 of the sum of the rows, $20,253,883,000. 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 |
|---|---|---|---|---|---|---|
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 13,488 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FORESIGHT AUTONOMOUS HLDGS L | 345523104 | SPONSORED ADS | 22,421 | $70,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CREDIT SUISSE NASSAU BRANCH | 22539T266 | XLINK CRD ETN37 | 12,939 | $69,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROMEO POWER INC | 776153108 | COM | 13,472 | $67,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 13,550 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MESOBLAST LTD F SPONSORED ADR 1 ADR REPS 10 ORD SHS | 590717104 | SPONS ADR | 11,000 | $66,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 64,000 | $65,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EPIZYME INC | 29428V104 | COM | 12,500 | $64,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIEMED HEALTHCARE INC | 92663R105 | COM | 11,340 | $63,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 64,849 | $63,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 11,755 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADVENT TECHNOLOGIES HOLDNG I | 00788A113 | *W EXP 02/03/202 | 39,000 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 10,431 | $61,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ENDO INTL PLC | G30401106 | SHS | 18,405 | $60,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBALSTAR INC | 378973408 | COM | 35,204 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LENDINGTREE INC | 52603BAD9 | NOTE 0.500% 7/1 | 69,000 | $59,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAKED BRAND GROUP LIMITED | Q6519T117 | SHS NEW | 80,901 | $57,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 11,642 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 11,100 | $56,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RESEARCH FRONTIERS INC | 760911107 | COM | 21,466 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHICOS FAS INC | 168615102 | COM | 11,973 | $54,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SENSEONICS HLDGS INC | 81727U105 | COM | 15,370 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CARLOTZ INC | 142552108 | COMMON STOCK | 13,601 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SECOND SIGHT MED PRODS INC | 81362J209 | CMN | 16,148 | $52,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIRNETX HLDG CORP | 92823T108 | COM | 12,587 | $49,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VIVOS THERAPEUTICS INC | 92859E108 | COM | 12,000 | $48,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 14,585 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PHX MINERALS INC CL A | 69291A100 | Stock | 15,467 | $47,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ORGANIGRAM GLOBAL ORD | 68620P101 | COM | 19,776 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CONFORMIS INC | 20717E101 | COM | 34,525 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514111 | *W EXP 09/26/202 | 26,000 | $46,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 20,002 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLDEN STAR RES LTD CDA | 38119T807 | COM | 18,768 | $45,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BM TECHNOLOGIES INC | 05591L115 | *W EXP 01/04/202 | 29,400 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WAITR HLDGS INC | 930752100 | COM | 49,649 | $44,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 11,023 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| W & T OFFSHORE INC | 92922P106 | COM | 10,668 | $40,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRESIDIO PPTY TR INC | 74102L303 | COM CL A | 10,045 | $38,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 10,000 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Hive Blockchain Technologies L | 43366H100 | COM | 13,346 | $36,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MIND MEDICINE (MINDMED) INC | 60255C109 | COMMON STOCK-FO | 14,430 | $34,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| POLARITYTE INC | 731094108 | COM | 51,382 | $33,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 11,727 | $31,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIERRA METALS INC | 82639W106 | COM | 15,468 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VENUS CONCEPT INC | 92332W105 | COM | 11,300 | $28,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 10,000 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 15,400 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AVALO THERAPEUTICS INC | 05338F108 | CMN | 12,164 | $27,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEXO CORP | 428304307 | COM NEW | 14,358 | $26,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CBAK ENERGY TECHNOLOGY INC | 14986C102 | COM | 10,700 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 24,183 | $25,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 25,000 | $23,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IDEANOMICS INC | 45166V106 | COM | 11,245 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HILL INTERNATIONAL INC | 431466101 | COM | 10,000 | $21,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 15,499 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEXTPLAY TECHNOLOGIES INC | 65344G102 | COM | 15,000 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EBANG INTL HLDGS INC | G3R33A106 | CL A SHS | 10,400 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 20,000 | $20,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PAYSAFE LIMITED | G6964L115 | *W EXP 03/30/202 | 10,500 | $19,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TTOO | 89853L104 | Stock | 19,465 | $18,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SOLITARIO RESOURCES CORP | 8342EP107 | COM | 30,765 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CNS PHARMACEUTICALS INC | 18978H102 | COM | 11,250 | $17,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 10,386 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEWAGE INC | 650194103 | COMMON STOCK | 11,290 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| IBIO INC | 451033203 | COM NEW | 14,825 | $16,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 33,100 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW GOLD INC CDA | 644535106 | COM | 14,319 | $15,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 14,000 | $14,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 17,775 | $13,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THERAPEUTICSMD INC | 88338N107 | COM | 15,388 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES CAPITAL CORP | 04010LAT0 | NOTE 3.750% 2/0 | 10,000 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 20,800 | $11,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREAT PANTHER MINING | 39115V101 | COM | 22,775 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 10,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 10,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TANZANIAN GOLD CORP | 87601A107 | COM | 20,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 16,711 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REGULUS THERAPEUTICS INC | 75915K200 | COM NEW | 14,000 | $10,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TALKSPACE INC | 87427V111 | *W EXP 06/21/202 | 10,550 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PULMATRIX INC COM | 74584P202 | Stock | 10,197 | $8,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROCKWELL MED INC | 774374102 | COM | 10,945 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TOUGHBUILT INDS INC COM | 89157G504 | COM | 10,000 | $5,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-21-000007 | this filing | 2021-11-02 | acceptance time not in the bulk data set |