13F-HR filed by AE Wealth Management LLC
AE Wealth Management LLC filed this 13F-HR for the quarter ended 2022-09-30, filed 2022-10-25, with 1,740 holding rows worth $12,600,113,000.
- Accession
- 0001697723-22-000005
- Filer
- CIK 1697723
- Filed
- 2022-10-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2022
A holdings report, 1,762 entries on the cover page, a total value of $12,600,113,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $12,610,918,000 with VALUE read as thousands by filing date, 13F file number 028-17779. 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 |
|---|---|---|---|---|---|---|
| STONEX GROUP INC | 861896108 | COM | 3,336 | $277,000 | thousands by filing date | |
| EXCHANGE LISTED FDS TR | 30151E731 | CABANA TARGET 5 | 12,829 | $277,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F BETABULDRS JAPAN | 46641Q217 | BETABULDRS JAPAN | 6,764 | $276,000 | thousands by filing date | |
| ADVANCE AUTO PARTS INC | 00751Y106 | COM | 1,756 | $275,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 11,413 | $275,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 4,121 | $273,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y560 | ADVISORSHS ETF | 6,594 | $271,000 | thousands by filing date | |
| NEOVOLTA INC | 640655106 | CMN | 53,965 | $271,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 25,668 | $270,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 7,052 | $269,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 2,849 | $269,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V308 | BUYBACK ACHIEV | 3,609 | $268,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 4,637 | $267,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 6,559 | $267,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E198 | S&P MIDCP LOW | 5,561 | $267,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 10,152 | $266,000 | thousands by filing date | |
| COUSINSPPTYSINC | 222795502 | STOK | 11,328 | $265,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 11,006 | $265,000 | thousands by filing date | |
| TIDAL ETF TR | 886364884 | SOFI WEEKLY INM | 2,893 | $265,000 | thousands by filing date | |
| AFFIRM HLDGS INC COM CL A | 00827B106 | Stock | 14,026 | $263,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 5,722 | $263,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 12,556 | $263,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 4,350 | $262,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 35,713 | $261,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F387 | SHRT HGH YLD MUN | 11,971 | $261,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J817 | BULSHS 2025 HY | 11,973 | $260,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G870 | VAR RATE PFD | 11,837 | $259,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 27,989 | $258,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 14,254 | $258,000 | thousands by filing date | |
| CGI INC CL A SUB VTG | 12532H104 | Stock | 3,394 | $255,000 | thousands by filing date | |
| ARCBEST CORP COM | 03937C105 | Stock | 3,496 | $254,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,184 | $254,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 5,295 | $254,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC COM | 46131B704 | REIT | 22,788 | $253,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 2,323 | $253,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 12,258 | $252,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 9,837 | $252,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 4,929 | $251,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 38,233 | $251,000 | thousands by filing date | |
| LAMB WESTON HLDGS INC | 513272104 | COM | 3,229 | $250,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E743 | RAFI DVLPD MRKTS | 7,137 | $250,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 8,844 | $249,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 3,056 | $249,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,704 | $248,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 16,115 | $248,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 744 | $246,000 | thousands by filing date | |
| HF SINCLAIR CORP COM | 403949100 | Stock | 4,573 | $246,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 18,683 | $246,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 5,367 | $246,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 2,397 | $245,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 3,798 | $245,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 25,234 | $244,000 | thousands by filing date | |
| LUCID GROUP INC | 549498103 | COM | 17,297 | $242,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 21,480 | $241,000 | thousands by filing date | |
| INNOVATOR ETFS TRUST | 45782C276 | GRWT100 PWR BUF | 5,669 | $238,000 | thousands by filing date | |
| PETIQ INC | 71639T106 | COMMON STOCK | 34,543 | $238,000 | thousands by filing date | |
| AMPLIFY ETF TR | 032108409 | CWP ENHANCED DIV | 7,413 | $237,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 12,777 | $236,000 | thousands by filing date | |
| RIVERNORTH MANAGED DUR MUN I | 76882H105 | COM | 15,989 | $234,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 5,323 | $234,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 2,270 | $231,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V241 | S&P500 QUALITY | 5,820 | $231,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 2,564 | $230,000 | thousands by filing date | |
| BANK HAWAII CORP | 062540109 | COM | 3,017 | $230,000 | thousands by filing date | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 3,717 | $230,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 2,122 | $230,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 6,109 | $229,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,202 | $229,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,533 | $228,000 | thousands by filing date | |
| CAPITAL GROUP GROWTH ETF | 14020G101 | SHS CREAT UNIT | 11,697 | $228,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33740J104 | ULTRA SHT DUR MU | 11,483 | $228,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 797 | $227,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 4,827 | $227,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 625 | $225,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 1,593 | $225,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 1,838 | $224,000 | thousands by filing date | |
| ISHARES TR | 46435G326 | CORE MSCI INTL | 4,621 | $223,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 5,586 | $223,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 8,359 | $222,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 1,927 | $222,000 | thousands by filing date | |
| INNOVATOR U.S. SMALL CAP POWER BUFFER ETF - APRIL | 45782C342 | ETF | 9,239 | $222,000 | thousands by filing date | |
| Cyber Security ETF | 26924G201 | Common | 5,119 | $222,000 | thousands by filing date | |
| FEDERAL RLTY INVT TR NEW | 313745101 | SH BEN INT NEW | 2,448 | $221,000 | thousands by filing date | |
| VANECK PHARMACEUTICAL ETF | 92189F692 | ETF | 3,282 | $221,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 5,204 | $220,000 | thousands by filing date | |
| VISTRA CORP COM | 92840M102 | Stock | 10,408 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 8,803 | $219,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 10,376 | $217,000 | thousands by filing date | |
| CHEWYINCCLASSCLASSA | 16679L109 | STOK | 7,037 | $216,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 14,885 | $216,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 7,186 | $215,000 | thousands by filing date | |
| UPSTARTHLDGSINC | 91680M107 | STOK | 10,285 | $214,000 | thousands by filing date | |
| Fidelity Low Volatility Factor ETF | 316092824 | SHS | 5,068 | $213,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 3,456 | $213,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 6,062 | $213,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 49,731 | $212,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,408 | $211,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 641 | $211,000 | thousands by filing date | |
| NORTHERN LTS FD TR IV | 66538H658 | INSPIRE GBL HOPE | 7,630 | $211,000 | thousands by filing date | |
| NORTHERN LIGHTS FD TR | 66538J720 | TOEWS AGILTY SHS | 8,253 | $211,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,190 | $210,000 | thousands by filing date | |
| Vanguard ESG U.S. Stock ETF | 921910733 | SHS | 3,309 | $208,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 6,777 | $208,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE CORP | 11284V105 | CL A SUB VTG | 6,323 | $207,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X651 | US S CAP QTY DIV | 5,726 | $206,000 | thousands by filing date | |
| GEN DIGITAL INC COM | 668771108 | Stock | 10,106 | $204,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 887 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 3,876 | $202,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E404 | CEF INM COMPSI | 11,588 | $202,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B408 | COM NEW | 60,430 | $201,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 23,744 | $197,000 | thousands by filing date | |
| IDEAL PWR INC | 451622203 | COM NEW | 18,900 | $196,000 | thousands by filing date | |
| SABRE CORP COM | 78573M104 | Stock | 37,323 | $192,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 21,775 | $192,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 10,366 | $188,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 24,355 | $186,000 | thousands by filing date | |
| FIRST TR EXCHNG TRADED FD VI | 33740U760 | VEST BUFFERED | 10,297 | $186,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 18,809 | $186,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 22,802 | $185,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 17,048 | $184,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 18,401 | $178,000 | thousands by filing date | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 36,756 | $178,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 27,635 | $177,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 21,478 | $171,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 10,410 | $170,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 10,371 | $170,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 16,443 | $169,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 25,432 | $168,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V621 | FINL PFD ETF | 10,673 | $161,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,395 | $160,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 11,737 | $158,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 19,001 | $157,000 | thousands by filing date | |
| ARK ETF TR | 00214Q807 | SPACE & DEFENSE | 12,619 | $156,000 | thousands by filing date | |
| BUTTERFLY NETWORK INC | 124155102 | COM CL A | 32,829 | $154,000 | thousands by filing date | |
| CRESCENT CAP BDC INC | 225655109 | COM | 10,238 | $154,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 12,872 | $150,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 78,313 | $148,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 11,339 | $148,000 | thousands by filing date | |
| TRONOX HOLDINGS PLC SHS | G9087Q102 | Stock | 11,988 | $147,000 | thousands by filing date | |
| BRIGHTSPIRE CAPITAL INC COM CL A | 10949T109 | REIT | 23,340 | $147,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 21,110 | $147,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 17,175 | $139,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 12,360 | $136,000 | thousands by filing date | |
| TWO RDS SHARED TR | 90214Q766 | ANFIELD UNVL ETF | 15,678 | $135,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E127 | REIT ETF | 19,438 | $134,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 10,161 | $133,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 26,146 | $129,000 | thousands by filing date | |
| GOLDEN OCEAN GROUP LTD | G39637205 | SHS NEW | 16,346 | $122,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 11,194 | $121,000 | thousands by filing date | |
| DESTRA MULTI-ALTERNATIVE FD | 25065A502 | COMMON SHARES | 18,543 | $121,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 47,130 | $119,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 10,395 | $118,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 37,956 | $104,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 28,034 | $100,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,431 | $97,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 37,796 | $95,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 16,590 | $94,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 15,119 | $93,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 17,338 | $91,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 13,415 | $90,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 23,737 | $88,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 133,851 | $87,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 18,890 | $86,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 10,697 | $85,000 | thousands by filing date | |
| ALPINE 4 HOLDINGS INC | 02083E105 | CL A | 151,025 | $84,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 12,540 | $83,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 14,221 | $82,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,675 | $82,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 10,600 | $81,000 | thousands by filing date | put |
| SPOK HLDGS INC COM | 84863T106 | Stock | 10,280 | $79,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 28,840 | $79,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 13,041 | $76,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 10,759 | $75,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 13,239 | $73,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 18,803 | $71,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 10,399 | $68,000 | thousands by filing date | |
| FATHOM HOLDINGS | 31189V109 | COM | 12,472 | $66,000 | thousands by filing date | |
| BROADMARK RLTY CAP INC | 11135B100 | COM | 12,762 | $65,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,251 | $62,000 | thousands by filing date | |
| BLACK DIAMOND THERAPEUTICS I | 09203E105 | COM | 35,957 | $61,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 69,422 | $61,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 10,151 | $59,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 13,089 | $58,000 | thousands by filing date | |
| HUT 8 MINING CORP | 44812T102 | COMMON STOCK-FO | 31,806 | $57,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,781 | $56,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H601 | COM | 14,818 | $51,000 | thousands by filing date | |
| CONTEXTLOGIC INC | 21077C107 | COMMON STOCK | 70,113 | $51,000 | thousands by filing date | |
| EQUINOX GOLD CORP | 29446Y502 | COM | 13,293 | $49,000 | thousands by filing date | |
| GINKGO BIOWORKS HOLDINGS INC | 37611X100 | CL A SHS | 15,450 | $48,000 | thousands by filing date | |
| VAXART INC NEW | 92243A200 | COM | 22,082 | $48,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 16,888 | $48,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 13,559 | $47,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 20,000 | $45,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 15,793 | $44,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 41,000 | $42,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 40,000 | $41,000 | thousands by filing date | principal |
| BIONANO GENOMICS INC | 09075F107 | COM | 22,164 | $41,000 | thousands by filing date | |
| CRONOS GROUP INC | 22717L101 | COM | 14,032 | $40,000 | thousands by filing date | |
| CANOO INC | 13803R102 | COM CL A | 20,805 | $39,000 | thousands by filing date | |
| Bitfarms Ltd/Canada | 09173B107 | Common Stock | 36,220 | $38,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,054 | $36,000 | thousands by filing date | |
| Akoustis Technologies Inc | 00973N102 | COM | 12,075 | $36,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 11,141 | $34,000 | thousands by filing date | |
| BNY MELLON HIGH YIELD STRATE | 09660L105 | SH BEN INT | 15,913 | $34,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES IN | 34984VAC4 | NOTE 9.000% 8/0 | 34,150 | $33,000 | thousands by filing date | principal |
| AURORA CANNABIS INC-NEW | 05156X884 | COM | 24,592 | $30,000 | thousands by filing date | |
| HEART TEST LABORATORIES INC | 42254E104 | COMMON | 25,000 | $30,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 21,000 | $28,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 19,855 | $26,000 | thousands by filing date | |
| TELLURIAN INC NEW | 87968A104 | COM | 11,032 | $26,000 | thousands by filing date | |
| APPHARVEST INC | 03783T103 | COM | 11,597 | $23,000 | thousands by filing date | |
| IMARA INC | 45249V107 | COM | 10,000 | $23,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 10,780 | $22,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 13,707 | $22,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 11,788 | $21,000 | thousands by filing date | |
| LORDSTOWN MOTORS CORP | 54405Q100 | COM | 10,329 | $19,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 13,559 | $16,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,075 | $15,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 12,800 | $14,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18453H106 | COM | 10,007 | $14,000 | thousands by filing date | |
| 9 METERS BIOPHARMA INC | 654405109 | COM | 67,172 | $14,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 22,065 | $13,000 | thousands by filing date | |
| SAB BIOTHERAPEUTICS INC | 78397T103 | COM | 18,700 | $13,000 | thousands by filing date | |
| THERATECHNOLOGIES INC | 88338HAA8 | NOTE 5.750% 6/3 | 14,000 | $12,000 | thousands by filing date | principal |
| Sigma Additive Solutions, Inc. | 826598500 | common | 15,003 | $12,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,235 | $11,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 10,981 | $10,000 | thousands by filing date | |
| BOXLIGHT CORP | 103197109 | COM CL A | 14,500 | $9,000 | thousands by filing date | |
| VALENS COMPANY INC-NEW | 91914P603 | COM NEW | 12,223 | $8,000 | thousands by filing date | |
| VYANT BIO INC | 92942V109 | COM | 13,933 | $8,000 | thousands by filing date | |
| HUMANIGEN INC | 444863203 | COM NEW | 40,450 | $7,000 | thousands by filing date | |
| TTOO | 89853L104 | Stock | 52,000 | $6,000 | thousands by filing date | |
| WISA TECHNOLOGIES INC | 86633R203 | COM NEW | 11,500 | $6,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 20,032 | $5,000 | thousands by filing date | |
| ALMADEN MINERALS LTD | 020283305 | COMMON STOCK-FO | 24,500 | $5,000 | thousands by filing date | |
| GROM SOCIAL ENTERPRISES INC | 39878L308 | COM NEW | 13,331 | $4,000 | thousands by filing date | |
| HEXO CORP | 428304307 | COM NEW | 15,820 | $3,000 | thousands by filing date | |
| CAMBER ENERGY INC | 13200M508 | COM | 13,150 | $3,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 11,300 | $2,000 | thousands by filing date | |
| BITNILE HOLDINGS INC | 09175M101 | CMN | 12,250 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001697723-22-000005 | this filing | 2022-10-25 | acceptance time not in the bulk data set |