13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-13, with 6,098 holding rows worth $193,277,784,000.
- Accession
- 0000072971-13-000507
- Filer
- CIK 72971
- Filed
- 2013-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A combination report, 18,773 entries on the cover page, a total value of $193,277,784,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $193,277,784,000 with VALUE read as thousands by filing date, 13F file number 028-00165. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerCINQUE PARTNERS LLC028-15192
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerWells Fargo Funds Management, LLC028-11406
- included managerNelson Capital Management, LLC028-10450
- included managerMETROPOLITAN WEST CAPITAL MANAGEMENT LLC /CA028-05723
- included managerWELLS FARGO ADVISORS FINANCIAL NETWORK, LLC028-13117
- included managerWELLS FARGO ADVISORS, LLC028-13118
- included managerWELLS FARGO DELAWARE TRUST CO, N.A.028-12628
- included managerWells Fargo Securities, LLC028-13600
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
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 |
|---|---|---|---|---|---|---|
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 20,292 | $269,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 41,519 | $269,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 21,624 | $269,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 13,277 | $268,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 14,502 | $267,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06738G407 | ETN DJUBS IND MT | 9,429 | $267,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 125,000 | $266,000 | thousands by filing date | call |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 21,401 | $266,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 28,548 | $266,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 17,823 | $265,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 3,415 | $262,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 12,500 | $262,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 9,994 | $262,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 18,372 | $261,000 | thousands by filing date | |
| ISHARES TR | 464287135 | NYSE 100INX FD | 3,448 | $260,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 17,167 | $259,000 | thousands by filing date | |
| CEC ENTERTAINMENT INC | 125137109 | COMMON STOCK | 6,302 | $259,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 25,726 | $258,000 | thousands by filing date | |
| BROOKFIELD OFFICE PPTYS INC | 112900105 | COM | 15,438 | $258,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 82,383 | $257,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 29,831 | $257,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 27,100 | $256,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 18,380 | $256,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 6,980 | $256,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 50,001 | $256,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 41,774 | $256,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 4,333 | $255,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 24,910 | $255,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 16,202 | $255,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 21,933 | $254,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 22,162 | $254,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 25,706 | $254,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 5,588 | $253,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD III | 09255M104 | COM | 34,146 | $253,000 | thousands by filing date | |
| POWER-ONE INC | 73930R102 | COMMON STOCK | 39,821 | $252,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 30,832 | $251,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 35,740 | $250,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 175,000 | $247,000 | thousands by filing date | principal |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 3,600 | $247,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 15,575 | $247,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 13,661 | $246,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 13,540 | $246,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 200,000 | $246,000 | thousands by filing date | principal |
| TOWER FINANCIAL CORP | 891769101 | COM | 16,801 | $246,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 10,991 | $245,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 7,625 | $245,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 17,684 | $244,000 | thousands by filing date | |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 2,867,743 | $244,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 5,450 | $244,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 6,436 | $243,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 106,283 | $243,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 14,121 | $242,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 34,865 | $242,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 20,228 | $241,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 10,842 | $240,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 17,208 | $240,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 23,352 | $239,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 9,918 | $238,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 12,722 | $238,000 | thousands by filing date | |
| BUCKEYE TECHNOLOGIES INC | 118255108 | COM | 6,393 | $237,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 14,328 | $236,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 21,433 | $235,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 5,450 | $235,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 61,677 | $234,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 21,036 | $232,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 11,484 | $231,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 37,745 | $231,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 14,900 | $230,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 132,368 | $230,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 14,495 | $230,000 | thousands by filing date | |
| CARDIONET INC | 14159L103 | COM | 39,000 | $230,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 567,000 | $230,000 | thousands by filing date | principal |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 4,799 | $229,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 20,038 | $229,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 16,503 | $228,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,885 | $227,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 2,871 | $226,000 | thousands by filing date | |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 225,000 | $225,000 | thousands by filing date | principal |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 13,542 | $224,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 14,782 | $224,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 15,760 | $223,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 12,795 | $223,000 | thousands by filing date | |
| HERTZ GLOBAL HOLDINGS INC | 42805TAA3 | NOTE 5.250% 6/0 | 74,000 | $223,000 | thousands by filing date | principal |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 49,531 | $221,000 | thousands by filing date | |
| ASTEX PHARMACEUTICALS INC | 04624B103 | COM | 53,636 | $221,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 4,400 | $221,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 40,949 | $221,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 2,995 | $220,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 16,096 | $220,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 17,100 | $219,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 227,000 | $218,000 | thousands by filing date | principal |
| NANOSPHERE INC | 63009F105 | COM | 70,900 | $218,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 4,800 | $218,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 5,477 | $218,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 56,545 | $218,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 19,003 | $217,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 22,518 | $216,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 8,278 | $215,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 14,451 | $215,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 11,450 | $214,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 8,915 | $213,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 27,600 | $213,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 17,201 | $211,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 9,375 | $210,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 15,178 | $210,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 19,792 | $210,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 22,219 | $208,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 15,877 | $208,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 34,710 | $208,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 3,760 | $207,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 6,834 | $207,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 6,331 | $206,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 4,305 | $206,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 161,261 | $206,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 99,400 | $205,000 | thousands by filing date | put |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 16,732 | $205,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 52,082 | $205,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 9,517 | $205,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 14,837 | $204,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 5,128 | $204,000 | thousands by filing date | |
| PROSHARES TR | 74347R842 | PSHS ULTRUSS2000 | 3,387 | $203,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 12,001 | $203,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 168,890 | $203,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 8,760 | $202,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 43,935 | $202,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 24,667 | $202,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 15,591 | $202,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 15,055 | $201,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 3,262 | $201,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 8,554 | $200,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 5,741 | $199,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 10,131 | $199,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 6,212 | $198,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 4,609 | $198,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 4,400 | $197,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 8,880 | $195,000 | thousands by filing date | put |
| S & T BANCORP INC COM | 783859101 | Stock | 9,942 | $195,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,470 | $195,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 19,101 | $195,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 80,000 | $194,000 | thousands by filing date | put |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 4,430 | $194,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 40,000 | $194,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 14,151 | $194,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 7,560 | $193,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,885 | $193,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 4,829 | $193,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 196,000 | $193,000 | thousands by filing date | principal |
| CHATHAM LODGING TR | 16208T102 | COM | 11,200 | $192,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 14,190 | $192,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 38,300 | $192,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 16,559 | $192,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 3,531 | $191,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 3,500 | $190,000 | thousands by filing date | |
| SPDR S&P | 78463X723 | CONSM SPLS ETF | 5,151 | $189,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,726 | $188,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 9,797 | $188,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 14,033 | $188,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 5,923 | $187,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,520 | $186,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 88,723 | $186,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 16,092 | $185,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 9,647 | $185,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 17,073 | $185,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 7,026 | $184,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 7,551 | $184,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 11,088 | $184,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 414,200 | $182,000 | thousands by filing date | call |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 42,822 | $182,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 12,951 | $182,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 125,000 | $181,000 | thousands by filing date | put |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 17,150 | $181,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 197,000 | $181,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 10,039 | $180,000 | thousands by filing date | |
| GREENWAY MED TECHNOLOGIES IN | 39679B103 | COM | 14,595 | $180,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 13,585 | $180,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 12,567 | $179,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 20,555 | $179,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 125,000 | $179,000 | thousands by filing date | call |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 33,541 | $178,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 21,499 | $178,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 6,569 | $178,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 3,624 | $177,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 7,439 | $177,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 5,641 | $177,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 14,933 | $176,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 23,576 | $175,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 2,979 | $175,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 9,720 | $175,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 7,609 | $175,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 6,698 | $175,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 16,693 | $175,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 13,437 | $174,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 3,311 | $174,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 10,653 | $174,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 124,487 | $173,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 13,424 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 12,036 | $171,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M662 | GUGG ENH CRE BN | 3,434 | $171,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 11,807 | $170,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,969 | $170,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 749 | $169,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 51,810 | $168,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U407 | GBL ALTER ENRG | 11,007 | $168,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 18,318 | $168,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 11,409 | $167,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 10,929 | $167,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 31,175 | $167,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 12,185 | $167,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 9,501 | $166,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 12,642 | $166,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 9,009 | $165,000 | thousands by filing date | |
| NUVEEN PA DIV ADVANTAGE MUN | 67070E103 | COM | 12,405 | $165,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 16,644 | $164,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 3,174 | $163,000 | thousands by filing date | |
| PIPER SANDLER COMPANIES | 724078100 | COM | 5,166 | $163,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 6,529 | $163,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 41,700 | $163,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 3,059 | $163,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 38,625 | $163,000 | thousands by filing date | |
| PHH CORP | 693320AQ6 | CNV | 90,000 | $162,000 | thousands by filing date | principal |
| GRANITE CONSTR INC COM | 387328107 | Stock | 5,423 | $161,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 41,170 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 12,017 | $161,000 | thousands by filing date | |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 22,232 | $161,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 6,152 | $160,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 15,713 | $160,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 47,259 | $160,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 2,953 | $159,000 | thousands by filing date | |
| EATON VANCE CALIF MUN BD FD | 27828C106 | COM | 13,866 | $159,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 12,880 | $159,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 37,476 | $158,000 | thousands by filing date | |
| LEUCADIA NATIONAL CORP | 527288AX2 | NOTE 3.750% | 125,000 | $158,000 | thousands by filing date | principal |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 10,889 | $157,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 8,412 | $157,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 21,387 | $157,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 9,864 | $157,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 25,196 | $157,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 7,461 | $157,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 6,650 | $156,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 10,698 | $156,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 5,014 | $156,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 8,894 | $156,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 5,415 | $155,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 5,769 | $155,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 7,797 | $155,000 | thousands by filing date | |
| MONARCH FINANCIAL HOLDINGS | 60907Q100 | COM | 14,332 | $155,000 | thousands by filing date | |
| MINE SAFETY APPLIANCES CO | 602720104 | COMMON STOCK | 3,325 | $154,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 155,000 | $154,000 | thousands by filing date | principal |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,201 | $154,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 29,779 | $153,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 16,893 | $153,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,228 | $153,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 4,650 | $153,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 10,182 | $153,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,301 | $152,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 3,630 | $152,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 13,653 | $152,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268100 | COM | 20,043 | $152,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 122,000 | $152,000 | thousands by filing date | principal |
| S.Y. BANCORP INC | 785060104 | COM | 6,225 | $152,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 25,200 | $152,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 9,755 | $152,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,097 | $151,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 13,126 | $151,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B867 | CAN SML CP ETF | 7,696 | $151,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 19,188 | $147,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 14,200 | $147,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 1,489 | $147,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 29,752 | $145,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 7,611 | $145,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 50,000 | $144,000 | thousands by filing date | put |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 12,701 | $144,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 2,080 | $144,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 164,000 | $144,000 | thousands by filing date | principal |
| WI-LAN INC | 928972108 | COM | 31,000 | $143,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 16,791 | $143,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 5,717 | $142,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 7,145 | $142,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 5,197 | $141,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 21,741 | $140,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 8,268 | $140,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 9,201 | $140,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 2,792 | $139,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 123,000 | $139,000 | thousands by filing date | principal |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 5,396 | $139,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 4,184 | $138,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 7,659 | $138,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 22,926 | $138,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 5,095 | $137,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 3,893 | $136,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,385 | $136,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 71,530 | $136,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 94,000 | $136,000 | thousands by filing date | put |
| SUPERVALU INC | 868536103 | COM | 21,717 | $136,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 4,500 | $135,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 14,187 | $134,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 2,470 | $134,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,651 | $133,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 1,659 | $132,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 3,340 | $132,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 2,016 | $132,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H198 | ETN DJUBS TIN 38 | 2,985 | $132,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 30,242 | $131,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 17,600 | $131,000 | thousands by filing date | |
| Schwab US TIPS ETF | 808524870 | SHS | 2,411 | $130,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 2,680 | $130,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 100,000 | $130,000 | thousands by filing date | put |
| PCM INC | 69323K100 | COM | 13,500 | $130,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K833 | MTL SHRT ETN38 | 7,488 | $130,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 8,329 | $129,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,549 | $128,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 5,361 | $128,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 1,928 | $128,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 3,090 | $128,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 11,194 | $127,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 32,026 | $127,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 16,846 | $126,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 9,616 | $126,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 7,168 | $125,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 106,938 | $125,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 8,873 | $124,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 7,731 | $124,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 29,252 | $124,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 7,206 | $124,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 11,315 | $124,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 6,016 | $124,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 1,925 | $123,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 12,867 | $122,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 6,889 | $122,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 6,186 | $121,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 4,972 | $121,000 | thousands by filing date | |
| COBRA ELECTRONICS CORP | 191042100 | COM | 39,800 | $121,000 | thousands by filing date | |
| BLACKROCK PA STRATEGIC MUN T | 09248R103 | COM | 9,351 | $121,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 2,951 | $120,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 115,000 | $120,000 | thousands by filing date | principal |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 25,951 | $120,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 9,169 | $120,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 5,336 | $119,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233606 | CV PFD-E 7.25% | 4,747 | $119,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 9,351 | $118,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 19,701 | $118,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 45,026 | $118,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 11,381 | $118,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,125 | $118,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 25,651 | $118,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 4,354 | $118,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 4,001 | $117,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 6,960 | $117,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 2,410 | $115,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 16,700 | $115,000 | thousands by filing date | |
| STEINWAY MUSICAL INSTRUMENTS | 858495104 | COM | 3,771 | $115,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 12,692 | $114,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 9,404 | $114,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 8,689 | $113,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 16,645 | $112,000 | thousands by filing date | |
| MATTRESS FIRM HLDG CORP | 57722W106 | COM | 2,780 | $112,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 7,988 | $112,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 7,240 | $112,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 11,557 | $112,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 6,335 | $112,000 | thousands by filing date | |
| POWERSHARES DYNAMIC OTC | 73935X203 | COM | 1,944 | $112,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 21,500 | $111,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 4,600 | $111,000 | thousands by filing date | |
| AMER MUN INCOME PORT INC | 027649102 | COM | 7,600 | $111,000 | thousands by filing date | |
| AMDOCS LTD | 02342tad1 | NOTE 0.500% 3/1 | 133,000 | $111,000 | thousands by filing date | principal |
| GRAHAM CORP | 384556106 | COM | 3,675 | $110,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 3,877 | $110,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 100,000 | $109,000 | thousands by filing date | put |
| DATALINK CORP | 237934104 | COMMON STOCK | 10,245 | $109,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 29,052 | $108,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 70,848 | $107,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 7,979 | $107,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 6,267 | $107,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 5,683 | $107,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 13,975 | $107,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 2,734 | $106,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 2,247 | $106,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 7,080 | $106,000 | thousands by filing date | |
| MARKET LEADER INC | 57056R103 | COM | 9,839 | $106,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 12,511 | $105,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 5,170 | $105,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 4,139 | $105,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 4,719 | $105,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H255 | ETN DJUBSPLATM38 | 3,536 | $105,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 1,438 | $104,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 1,752 | $104,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 22,450 | $103,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 46,900 | $103,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 5,807 | $103,000 | thousands by filing date | |
| REVENUESHARES ADR | 761396605 | ADR FD | 2,954 | $102,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 3,322 | $101,000 | thousands by filing date | |
| Nuveen Cal Performance | 67062Q106 | COM | 6,911 | $101,000 | thousands by filing date | |
| ASSISTED LIVING CONCPT NEV N | 04544X300 | CL A NEW | 8,454 | $101,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 19,600 | $100,000 | thousands by filing date | put |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 6,601 | $100,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 8,400 | $99,000 | thousands by filing date | put |
| ANGIODYNAMICS INC | 03475V101 | COM | 8,754 | $99,000 | thousands by filing date | |
| FLEXSHARES IBOXX 5 YR TARGET D | 33939L605 | IBOXX 5YR TRGT | 3,977 | $99,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,465 | $99,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 18,276 | $99,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 2,745 | $99,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 3,044 | $98,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 5,198 | $98,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 45,454 | $98,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 6,939 | $98,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 1,248 | $97,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 14,560 | $97,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 8,947 | $97,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP COM | 635906100 | Stock | 2,003 | $96,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 1,103 | $96,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 53,429 | $96,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 3,334 | $96,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 7,294 | $96,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 79,000 | $96,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 95,100 | $95,000 | thousands by filing date | put |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 6,464 | $95,000 | thousands by filing date | |
| ISHARES MSCI BRAZIL SMALL-CAP ETF | 464289131 | ETF | 4,476 | $95,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 5,202 | $95,000 | thousands by filing date | |
| CBEYOND INC | 149847105 | COM | 12,159 | $95,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 3,237 | $94,000 | thousands by filing date | |
| NETSPEND HOLDINGS INC | 64118V106 | COMMON STOCK | 5,902 | $94,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 207,100 | $93,000 | thousands by filing date | call |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,000 | $93,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 5,615 | $93,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 4,958 | $93,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 6,300 | $92,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 2,786 | $92,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 6,000 | $92,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 6,773 | $91,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 10,376 | $90,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 10,200 | $90,000 | thousands by filing date | call |
| SIFCO INDS INC | 826546103 | COM | 5,567 | $90,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 1,901 | $90,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 14,456 | $90,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 69,000 | $90,000 | thousands by filing date | principal |
| BOX SHIPS INC | Y09675102 | CMN | 23,587 | $90,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 31,867 | $88,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 3,549 | $88,000 | thousands by filing date | |
| DELL INC | 24702R101 | COM | 10,000 | $88,000 | thousands by filing date | put |
| MITEK SYS INC | 606710200 | COM NEW | 15,000 | $87,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 12,700 | $87,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 19,679 | $87,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 5,904 | $86,000 | thousands by filing date | |
| FURNITURE BRANDS INTL INC | 360921209 | COM | 21,417 | $86,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 2,772 | $86,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 2,340 | $86,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A318 | NUVN S&P VRDO MN | 2,901 | $86,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 6,936 | $85,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 4,031 | $85,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 100,000 | $85,000 | thousands by filing date | principal |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 50,000 | $85,000 | thousands by filing date | put |
| RESEARCH FRONTIERS INC | 760911107 | COM | 21,014 | $84,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 46,000 | $84,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 3,855 | $84,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 9,904 | $84,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 1,387 | $83,000 | thousands by filing date | |
| FROZEN FOOD EXPRESS INDUSTRI | 359360104 | COM | 51,718 | $83,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 2,335 | $83,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 10,984 | $82,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 1,248 | $82,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 6,051 | $82,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 35,520 | $82,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 5,006 | $82,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 4,291 | $81,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 3,447 | $81,000 | thousands by filing date | |
| SAKS INC | 79377W108 | COM | 5,964 | $81,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 107,400 | $80,000 | thousands by filing date | put |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 5,497 | $80,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 2,789 | $80,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 5,697 | $80,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 17,154 | $80,000 | thousands by filing date | |
| FIRST CITIZENS BANC CORP | 319459202 | COM | 11,056 | $80,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 1,401 | $79,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 18,926 | $79,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 5,501 | $79,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 5,376 | $78,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 111,247 | $78,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 79,273 | $77,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 10,984 | $77,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 8,798 | $77,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 7,901 | $77,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 5,710 | $77,000 | thousands by filing date | |
| GREATER CHINA FD INC COM | 39167B102 | MUTUAL | 6,965 | $76,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 3,238 | $75,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 63,000 | $75,000 | thousands by filing date | principal |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 7,387 | $75,000 | thousands by filing date | |
| ARBITRON INC | 03875Q108 | COM | 1,607 | $75,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 6,800 | $75,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 68,300 | $74,000 | thousands by filing date | call |
| BAR HBR BANKSHARES | 066849100 | COM | 2,001 | $74,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 1,611 | $74,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 5,708 | $74,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 5,070 | $74,000 | thousands by filing date | |
| INVESTORS BANCORP INC | 46146P102 | COM | 3,500 | $74,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 890 | $74,000 | thousands by filing date | |
| FEDERAL AGRICULTURAL MORTGAGE CORP | 313148108 | Class A | 3,000 | $73,000 | thousands by filing date | |
| AMERICA MOVIL SAB DE CV | 02364W204 | SPONSORED ADR | 3,456 | $73,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 3,165 | $73,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 25,509 | $73,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 2,730 | $73,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-13-000507 | this filing | 2013-08-13 | acceptance time not in the bulk data set |