13F-HR filed by Raymond James Financial Services Advisors, Inc.
Raymond James Financial Services Advisors, Inc. filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-10-24, with 3,259 holding rows worth $55,180,772,832.
- Accession
- 0001462284-23-000006
- Filer
- CIK 1462284
- Filed
- 2023-10-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 3,259 entries on the cover page, a total value of $55,180,772,832 stated on the cover page (in dollars after the unit check, H1), rows summing to $55,180,772,832 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 12,394 | $150,835 | dollars as filed | |
| IVEDA SOLUTIONS INC | 46583A204 | COM NEW | 175,000 | $149,993 | dollars as filed | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 13,907 | $149,917 | dollars as filed | |
| REPARE THERAPEUTICS INC | 760273102 | COM | 12,357 | $149,273 | dollars as filed | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 15,361 | $148,229 | dollars as filed | |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 124,900 | $147,382 | dollars as filed | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 17,232 | $146,299 | dollars as filed | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 24,751 | $145,041 | dollars as filed | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 15,090 | $145,012 | dollars as filed | |
| ARIS WATER SOLUTIONS INC | 04041L106 | CLASS A COM | 14,530 | $145,009 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 32,500 | $143,650 | dollars as filed | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 32,137 | $143,331 | dollars as filed | |
| META PLATFORMS INC CL A | 30303M102 | COM | 500 | $142,000 | dollars as filed | put |
| CROSSFIRST BANKSHARES INC | 22766M109 | COM | 14,000 | $141,260 | dollars as filed | |
| UNDER ARMOUR INC | 904311206 | CL C | 21,963 | $140,121 | dollars as filed | |
| SILVERCREST METALS INC | 828363101 | COM | 31,553 | $139,149 | dollars as filed | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 20,343 | $136,301 | dollars as filed | |
| CLARIVATE PLC | G21810109 | ORD SHS | 20,289 | $136,139 | dollars as filed | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 26,491 | $135,901 | dollars as filed | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 135,000 | $135,004 | dollars as filed | principal |
| ARCHROCK INC | 03957W106 | COM | 10,712 | $134,971 | dollars as filed | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 13,847 | $133,347 | dollars as filed | |
| MATTERPORT INC | 577096100 | COM CL A | 61,002 | $132,374 | dollars as filed | |
| Gilat Satellite Network | M51474118 | COM | 20,404 | $131,198 | dollars as filed | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 53,420 | $130,879 | dollars as filed | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 12,239 | $130,471 | dollars as filed | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 17,307 | $130,325 | dollars as filed | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 28,081 | $127,768 | dollars as filed | |
| BYRNA TECHNOLOGIES INC | 12448X201 | COM NEW | 56,707 | $127,024 | dollars as filed | |
| ZEVRA THERAPEUTICS INC COM NEW | 488445206 | Stock | 26,228 | $126,419 | dollars as filed | |
| DASEKE INC | 23753F107 | COM | 24,517 | $125,772 | dollars as filed | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 12,200 | $125,660 | dollars as filed | |
| NUVEEN MUNICIPAL CREDIT OPP FU | 670663103 | COM | 12,963 | $125,611 | dollars as filed | |
| GLOBAL X FDS | 37954Y285 | FUND | 13,539 | $124,288 | dollars as filed | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 12,937 | $123,678 | dollars as filed | |
| ENERGY FUELS INC | 292671708 | COM NEW | 14,898 | $122,462 | dollars as filed | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 13,800 | $120,764 | dollars as filed | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 32,102 | $120,702 | dollars as filed | |
| ADTRAN HOLDINGS INC | 00486H105 | COM | 14,420 | $118,677 | dollars as filed | |
| LEMONADEINC | 52567D107 | STOK | 10,091 | $117,257 | dollars as filed | |
| Microsoft Corp | 594918104 | COM | 400 | $117,000 | dollars as filed | put |
| CYTOSORBENTS CORP | 23283X206 | CMN | 61,931 | $116,430 | dollars as filed | |
| AUDIOCODES LTD | M15342104 | ORD | 11,513 | $116,395 | dollars as filed | |
| BGSF INC | 05601C105 | COM | 12,018 | $115,493 | dollars as filed | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 10,170 | $113,599 | dollars as filed | |
| NANO DIMENSION LTD | 63008G203 | SPONSORD ADS NEW | 41,540 | $112,989 | dollars as filed | |
| TELLURIAN INC NEW | 87968A104 | COM | 96,794 | $112,281 | dollars as filed | |
| HILLMAN SOLUTIONS CORP | 431636109 | COM | 13,310 | $109,808 | dollars as filed | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 14,793 | $109,615 | dollars as filed | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 40,478 | $108,482 | dollars as filed | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 22,136 | $107,800 | dollars as filed | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 59,361 | $106,850 | dollars as filed | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 11,305 | $105,589 | dollars as filed | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 12,614 | $105,327 | dollars as filed | |
| BIOVENTUS INC | 09075A108 | COM CL A | 31,770 | $104,841 | dollars as filed | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 11,514 | $104,777 | dollars as filed | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,186 | $104,556 | dollars as filed | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 10,048 | $104,193 | dollars as filed | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,151 | $104,149 | dollars as filed | |
| NEXTDECADE CORP | 65342K105 | COM | 20,235 | $103,603 | dollars as filed | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 22,213 | $103,514 | dollars as filed | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 10,768 | $102,078 | dollars as filed | |
| MIMEDX GROUP INC | 602496101 | COM | 13,785 | $100,493 | dollars as filed | |
| INVESCO SR INCOME TR | 46131H107 | COM | 25,612 | $100,399 | dollars as filed | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 24,002 | $100,328 | dollars as filed | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 32,692 | $100,038 | dollars as filed | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 15,312 | $99,528 | dollars as filed | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,089 | $99,437 | dollars as filed | |
| CANOPY GROWTH CORP | 138035100 | COM | 126,788 | $99,250 | dollars as filed | |
| NIKOLA CORP | 654110105 | COM | 63,178 | $99,189 | dollars as filed | |
| BLINK CHARGING CO | 09354A100 | COM | 32,398 | $99,138 | dollars as filed | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 10,523 | $97,759 | dollars as filed | |
| WHITESTONE REIT | 966084204 | COM | 10,121 | $97,467 | dollars as filed | |
| PURECYCLE TECHNOLOGIES INC | 74623V103 | COM | 17,167 | $96,307 | dollars as filed | |
| CRONOS GROUP INC | 22717L101 | COM | 47,950 | $95,900 | dollars as filed | |
| NU HLDGS LTD | G6683N103 | ORD SHS CL A | 13,220 | $95,845 | dollars as filed | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 24,750 | $94,793 | dollars as filed | |
| RPC INC | 749660106 | COMMON STOCK | 10,580 | $94,585 | dollars as filed | |
| VIRTRA INC | 92827K301 | CMN | 16,950 | $94,581 | dollars as filed | |
| Salesforce.com, Inc | 79466L302 | COM | 500 | $94,000 | dollars as filed | put |
| PERMIANVILLE RTY TR | 71425H100 | TR UNIT | 37,000 | $93,980 | dollars as filed | |
| AMERICAN SUPERCONDUCTOR CORP | 030111207 | SHS NEW | 12,406 | $93,665 | dollars as filed | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 10,220 | $93,411 | dollars as filed | |
| ASE TECHNOLOGY HLDG CO LTD SPONSORED ADS | 00215W100 | ADR | 12,411 | $93,331 | dollars as filed | |
| LUMEN TECHNOLOGIES INC | 550241103 | COM | 65,256 | $92,663 | dollars as filed | |
| STEM INC | 85859N102 | COM | 21,691 | $91,970 | dollars as filed | |
| SOL GEL TECHNOLOGIES | M8694L103 | SHS | 55,112 | $89,833 | dollars as filed | |
| RUM GROUP INC COM CL A | 78137L105 | Stock | 17,504 | $89,270 | dollars as filed | |
| FORIAN INC | 34630N106 | cs | 40,000 | $89,204 | dollars as filed | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 28,326 | $88,662 | dollars as filed | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 10,553 | $86,746 | dollars as filed | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 27,500 | $86,075 | dollars as filed | |
| Akoustis Technologies Inc | 00973N102 | COM | 113,688 | $85,596 | dollars as filed | |
| Apple Inc | 037833100 | COM | 500 | $85,500 | dollars as filed | put |
| PLAYAGS INC | 72814N104 | COM | 13,040 | $85,021 | dollars as filed | |
| POLARIS INC COM | 731068102 | Stock | 1,000 | $85,000 | dollars as filed | put |
| GEO GROUP INC NEW | 36162J106 | COM | 10,382 | $84,925 | dollars as filed | |
| OPKO HEALTH INC | 68375N103 | COM | 52,854 | $84,566 | dollars as filed | |
| TELADOC HEALTH INC | 87918AAF2 | NOTE 1.250% 6/0 | 105,000 | $83,675 | dollars as filed | principal |
| FUELCELL ENERGY INC | 35952H601 | COM | 65,058 | $83,274 | dollars as filed | |
| QUEST RESOURCE HLDG CORP | 74836W203 | COM NEW | 11,174 | $82,688 | dollars as filed | |
| CUTERA INC | 232109108 | COM | 13,545 | $81,541 | dollars as filed | |
| NEW FOUND GOLD CORP | 64440N103 | COM | 19,500 | $81,315 | dollars as filed | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838X102 | COM | 25,891 | $80,521 | dollars as filed | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 700 | $80,500 | dollars as filed | put |
| FTAI INFRASTRUCTURE INC | 35953C106 | COMMON STOCK | 24,857 | $80,040 | dollars as filed | |
| MONSTER BEVERAGE CORP NEW COM | 61174X109 | Stock | 1,600 | $80,000 | dollars as filed | put |
| BLUEBIRD BIO INC | 09609G100 | COM | 25,447 | $77,359 | dollars as filed | |
| NOVAVAX INC | 670002401 | COM NEW | 10,508 | $76,078 | dollars as filed | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 35,538 | $76,051 | dollars as filed | |
| AURORA INNOVATION INC CLASS A COM | 051774107 | Stock | 32,211 | $75,696 | dollars as filed | |
| CIDARA THERAPEUTICS INC COM NEW | 171757107 | Stock | 79,119 | $74,546 | dollars as filed | |
| REDWOOD TRUST INC | 758075AD7 | BOND | 75,000 | $73,500 | dollars as filed | principal |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 12,430 | $71,970 | dollars as filed | |
| WRAP TECHNOLOGIES INC | 98212N107 | COM | 47,703 | $71,555 | dollars as filed | |
| WHOLE EARTH BRANDS INC | 96684W100 | COM CL A | 19,869 | $71,528 | dollars as filed | |
| NN INC | 629337106 | COM | 38,364 | $71,357 | dollars as filed | |
| OSCAR HEALTH INC | 687793109 | CL A | 12,800 | $71,296 | dollars as filed | |
| BRC INC A | 05601U105 | COMMON STOCK | 19,738 | $70,859 | dollars as filed | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 18,297 | $70,808 | dollars as filed | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 16,089 | $70,631 | dollars as filed | |
| NEW PAC METALS CORP | 64782A107 | COM | 39,582 | $70,060 | dollars as filed | |
| EVOLV TECHNOLOGIES HLDNGS IN | 30049H102 | COM CL A | 14,217 | $69,095 | dollars as filed | |
| Amazon.com, Inc | 023135106 | COM | 600 | $69,000 | dollars as filed | put |
| Netflix, Inc | 64110L106 | COM | 200 | $69,000 | dollars as filed | put |
| INVESTCORP CR MGMT BDC INC | 46090R104 | COM | 17,124 | $68,324 | dollars as filed | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 200 | $68,000 | dollars as filed | put |
| VUZIX CORP | 92921W300 | COM NEW | 18,730 | $67,990 | dollars as filed | |
| EVGO INC | 30052F100 | CL A COM | 19,985 | $67,549 | dollars as filed | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 19,941 | $65,207 | dollars as filed | |
| NATWEST GROUP PLC SPONS ADR | 639057207 | ADR | 11,127 | $64,871 | dollars as filed | |
| B2GOLD CORP COM | 11777Q209 | Stock | 21,899 | $63,289 | dollars as filed | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 103,659 | $62,600 | dollars as filed | |
| G1 THERAPEUTICS INC | 3621LQ109 | COM | 43,446 | $62,562 | dollars as filed | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 16,608 | $62,280 | dollars as filed | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 10,529 | $62,016 | dollars as filed | |
| VIRTUS ALLIANZGI CONVERTIBLE & | 92838U108 | COM | 22,465 | $62,003 | dollars as filed | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 16,577 | $60,838 | dollars as filed | |
| First Foundation Inc | 32026V104 | Common Stock | 10,000 | $60,800 | dollars as filed | |
| GERON CORP | 374163103 | COM | 28,661 | $60,761 | dollars as filed | |
| RINGCENTRAL INC | 76680RAF4 | NOTE 3/0 | 65,000 | $59,924 | dollars as filed | principal |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 20,135 | $58,392 | dollars as filed | |
| PDS BIOTECHNOLOGY CORP | 70465T107 | COM | 11,154 | $56,328 | dollars as filed | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 13,435 | $55,352 | dollars as filed | |
| ONDAS HLDGS INC | 68236H204 | COM NEW | 89,904 | $54,796 | dollars as filed | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 11,023 | $54,123 | dollars as filed | |
| SOMALOGIC INC | 83444K105 | COM | 22,409 | $53,558 | dollars as filed | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,694 | $53,361 | dollars as filed | |
| Raytheon Technologies Corporation | 75513E101 | COM | 700 | $52,500 | dollars as filed | put |
| QUANTUM SI INC | 74765K105 | COM CL A | 30,500 | $50,630 | dollars as filed | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 10,312 | $50,116 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 58,171 | $49,568 | dollars as filed | |
| DESKTOP METAL INC | 25058X105 | COM CL A | 33,795 | $49,341 | dollars as filed | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 35,505 | $48,996 | dollars as filed | |
| AMPCO PITTSBURGH CORP | 032037103 | COMMON STOCK | 18,182 | $47,819 | dollars as filed | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 25,760 | $47,656 | dollars as filed | |
| GENASYS INC | 36872P103 | CMN | 22,560 | $45,346 | dollars as filed | |
| GRITSTONE BIO INC | 39868T105 | COM | 25,573 | $43,986 | dollars as filed | |
| 374WATER INC | 88583P104 | COM | 33,000 | $40,920 | dollars as filed | |
| STITCH FIX INC | 860897107 | COM CL A | 11,789 | $40,672 | dollars as filed | |
| SPY | 78462F103 | SHS | 100 | $40,500 | dollars as filed | call |
| SOLID POWER INC CLASS A COM | 83422N105 | Stock | 19,422 | $39,232 | dollars as filed | |
| EXXON MOBIL CORP | 30231G102 | COM | 400 | $38,500 | dollars as filed | put |
| Lockheed Martin Corporation | 539830109 | COM | 100 | $38,000 | dollars as filed | put |
| GLOBALSTAR INC | 378973408 | COM | 28,032 | $36,722 | dollars as filed | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 300 | $36,000 | dollars as filed | put |
| INVESCO QQQ TR | 46090E103 | COM | 100 | $35,900 | dollars as filed | put |
| GAIA INC NEW | 36269P104 | CL A | 12,875 | $35,020 | dollars as filed | |
| PROFIRE ENERGY INC | 74316X101 | COM | 12,408 | $34,494 | dollars as filed | |
| GROWGENERATION CORP | 39986L109 | COM | 11,667 | $34,068 | dollars as filed | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 12,196 | $31,466 | dollars as filed | |
| HERON THERAPEUTICS INC | 427746102 | COM | 29,976 | $30,875 | dollars as filed | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 10,841 | $30,246 | dollars as filed | |
| SUMMIT HOTEL PPTYS | 866082AA8 | NOTE 1.500% 2/1 | 35,000 | $29,400 | dollars as filed | principal |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 28,658 | $28,019 | dollars as filed | |
| OATLY GROUP AB | 67421J108 | SPONSORED ADS | 30,022 | $26,903 | dollars as filed | |
| EOG RES INC COM | 26875P101 | Stock | 200 | $26,800 | dollars as filed | put |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 16,887 | $26,681 | dollars as filed | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 53,467 | $26,145 | dollars as filed | |
| OUTDOOR HOLDING CO | 00175J107 | COMMON STOCK | 12,883 | $26,024 | dollars as filed | |
| SCILEX HOLDING CO | 80880W106 | COM | 18,482 | $25,875 | dollars as filed | |
| AMERICAN LITHIUM CORP COM | 027259209 | COM | 17,896 | $25,591 | dollars as filed | |
| VAXXINITY INC CLASS A | 92244V104 | COMMON STOCK | 18,659 | $25,563 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 94,274 | $23,908 | dollars as filed | |
| I3 VERTICALS LLC | 44933TAB2 | NOTE 1.000% 2/1 | 25,000 | $22,985 | dollars as filed | principal |
| POLYMET MNG CORP | 731916409 | COM | 11,023 | $22,928 | dollars as filed | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 54,123 | $22,732 | dollars as filed | |
| AMERICAN WELL CORP | 03044L105 | CL A | 18,773 | $21,964 | dollars as filed | |
| UR-ENERGY INC | 91688R108 | COM | 13,978 | $21,526 | dollars as filed | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 24,660 | $21,486 | dollars as filed | |
| ESS TECH INC | 26916J106 | COMMON STOCK | 11,215 | $21,084 | dollars as filed | |
| IMMUNITYBIO INC | 45256X103 | COM | 11,956 | $20,206 | dollars as filed | |
| ZEROFOX HLDGS INC | 98955G103 | COMMON | 22,658 | $19,921 | dollars as filed | |
| IONIS PHARMACEUTICALS INC | 462222AB6 | NOTE 0.125%12/1 | 20,000 | $19,026 | dollars as filed | principal |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 14,800 | $18,648 | dollars as filed | |
| Salesforce.com, Inc | 79466L302 | COM | 100 | $18,500 | dollars as filed | call |
| ALTERYX INC | 02156BAF0 | BOND | 20,000 | $17,624 | dollars as filed | principal |
| RESEARCH FRONTIERS INC | 760911107 | COM | 15,935 | $17,210 | dollars as filed | |
| HONEST CO INC | 438333106 | COM | 13,450 | $16,947 | dollars as filed | |
| GAMIDA CELL LTD | M47364100 | SHS | 16,204 | $16,690 | dollars as filed | |
| SPIRIT AIRLS INC | 848577AB8 | NOTE 1.000% 5/1 | 20,000 | $16,630 | dollars as filed | principal |
| CHEESECAKE FACTORY INC | 163072AA9 | NOTE 0.375% 6/1 | 20,000 | $16,525 | dollars as filed | principal |
| PETIQ INC | 71639TAB2 | NOTE 4.000% 6/0 | 17,000 | $16,458 | dollars as filed | principal |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 25,632 | $15,374 | dollars as filed | |
| SAFETY SHOT INC | 48208F105 | COM NEW | 10,150 | $15,174 | dollars as filed | |
| BIOMERICA INC | 09061H307 | COM NEW | 17,530 | $15,079 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 15,000 | $15,066 | dollars as filed | principal |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 11,000 | $15,015 | dollars as filed | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 15,000 | $14,925 | dollars as filed | principal |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 15,000 | $14,700 | dollars as filed | principal |
| PENNYMAC CORP | 70932AAD5 | BOND | 15,000 | $14,625 | dollars as filed | principal |
| NABORS INDS INC | 62957HAB1 | BOND | 15,000 | $14,490 | dollars as filed | principal |
| NEW GOLD INC CDA | 644535106 | COM | 15,739 | $14,324 | dollars as filed | |
| VANECK ETF TRUST | 92189F676 | COM | 100 | $14,100 | dollars as filed | put |
| PLATINUM GROUP METALS LTD | 72765Q882 | CMN | 12,209 | $13,796 | dollars as filed | |
| CHEFS WHSE INC | 163086AB7 | BOND | 15,000 | $13,433 | dollars as filed | principal |
| NGM BIOPHARMACEUTICALS INC | 62921N105 | COM | 12,538 | $13,416 | dollars as filed | |
| CANOO INC | 13803R102 | COM CL A | 27,235 | $13,345 | dollars as filed | |
| INVITAE CORP | 46185L103 | COM | 21,782 | $13,182 | dollars as filed | |
| MYMD PHARMACEUTICALS INC | 62856X102 | COMMON | 22,223 | $13,156 | dollars as filed | |
| CO-DIAGNOSTICS INC | 189763105 | COM | 12,251 | $12,986 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T108 | ORDINARY SHARES | 37,750 | $11,431 | dollars as filed | |
| COMPUGEN LTD | M25722105 | ORD | 11,831 | $11,003 | dollars as filed | |
| INTRUSION INC COM NEW | 46121e205 | COM | 29,997 | $10,469 | dollars as filed | |
| VOLCON INC | 92864V103 | COM | 20,000 | $10,100 | dollars as filed | |
| TILRAY BRANDS INC | 88688TAB6 | NOTE 5.000%10/0 | 10,000 | $10,000 | dollars as filed | principal |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 10,000 | $9,916 | dollars as filed | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAK7 | NOTE 1.250% 5/1 | 10,000 | $9,906 | dollars as filed | principal |
| LILIUM N V | N52586109 | COM | 13,629 | $9,722 | dollars as filed | |
| DARE BIOSCIENCE INC | 23666P101 | COMMON | 20,000 | $9,236 | dollars as filed | |
| RVL PHARMACEUTICALS PLC | G6S41R101 | COM | 103,037 | $8,923 | dollars as filed | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 12,900 | $8,888 | dollars as filed | |
| Atossa Therapeutics Inc | 04962H506 | Common Stock | 12,025 | $8,856 | dollars as filed | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 100 | $8,800 | dollars as filed | put |
| PEBBLEBROOK HOTEL TR | 70509VAA8 | NOTE 1.750%12/1 | 10,000 | $8,294 | dollars as filed | principal |
| CORENERGY INFRASTRUCTURE TR | 21870UAC0 | NOTE 5.875% 8/1 | 10,000 | $8,183 | dollars as filed | principal |
| ETSY INC | 29786AAL0 | NOTE 0.125% 9/0 | 10,000 | $8,000 | dollars as filed | principal |
| OCUGEN INC | 67577C105 | COMMON STOCK | 19,243 | $7,697 | dollars as filed | |
| CITIUS PHARMACEUTICALS INC | 17322U207 | COM | 11,106 | $7,601 | dollars as filed | |
| THE BEACHBODY COMPANY INC | 073463101 | COM | 25,179 | $7,428 | dollars as filed | |
| CYCLACEL PHARMACE 6percent PFDCONV | 23254L603 | Stock | 20,806 | $7,380 | dollars as filed | |
| WOLFSPEED INC | 977852102 | COM | 200 | $7,300 | dollars as filed | put |
| AKILI INC | 00974B107 | COMMON STOCK | 12,448 | $6,833 | dollars as filed | |
| BIRD GLOBAL INC-CLASS A | 09077J206 | Common Stock | 10,672 | $6,295 | dollars as filed | |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 10,543 | $6,168 | dollars as filed | |
| SYNAPTOGENIX INC | 87167T201 | COM NEW | 12,200 | $5,368 | dollars as filed | |
| WAVEDANCER INC | 456696103 | COM | 19,500 | $5,041 | dollars as filed | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 11,935 | $4,946 | dollars as filed | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 17,500 | $4,790 | dollars as filed | |
| SIDUS SPACE INC CL A COM NEW | 826165102 | Stock | 33,050 | $4,726 | dollars as filed | |
| ENGLOBAL CORP | 293306106 | COM | 13,262 | $4,492 | dollars as filed | |
| INUVO INC | 46122W204 | COM NEW | 18,000 | $3,852 | dollars as filed | |
| ASENSUS SURGICAL INC | 04367G103 | COM | 14,033 | $3,789 | dollars as filed | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,379 | $3,700 | dollars as filed | |
| MP MATERIALS CORP | 553368101 | COM CL A | 100 | $3,500 | dollars as filed | call |
| ARQIT QUANTUM INC | G0567U119 | WTS | 13,200 | $2,377 | dollars as filed | |
| SURGALIGN HOLDINGS INC COM NEW | 86882C204 | Stock | 91,685 | $1,247 | dollars as filed | |
| Viewra, Inc | 92672L107 | COM | 49,660 | $407 | dollars as filed | |
| APPHARVEST INC | 03783T103 | COM | 14,992 | $255 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001462284-23-000006 | this filing | 2023-10-24 | acceptance time not in the bulk data set |