13F-HR filed by Raymond James Financial Services Advisors, Inc.
Raymond James Financial Services Advisors, Inc. filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-04, with 2,877 holding rows worth $35,042,780,000.
- Accession
- 0001462284-20-000006
- Filer
- CIK 1462284
- Filed
- 2020-11-04
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 2,896 entries on the cover page, a total value of $35,042,780,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $35,042,780,000 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 |
|---|---|---|---|---|---|---|
| WAFD INC | 938824109 | COM | 10,239 | $214,000 | thousands by filing date | |
| MILLICOM INTL CELLULAR S A | L6388F110 | COM STK | 7,065 | $214,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V753 | FOOD & BEVERAGE | 6,534 | $214,000 | thousands by filing date | |
| UBS AG LONDON BRANCH | 902677780 | NT LKD 24 | 472 | $214,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 1,623 | $213,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q528 | DYNAM US ETF | 6,084 | $213,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 4,346 | $212,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,007 | $212,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 3,584 | $211,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 1,178 | $211,000 | thousands by filing date | |
| JPMORGAN INT BOND OPPORTUNITIE | 46641Q852 | INTL BD OPP ETF | 4,200 | $211,000 | thousands by filing date | |
| CARDLYTICS INC | 14161W105 | COM | 2,989 | $211,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 4,537 | $211,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 8,205 | $211,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 23,975 | $209,000 | thousands by filing date | |
| NUSHARES ETF TR | 67092P805 | NUVEEN ESG INTL | 8,177 | $209,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,808 | $209,000 | thousands by filing date | |
| NORTH AMERN CONSTR GROUP LTD | 656811106 | COM | 32,047 | $209,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 1,066 | $207,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 4,726 | $207,000 | thousands by filing date | |
| NLIGHT INC | 65487K100 | COM | 8,817 | $207,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 23,096 | $207,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 15,106 | $207,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 14,707 | $206,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 1,889 | $206,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 20,742 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 3,694 | $206,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 19,861 | $206,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 13,726 | $205,000 | thousands by filing date | |
| SITIME CORP COM | 82982T106 | Stock | 2,434 | $205,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 6,211 | $205,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 6,193 | $205,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 18,874 | $205,000 | thousands by filing date | |
| Inflarx Nv | N44821101 | COM | 47,961 | $204,000 | thousands by filing date | |
| ISHARES TR | 46435U168 | IBONDS 25 TRM HG | 8,440 | $204,000 | thousands by filing date | |
| ISHARES TR | 46435U184 | IBONDS 24 TRM HG | 8,680 | $204,000 | thousands by filing date | |
| JOHN HANCOCK MULTIFACTOR HEALTHCARE ETF | 47804J503 | ETF | 5,120 | $204,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 8,016 | $203,000 | thousands by filing date | |
| TRADEWEB MKTS INC CL A | 892672106 | Stock | 3,494 | $203,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 10,670 | $203,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 18,486 | $203,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 18,824 | $203,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 3,723 | $202,000 | thousands by filing date | |
| AUDIOEYE INC | 050734201 | COM NEW | 13,831 | $202,000 | thousands by filing date | |
| CANTEL MEDICAL CORP | 138098108 | COM | 4,604 | $202,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G672 | S&P MDCP 400 REV | 3,743 | $202,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 8,035 | $202,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,902 | $200,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 82,009 | $200,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 4,736 | $200,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 20,742 | $198,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 113,375 | $197,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 16,567 | $197,000 | thousands by filing date | |
| SIENTRA INC | 82621J105 | COM | 57,698 | $196,000 | thousands by filing date | |
| KKR REAL ESTATE FIN TR INC | 48251K100 | COM | 11,823 | $195,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 32,639 | $195,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 12,184 | $195,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 19,281 | $195,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 13,375 | $194,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 13,909 | $190,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 13,300 | $189,000 | thousands by filing date | |
| DOUBLELINE YIELD OPPORTUNITI | 25862D105 | COM | 10,257 | $188,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 17,116 | $187,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 44,900 | $186,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 47,900 | $185,000 | thousands by filing date | put |
| JERNIGAN CAP INC | 476405105 | COM | 10,770 | $185,000 | thousands by filing date | |
| CORNERSTONE BLDG BRANDS INC | 21925D109 | COM | 23,132 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 12,095 | $184,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 46,026 | $182,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 10,099 | $182,000 | thousands by filing date | |
| BAKER HUGHES COMPANY CL A | 05722G100 | Stock | 13,647 | $181,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 10,679 | $181,000 | thousands by filing date | |
| LITHIUM AMERS CORP NEW | 53680Q207 | COM NEW | 15,938 | $181,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 12,770 | $181,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 17,500 | $179,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 12,488 | $179,000 | thousands by filing date | |
| MANCHESTER UTD PLC NEW | G5784H106 | CMN | 12,341 | $179,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 12,656 | $177,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 18,777 | $177,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646301 | COM NEW | 10,265 | $177,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 61,627 | $176,000 | thousands by filing date | |
| CATALYST BIOSCIENCES INC | 14888D208 | COM | 39,948 | $172,000 | thousands by filing date | |
| RENOVARE ENVIRONMENTAL I | 09074B107 | COM | 118,685 | $172,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,111 | $169,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 18,690 | $168,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,633 | $168,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 27,293 | $168,000 | thousands by filing date | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 45,756 | $167,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 13,807 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,775 | $164,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 18,864 | $164,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 14,545 | $163,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 18,337 | $162,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 19,333 | $162,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 10,678 | $161,000 | thousands by filing date | |
| AKUMIN INC | 01021F109 | COM | 50,000 | $161,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 21,014 | $160,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 13,992 | $159,000 | thousands by filing date | |
| GENCO SHIPPING TRADING LTD | Y2685T131 | COMMON STOCK | 23,000 | $159,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 11,331 | $159,000 | thousands by filing date | |
| MICHAELS COS INC | 59408Q106 | COM | 16,414 | $158,000 | thousands by filing date | |
| HIGHLAND GLOBAL ALLOCATION F | 43010T104 | COM | 25,212 | $156,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 12,235 | $156,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 10,069 | $155,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q205 | COM | 21,381 | $154,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 25,330 | $153,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 45,816 | $153,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 25,000 | $152,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 33,950 | $152,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 108,704 | $151,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 11,324 | $150,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 12,279 | $150,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 11,968 | $149,000 | thousands by filing date | |
| COLUMBIA FINANCIAL INC | 197641103 | COMMON STOCK | 13,323 | $148,000 | thousands by filing date | |
| BRIGHAM MINERALS INC | 10918L103 | COMMON STOCK | 16,504 | $147,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 15,137 | $146,000 | thousands by filing date | |
| TORTOISE MIDSTREAM ENERGY FUND | 89148B200 | COM | 10,038 | $145,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 10,286 | $145,000 | thousands by filing date | |
| ISHARES INC | 464286343 | US PWR INFRA ETF | 13,884 | $145,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 67,500 | $144,000 | thousands by filing date | put |
| RANGE RES CORP COM | 75281A109 | Stock | 21,718 | $144,000 | thousands by filing date | |
| BLUE OWL CAPITAL CORPORATION COM | 69121K104 | CEF | 11,947 | $144,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 23,413 | $143,000 | thousands by filing date | |
| DELEK US HLDGS INC NEW COM | 24665A103 | Stock | 12,873 | $143,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 44,546 | $142,000 | thousands by filing date | |
| GEOSPACE TECHNOLOGIES CORP | 37364X109 | COM | 22,759 | $141,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 13,422 | $140,000 | thousands by filing date | |
| SURO CAP CORP | 86887Q109 | COM NEW | 12,925 | $140,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 12,775 | $139,000 | thousands by filing date | |
| POLYMET MNG CORP | 731916409 | COM | 37,728 | $139,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 11,564 | $138,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 14,277 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 10,760 | $137,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 170,000 | $137,000 | thousands by filing date | principal |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,700 | $136,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 10,535 | $135,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 27,400 | $134,000 | thousands by filing date | put |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,061 | $134,000 | thousands by filing date | |
| FIRST TR EXCHANGE ETF TRADED FD VI NASDAQ OIL & GAS | 33738R845 | ETF | 14,277 | $133,000 | thousands by filing date | |
| SACHEM CAP CORP | 78590A109 | COM | 33,423 | $133,000 | thousands by filing date | |
| FIRST EAGLE SENIOR LOAN FUND | 32010E100 | COM NEW | 10,527 | $131,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,103 | $131,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,314 | $129,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 11,613 | $129,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 42,795 | $128,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 12,654 | $127,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 22,286 | $127,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 45,971 | $126,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 16,700 | $126,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 13,942 | $124,000 | thousands by filing date | |
| ADT INC DEL COM | 00090Q103 | Stock | 15,096 | $123,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 11,049 | $123,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 19,853 | $123,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,243 | $122,000 | thousands by filing date | |
| SmileDirectClub Inc | 83192H106 | COM | 10,419 | $122,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 26,466 | $121,000 | thousands by filing date | |
| BRIDGELINE DIGITAL INC | 10807Q700 | COM | 64,897 | $121,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 36,698 | $121,000 | thousands by filing date | |
| SFL CORP LTD | G7738W106 | COMMON STOCK | 16,078 | $120,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 11,527 | $120,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 20,529 | $120,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 12,199 | $119,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 10,023 | $119,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,045 | $118,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 20,519 | $118,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 10,403 | $118,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,926 | $118,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 26,614 | $118,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 144,874 | $117,000 | thousands by filing date | |
| BARINGS BDC INC | 06759L103 | COM | 14,586 | $117,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 16,177 | $117,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 13,921 | $117,000 | thousands by filing date | |
| XENIA HOTELS & RESORTS INC COM | 984017103 | REIT | 13,064 | $115,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 20,400 | $114,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 13,751 | $113,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 14,874 | $113,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 12,483 | $112,000 | thousands by filing date | |
| CITIZENS COMMUNITY BANCORP I | 174903104 | COMMON STOCK | 16,277 | $112,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 35,100 | $112,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 29,700 | $111,000 | thousands by filing date | call |
| TANGER INC | 875465106 | COM | 18,341 | $111,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 120,000 | $111,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 40,655 | $110,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 93,250 | $109,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 13,088 | $108,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 11,660 | $108,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 13,503 | $105,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 12,625 | $105,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 13,996 | $104,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 28,886 | $104,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,716 | $104,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 11,546 | $104,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 11,163 | $102,000 | thousands by filing date | |
| JOUNCE THERAPEUTICS INC | 481116101 | COM | 12,427 | $101,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,213 | $100,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 18,500 | $99,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 18,200 | $97,000 | thousands by filing date | |
| METALLUS INC | 887399103 | COMMON STOCK | 27,198 | $97,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 22,658 | $96,000 | thousands by filing date | |
| ADMA BIOLOGICS INC | 000899104 | COM | 39,800 | $95,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 10,226 | $94,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 19,493 | $94,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 27,900 | $93,000 | thousands by filing date | put |
| RIVERVIEW FINL CORP NEW | 76940Q105 | COM | 13,761 | $93,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,008 | $92,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 18,933 | $92,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 13,760 | $92,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 17,096 | $92,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 12,701 | $90,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383L105 | COM NEW | 11,504 | $90,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 11,796 | $89,000 | thousands by filing date | |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 24,292 | $88,000 | thousands by filing date | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 12,926 | $88,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 17,766 | $87,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 15,117 | $86,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 13,500 | $86,000 | thousands by filing date | put |
| GOLDMAN SACHS BDC INC | 38147UAB3 | NOTE 4.500% 4/0 | 85,000 | $86,000 | thousands by filing date | principal |
| ASTRONICS CORP COM | 046433108 | Stock | 10,919 | $84,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 30,402 | $82,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 128,235 | $82,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 40,050 | $81,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 10,975 | $81,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 31,333 | $80,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 15,500 | $79,000 | thousands by filing date | call |
| TRAVELZOO | 89421Q205 | CMN | 12,214 | $79,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 12,231 | $79,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 14,202 | $77,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 32,263 | $76,000 | thousands by filing date | |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 11,000 | $76,000 | thousands by filing date | principal |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 50,180 | $75,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 56,893 | $74,000 | thousands by filing date | |
| APHRIA INC | 03765K104 | COM | 16,239 | $72,000 | thousands by filing date | |
| ENTASIS THERAPEUTICS HLDGS I | 293614103 | COM | 34,569 | $71,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 14,866 | $70,000 | thousands by filing date | |
| COLONY CAPITAL INC | 19626G108 | CL A COM | 25,549 | $70,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 39,959 | $69,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 12,390 | $67,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 11,584 | $67,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 26,122 | $66,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 84,000 | $66,000 | thousands by filing date | principal |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 17,382 | $65,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 27,314 | $65,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 38,500 | $64,000 | thousands by filing date | call |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 17,868 | $64,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 16,277 | $64,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 13,300 | $63,000 | thousands by filing date | put |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 69,000 | $63,000 | thousands by filing date | principal |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 14,520 | $63,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 65,693 | $63,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 16,188 | $62,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 15,091 | $62,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 15,729 | $62,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 62,000 | $62,000 | thousands by filing date | principal |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 17,590 | $61,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 23,175 | $61,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 10,739 | $60,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 14,465 | $59,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 11,856 | $57,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 29,103 | $57,000 | thousands by filing date | |
| MESA AIR GROUP INC | 590479135 | COM NEW | 19,322 | $57,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 15,159 | $56,000 | thousands by filing date | |
| PLAYAGS INC | 72814N104 | COM | 15,437 | $55,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 18,595 | $55,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 20,026 | $54,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 18,100 | $54,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 18,742 | $52,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 10,337 | $52,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 23,195 | $50,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 30,500 | $49,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 18,165 | $49,000 | thousands by filing date | |
| YOUNGEVITY INTL INC | 987537206 | COM NEW | 81,546 | $49,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,024 | $46,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 18,416 | $46,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 24,300 | $45,000 | thousands by filing date | |
| DIVERSIFIED HEALTHCARE TR | 25525P107 | COM SH BEN INT | 12,723 | $45,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 23,100 | $45,000 | thousands by filing date | call |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 10,402 | $45,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 18,900 | $45,000 | thousands by filing date | put |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 45,000 | $45,000 | thousands by filing date | principal |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 11,533 | $44,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 12,703 | $44,000 | thousands by filing date | |
| WAITR HLDGS INC | 930752100 | COM | 13,670 | $44,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 45,000 | $42,000 | thousands by filing date | principal |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 13,543 | $41,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 36,800 | $40,000 | thousands by filing date | put |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 19,800 | $40,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 12,054 | $39,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 36,470 | $39,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 20,569 | $38,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 56,728 | $37,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 14,598 | $36,000 | thousands by filing date | |
| iShares Gold Trust | 464285105 | ISHARES | 80,800 | $36,000 | thousands by filing date | put |
| GRITSTONE BIO INC | 39868T105 | COM | 12,647 | $34,000 | thousands by filing date | |
| DIFFUSION PHARMACEUTICALS IN | 253748305 | COM PAR | 40,000 | $34,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 10,200 | $31,000 | thousands by filing date | put |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 11,363 | $31,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 13,486 | $30,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 10,606 | $29,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 36,619 | $29,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 25,183 | $29,000 | thousands by filing date | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 29,000 | $28,000 | thousands by filing date | principal |
| WEIBO CORP | 948596AC5 | NOTE 1.250%11/1 | 29,000 | $28,000 | thousands by filing date | principal |
| MIND TECHNOLOGY INC COM NEW | 602566101 | Stock | 13,362 | $28,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 15,200 | $27,000 | thousands by filing date | call |
| QEP RESOURCES INC | 74733V100 | COM | 29,421 | $27,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 15,100 | $26,000 | thousands by filing date | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 13,495 | $26,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 32,183 | $26,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 18,200 | $25,000 | thousands by filing date | call |
| ARTS WAY MFG INC | 043168103 | COM | 10,703 | $25,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 89,365 | $25,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 80,118 | $25,000 | thousands by filing date | |
| ADVAXIS INC | 007624307 | COM | 60,000 | $25,000 | thousands by filing date | |
| SESEN BIO INC | 817763105 | COM | 18,104 | $25,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 13,762 | $23,000 | thousands by filing date | |
| SURGALIGN HOLDINGS INC | 86882C105 | COM | 12,862 | $23,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 24,600 | $22,000 | thousands by filing date | call |
| OUTLOOK THERAPEUTICS INC | 69012T206 | COM | 30,000 | $22,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180DAB2 | BOND | 27,000 | $21,000 | thousands by filing date | principal |
| VYNE THERAPEUTICS INC | 92941V100 | COM NEW | 12,820 | $21,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741BG2 | NOTE 1.250% 5/0 | 15,000 | $20,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 20,000 | $20,000 | thousands by filing date | principal |
| UNITED STATES STL CORP NEW | 912909108 | COM | 28,300 | $19,000 | thousands by filing date | call |
| VERASTEM INC | 92337C104 | COM | 15,686 | $19,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 55,000 | $18,000 | thousands by filing date | call |
| Mallinckrodt Plc | G5785G107 | SHS | 18,983 | $18,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 20,000 | $18,000 | thousands by filing date | principal |
| VEON LTD | 91822M106 | SPONSORED ADR | 13,400 | $17,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AL3 | DBCV 4.000% 1/1 | 18,000 | $17,000 | thousands by filing date | principal |
| KOPIN CORP | 500600101 | COMMON STOCK | 11,820 | $16,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 21,440 | $16,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 29,900 | $15,000 | thousands by filing date | call |
| TANZANIAN GOLD CORP | 87601A107 | COM | 21,125 | $15,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 12,641 | $15,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 12,800 | $14,000 | thousands by filing date | call |
| DOLLAR GEN CORP COM | 256677105 | Stock | 16,300 | $14,000 | thousands by filing date | call |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 15,060 | $14,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 17,000 | $14,000 | thousands by filing date | |
| HEXO CORP | 428304109 | COM | 21,135 | $14,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 22,500 | $13,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 12,150 | $13,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 14,509 | $13,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 21,317 | $13,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 12,000 | $13,000 | thousands by filing date | principal |
| H WORLD GROUP LTD | 16949NAC3 | NOTE 0.375%11/0 | 11,000 | $12,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 11,000 | $12,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 12,000 | $12,000 | thousands by filing date | principal |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,769 | $11,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST | 85571BAH8 | Convertible Debt | 11,000 | $11,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 20,700 | $9,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 11,600 | $7,000 | thousands by filing date | call |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 13,187 | $7,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 10,769 | $7,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M300 | COM | 20,944 | $7,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 23,500 | $6,000 | thousands by filing date | call |
| EATON VANCE CORP | 278265103 | COM NON VTG | 10,200 | $6,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 15,000 | $6,000 | thousands by filing date | principal |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 30,500 | $5,000 | thousands by filing date | call |
| BLOOMIN BRANDS INC | 094235108 | COM | 23,600 | $5,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 12,800 | $4,000 | thousands by filing date | call |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 17,900 | $4,000 | thousands by filing date | call |
| NEW JERSEY RES CORP | 646025106 | COM | 14,100 | $4,000 | thousands by filing date | call |
| U S SILICA HLDGS INC | 90346E103 | COM | 28,300 | $4,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 29,200 | $3,000 | thousands by filing date | call |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 16,900 | $3,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 12,800 | $3,000 | thousands by filing date | call |
| BIOLASE INC | 090911207 | COM NEW | 10,104 | $3,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 11,700 | $2,000 | thousands by filing date | call |
| iShares MSCI Mexico ETF | 464286822 | SHS | 30,400 | $2,000 | thousands by filing date | call |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 18,800 | $2,000 | thousands by filing date | call |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 19,800 | $2,000 | thousands by filing date | call |
| WESTROCK CO | 96145D105 | COM | 11,200 | $2,000 | thousands by filing date | call |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 11,187 | $2,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 10,200 | $1,000 | thousands by filing date | call |
| CVS Health Corporation | 126650100 | COM | 12,100 | $1,000 | thousands by filing date | call |
| CENTURYLINK INC | 156700106 | COM | 10,500 | $1,000 | thousands by filing date | call |
| RIVERNORTH DOUBLELINE STRATE | 76882G123 | RIGHT 10/01/2020 | 15,744 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001462284-20-000006 | this filing | 2020-11-04 | acceptance time not in the bulk data set |