13F-HR filed by Raymond James Financial Services Advisors, Inc.
Raymond James Financial Services Advisors, Inc. filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-11-14, with 2,810 holding rows worth $22,121,649,000.
- Accession
- 0001462284-18-000010
- Filer
- CIK 1462284
- Filed
- 2018-11-14
- 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, 2,823 entries on the cover page, a total value of $22,121,649,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $22,121,649,000 with VALUE read as thousands by filing date, 13F file number 028-13494. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| OWENS CORNING NEW | 690742101 | COM | 3,853 | $209,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,302 | $209,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 1,294 | $209,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 162,838 | $208,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 8,077 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 2,945 | $208,000 | thousands by filing date | |
| PBF LOGISTICS LP | 69318Q104 | UNIT LTD PTNR | 9,666 | $208,000 | thousands by filing date | |
| INVESCO DORSEY WRIGHT INDUSTRIALS MOMENTUM ETF | 46137V845 | ETF | 3,236 | $208,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 3,350 | $208,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 203,756 | $208,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 14,372 | $207,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 20,034 | $207,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 18,723 | $207,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 3,464 | $207,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 9,917 | $207,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 11,957 | $207,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 4,237 | $207,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 7,686 | $207,000 | thousands by filing date | |
| ISHARES INC | 464286285 | JP MRGN EM HI BD | 4,469 | $206,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,540 | $206,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 6,326 | $205,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 4,458 | $205,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 22,906 | $205,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 7,525 | $205,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P607 | NUVEEN ESG SMLCP | 6,468 | $204,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 8,425 | $204,000 | thousands by filing date | |
| INVESCO BULLETSHARES 2026 CORPORATE BOND ETF | 46138J791 | ETF | 10,881 | $204,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 6,462 | $203,000 | thousands by filing date | |
| VANECK VECTORS HIGH INCOME INFRASTRUCTURE MLP ETF | 92189F569 | ETF | 15,461 | $203,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 4,528 | $202,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 41,703 | $202,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 19,945 | $202,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 5,599 | $202,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E610 | KBW HIG DV YLD | 8,801 | $201,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 11,081 | $201,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 16,223 | $198,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 105,031 | $197,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 15,045 | $192,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,985 | $190,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 14,243 | $190,000 | thousands by filing date | |
| JONES ENERGY INC | 48019R306 | CL A NEW | 31,659 | $190,000 | thousands by filing date | |
| SONOS INC | 83570H108 | COM | 11,695 | $188,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 15,000 | $188,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,435 | $187,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 14,225 | $187,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 37,657 | $187,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,024 | $187,000 | thousands by filing date | |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 13,761 | $187,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 21,605 | $186,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 33,269 | $186,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 13,210 | $185,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 25,569 | $185,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 11,532 | $184,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 25,497 | $184,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 14,958 | $184,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 12,232 | $183,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 103,266 | $182,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 16,459 | $182,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 10,445 | $181,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 22,975 | $181,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 26,232 | $181,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 16,200 | $180,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 28,378 | $180,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 12,508 | $179,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 38,090 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 13,457 | $177,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 14,155 | $176,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 13,019 | $176,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 35,082 | $175,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 46,250 | $174,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 23,601 | $172,000 | thousands by filing date | |
| LAKE SHORE BANCORP INC | 510700107 | COM | 10,374 | $171,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 23,204 | $170,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 20,323 | $169,000 | thousands by filing date | |
| TEGNA INC COM | 87901J105 | Stock | 13,951 | $167,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 12,367 | $167,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 20,772 | $167,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 17,267 | $167,000 | thousands by filing date | |
| HUAMI CORP | 44331K103 | SPONSORED ADS | 15,585 | $167,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 59,587 | $166,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 20,861 | $165,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 21,918 | $164,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 15,697 | $164,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 47,020 | $163,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 17,181 | $163,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 13,025 | $162,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 46,588 | $161,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 13,000 | $160,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 24,325 | $159,000 | thousands by filing date | |
| MOGO FIN TECHNOLOGY INC | 608008108 | COM | 51,591 | $159,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 15,700 | $157,000 | thousands by filing date | put |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,442 | $155,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 11,075 | $155,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 12,875 | $154,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 23,860 | $153,000 | thousands by filing date | |
| CLIPPER REALTY INC | 18885T306 | COM | 11,286 | $153,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 14,400 | $152,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 12,300 | $152,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 61,054 | $152,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 64,320 | $151,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 14,261 | $150,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 12,030 | $149,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 184,900 | $148,000 | thousands by filing date | call |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 12,438 | $148,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 23,700 | $147,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 12,682 | $147,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V670 | DYNMC OIL GAS | 14,476 | $146,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 314,440 | $145,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 20,275 | $144,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 10,028 | $143,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 11,064 | $142,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 14,067 | $142,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 11,375 | $142,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 18,231 | $141,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 31,000 | $141,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 13,427 | $139,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 10,622 | $136,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 20,824 | $136,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 21,847 | $135,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 10,169 | $134,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 11,014 | $134,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 15,510 | $133,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 18,575 | $131,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 158,463 | $130,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,344 | $129,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 34,083 | $128,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 12,400 | $127,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 29,305 | $126,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 19,675 | $126,000 | thousands by filing date | |
| INVESCO EXCHNG TRADED FD TR | 46138E271 | S&P GLOBL DIVI | 11,400 | $125,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 218,379 | $122,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 22,200 | $122,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 12,171 | $122,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 24,505 | $121,000 | thousands by filing date | |
| HIGH INCOME SECS FD | 42968F108 | SHS BEN INT | 12,766 | $121,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 20,271 | $121,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 13,000 | $121,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 100,900 | $120,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761U106 | COM | 21,947 | $119,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 11,579 | $118,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 29,302 | $117,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 30,000 | $116,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 13,504 | $115,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 23,000 | $115,000 | thousands by filing date | put |
| CENOVUS ENERGY INC | 15135U109 | COM | 11,439 | $115,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 18,006 | $115,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 42,200 | $113,000 | thousands by filing date | put |
| AVID BIOSERVICES INC | 05368M106 | COM | 16,303 | $112,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 19,158 | $111,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 64,994 | $110,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 105,000 | $109,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 35,900 | $107,000 | thousands by filing date | call |
| YRC WORLDWIDE INC | 984249607 | COM | 11,911 | $107,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 13,300 | $105,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 10,403 | $104,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 29,000 | $104,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 11,863 | $103,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 12,757 | $103,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 15,982 | $102,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 24,029 | $101,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 17,340 | $101,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 15,683 | $99,000 | thousands by filing date | |
| VIVEVE MED INC | 92852W204 | COM NEW | 36,886 | $99,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,763 | $98,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 16,360 | $92,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 13,763 | $90,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 13,500 | $90,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 19,888 | $90,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 28,020 | $89,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 10,769 | $89,000 | thousands by filing date | |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 17,000 | $89,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 21,954 | $88,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 58,970 | $87,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 10,809 | $86,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 26,358 | $85,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 21,520 | $82,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 18,651 | $82,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 71,032 | $82,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 17,551 | $81,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 13,030 | $81,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 60,000 | $81,000 | thousands by filing date | principal |
| GENWORTH FINL INC | 37247D106 | COM SHS | 18,761 | $78,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 21,110 | $78,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 18,200 | $77,000 | thousands by filing date | call |
| KINROSS GOLD CORP | 496902404 | COM | 28,542 | $77,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 24,157 | $73,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 11,364 | $73,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 11,869 | $73,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 41,500 | $73,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 20,881 | $72,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 75,000 | $72,000 | thousands by filing date | principal |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 11,698 | $70,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 20,142 | $70,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 33,000 | $70,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 45,000 | $70,000 | thousands by filing date | principal |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 37,567 | $69,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 11,544 | $69,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 50,125 | $69,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 16,767 | $68,000 | thousands by filing date | |
| BLUE APRON HLDGS INC | 09523Q101 | CL A | 39,565 | $68,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 19,484 | $66,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 13,600 | $65,000 | thousands by filing date | call |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 21,800 | $65,000 | thousands by filing date | call |
| IAMGOLD CORP COM | 450913108 | Stock | 17,062 | $63,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 15,031 | $63,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 12,900 | $60,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 14,362 | $60,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 15,900 | $59,000 | thousands by filing date | call |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,360 | $59,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 15,007 | $58,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 10,483 | $57,000 | thousands by filing date | |
| SEVEN STARS CLOUD GROUP INC | 81789Y102 | COM | 15,000 | $57,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 46,430 | $55,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10,082 | $54,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 28,092 | $54,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 22,300 | $51,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 11,051 | $51,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 11,899 | $51,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 31,755 | $50,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 10,105 | $49,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 10,907 | $49,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 161,100 | $48,000 | thousands by filing date | |
| RESONANT INC | 76118L102 | COM | 11,635 | $47,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 10,071 | $46,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 11,789 | $44,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 15,250 | $42,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 29,100 | $41,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 31,533 | $40,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 11,428 | $39,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 28,100 | $38,000 | thousands by filing date | call |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 22,100 | $38,000 | thousands by filing date | call |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 18,747 | $37,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 19,631 | $37,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 15,000 | $37,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 12,825 | $36,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 16,065 | $36,000 | thousands by filing date | |
| KINGSWAY CORP | 496904202 | COMMON STOCK | 12,400 | $35,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,675 | $35,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 17,591 | $34,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 22,180 | $34,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 23,075 | $33,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 64,788 | $33,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 15,000 | $33,000 | thousands by filing date | |
| BLINK CHARGING CO | 09354A100 | COM | 12,733 | $31,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 21,354 | $30,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 25,700 | $27,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 13,000 | $27,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 11,800 | $26,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 16,200 | $26,000 | thousands by filing date | call |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 10,918 | $25,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 15,120 | $25,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 14,617 | $25,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,400 | $24,000 | thousands by filing date | |
| PROTEON THERAPEUTICS INC | 74371L109 | COM | 12,300 | $24,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 21,500 | $23,000 | thousands by filing date | call |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 11,590 | $23,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 10,233 | $23,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 21,900 | $23,000 | thousands by filing date | |
| ASTERIAS BIOTHERAPEUTICS INC | 04624N107 | COM SER A | 17,938 | $23,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 20,000 | $22,000 | thousands by filing date | principal |
| Ocugen | 43358V109 | Common | 41,000 | $22,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 20,000 | $22,000 | thousands by filing date | principal |
| STELLAR BIOTECHNOLOGIES INC | 85855A302 | COM | 15,063 | $21,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 11,061 | $20,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 20,000 | $20,000 | thousands by filing date | principal |
| MOLECULIN BIOTECH INC | 60855D101 | COM | 12,704 | $20,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 14,000 | $19,000 | thousands by filing date | call |
| BP PLC SPONSORED ADR | 055622104 | ADR | 63,900 | $19,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 12,037 | $19,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 20,100 | $19,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 19,876 | $19,000 | thousands by filing date | |
| IZEA WORLDWIDE INC COM NEW | 46604H105 | Stock | 11,035 | $18,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 17,815 | $18,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 27,800 | $17,000 | thousands by filing date | call |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 10,600 | $17,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 13,000 | $16,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 15,000 | $15,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 35,600 | $14,000 | thousands by filing date | call |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 12,000 | $14,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 20,900 | $13,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 26,000 | $13,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 29,212 | $13,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 17,200 | $13,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 12,000 | $12,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 11,000 | $12,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 14,210 | $11,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 12,000 | $11,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 11,000 | $11,000 | thousands by filing date | principal |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 11,000 | $11,000 | thousands by filing date | principal |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 17,500 | $9,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N201 | COM NEW | 14,928 | $9,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078207 | COM NEW | 12,500 | $9,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 10,400 | $8,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 30,200 | $8,000 | thousands by filing date | put |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 16,000 | $7,000 | thousands by filing date | call |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 14,403 | $7,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCM T | 353793110 | RIGHT 10/18/2018 | 69,342 | $6,000 | thousands by filing date | |
| EYEGATE PHARMACEUTICALS INC | 30233M107 | COM | 15,000 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 20,300 | $4,000 | thousands by filing date | call |
| Eaton Corp. Plc | G29183103 | COM | 11,600 | $3,000 | thousands by filing date | call |
| Verizon Communications Inc | 92343V104 | COM | 14,300 | $2,000 | thousands by filing date | call |
| USBANCORPDEL | 902973304 | COM NEW | 12,400 | $2,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 41,000 | $2,000 | thousands by filing date | call |
| iShares Silver Trust | 46428Q109 | COM | 40,500 | $1,000 | thousands by filing date | call |
| SYNCHRONYFINL | 87165B103 | STOK | 10,300 | $1,000 | thousands by filing date | call |
| KRAFT HEINZ CO COM | 500754106 | Stock | 10,400 | $1,000 | thousands by filing date | call |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 15,200 | $1,000 | thousands by filing date | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 14,400 | $1,000 | thousands by filing date | call |
| Helios and Matheson Analytics Inc | 42327L309 | Common Stock | 11,675 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 45,794 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001462284-18-000010 | this filing | 2018-11-14 | acceptance time not in the bulk data set |