13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-13, with 6,172 holding rows worth $210,341,511,000.
- Accession
- 0000072971-13-000598
- Filer
- CIK 72971
- Filed
- 2013-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, 18,344 entries on the cover page, a total value of $210,341,511,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $210,341,511,000 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 Management, LLC028-11406
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- 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 MANAGEMENT, LLC028-06003
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
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 |
|---|---|---|---|---|---|---|
| AAON INC | 000360206 | COM PAR $0.004 | 29,353 | $780,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 92,400 | $780,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 18,248 | $779,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 15,041 | $777,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 65,406 | $776,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 43,667 | $776,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 125,000 | $773,000 | thousands by filing date | call |
| DIAMOND FOODS INC | 252603105 | COM | 32,806 | $773,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 14,700 | $772,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 10,255 | $771,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 18,868 | $770,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 43,166 | $767,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 137,400 | $767,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 25,281 | $761,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 51,956 | $761,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 261,504 | $761,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 35,846 | $760,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 40,070 | $760,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 742,000 | $759,000 | thousands by filing date | principal |
| SUPERIOR INDS INTL INC | 868168105 | COM | 42,521 | $758,000 | thousands by filing date | |
| SPARTAN STORES INC | 846822104 | COM | 34,372 | $758,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 34,808 | $757,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 40,554 | $757,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 24,308 | $755,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 10,151 | $752,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 126,737 | $752,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 22,909 | $748,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 30,450 | $747,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 12,200 | $745,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 16,172 | $744,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 30,745 | $743,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 645,000 | $743,000 | thousands by filing date | principal |
| CABOT CORP | 127055101 | COM | 17,303 | $739,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 27,741 | $736,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 29,835 | $735,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 33,550 | $733,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 20,376 | $731,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 45,389 | $731,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 45,000 | $729,000 | thousands by filing date | call |
| COOPER TIRE & RUBR CO | 216831107 | COM | 23,665 | $729,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 37,500 | $729,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 792 | $728,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 26,030 | $724,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 58,402 | $723,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 57,122 | $723,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 13,675 | $722,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 20,220 | $721,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 56,760 | $721,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 112,954 | $721,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 46,313 | $719,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 21,684 | $718,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 9,050 | $716,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 48,758 | $715,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 32,832 | $714,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 48,806 | $713,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 11,987 | $712,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 81,330 | $710,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 9,171 | $709,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 42,248 | $708,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 30,818 | $708,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 22,272 | $708,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 53,111 | $708,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 98,064 | $707,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 26,851 | $707,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 68,856 | $706,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 278,405 | $705,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 13,744 | $702,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 69,432 | $699,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 37,055 | $699,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 48,282 | $697,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 72,446 | $696,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 73,343 | $695,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 11,440 | $695,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 17,519 | $695,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 68,384 | $695,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 9,301 | $694,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 172,706 | $694,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 145,820 | $693,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 22,157 | $693,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 61,192 | $690,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 20,470 | $689,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 24,048 | $689,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 64,994 | $689,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 29,157 | $689,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 16,915 | $689,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 87,127 | $688,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 40,321 | $685,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 40,014 | $682,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 6,203 | $681,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 25,473 | $679,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 43,539 | $677,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 54,160 | $676,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 65,344 | $676,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 62,383 | $676,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 160,973 | $676,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 43,254 | $676,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 17,393 | $675,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 45,975 | $674,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 14,525 | $672,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 57,790 | $672,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 41,521 | $671,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 45,402 | $667,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 46,626 | $665,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 400,000 | $663,000 | thousands by filing date | principal |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 20,119 | $662,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 132,000 | $661,000 | thousands by filing date | put |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 186,329 | $659,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 54,486 | $659,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 32,751 | $659,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H248 | ETN DJUBS PMET38 | 9,690 | $659,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 48,559 | $658,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 152,397 | $657,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 19,660 | $655,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 28,683 | $653,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 21,655 | $653,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 266,600 | $653,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 65,273 | $652,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 26,000 | $649,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 57,315 | $647,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 15,396 | $645,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 31,711 | $644,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 53,250 | $643,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 33,600 | $642,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 25,044 | $640,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 14,071 | $639,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 50,841 | $637,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 57,602 | $635,000 | thousands by filing date | |
| BLACKROCK CORPOR HIGH YLD FD | 09255L106 | COM | 88,031 | $633,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 18,928 | $633,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 42,107 | $631,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 20,426 | $630,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 24,458 | $629,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 16,972 | $627,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 9,023 | $626,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 22,776 | $626,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 19,453 | $626,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 500,000 | $626,000 | thousands by filing date | principal |
| ACETO CORP | 004446100 | COM | 39,981 | $625,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 11,225 | $621,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 29,647 | $621,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 11,950 | $618,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 28,733 | $617,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 19,461 | $617,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 62,964 | $615,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 64,126 | $613,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 20,118 | $611,000 | thousands by filing date | |
| INTERMEC INC | 458786100 | COM | 60,693 | $607,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 8,459 | $607,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 66,533 | $606,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 44,544 | $605,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 11,817 | $605,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 31,193 | $604,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 7,090 | $602,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 19,813 | $600,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 25,541 | $596,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 38,611 | $596,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 26,880 | $596,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 6,640 | $595,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 44,866 | $595,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 34,860 | $592,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 73,780 | $590,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 20,330 | $589,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 21,172 | $589,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 53,761 | $588,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 173,947 | $587,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 35,450 | $587,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 12,115 | $587,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 25,742 | $586,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 66,547 | $585,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 16,578 | $582,000 | thousands by filing date | |
| MASTEC INC | 576323AL3 | NOTE 4.000% 6/1 | 300,000 | $582,000 | thousands by filing date | principal |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 32,109 | $580,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 9,807 | $577,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 51,459 | $576,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AF8 | DBCV 6.750%10/1 | 395,000 | $575,000 | thousands by filing date | principal |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 7,338 | $574,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 57,189 | $574,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 44,715 | $570,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 207,500 | $569,000 | thousands by filing date | call |
| SAIA INC | 78709Y105 | COM | 18,230 | $568,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 21,977 | $568,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 19,126 | $567,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 49,739 | $567,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 51,122 | $567,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 30,739 | $566,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 54,128 | $565,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 11,502 | $563,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 52,686 | $563,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 31,451 | $563,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 48,098 | $562,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 71,496 | $562,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 23,881 | $561,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 49,873 | $560,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 106,562 | $560,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 82,101 | $559,000 | thousands by filing date | |
| THOMAS PPTYS GROUP INC | 884453101 | COM | 83,001 | $558,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 28,449 | $557,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 35,386 | $557,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 33,334 | $556,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 24,138 | $554,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 44,519 | $554,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 5,625 | $553,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 31,745 | $553,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 30,780 | $553,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 74,632 | $553,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 41,360 | $552,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 18,047 | $552,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 63,535 | $552,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 105,100 | $552,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 29,558 | $552,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 70,169 | $550,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 25,065 | $549,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 39,095 | $548,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 19,142 | $548,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 24,225 | $545,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,640,400 | $542,000 | thousands by filing date | call |
| UNITIL CORP COM | 913259107 | Stock | 18,484 | $542,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 58,054 | $542,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 47,383 | $542,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 133,500 | $542,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 85,405 | $541,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 45,639 | $540,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 33,350 | $539,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 32,703 | $539,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 12,578 | $538,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 14,502 | $536,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 698,000 | $535,000 | thousands by filing date | principal |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 11,445 | $534,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 15,681 | $533,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 60,306 | $533,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 10,988 | $531,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 21,598 | $530,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 38,612 | $529,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 595,000 | $529,000 | thousands by filing date | principal |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 71,000 | $528,000 | thousands by filing date | call |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 18,511 | $527,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 28,358 | $526,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 39,135 | $525,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 34,551 | $522,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 56,151 | $522,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 29,772 | $520,000 | thousands by filing date | |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 27,484 | $519,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 25,537 | $519,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 11,789 | $518,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 13,024 | $517,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 43,446 | $517,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 20,236 | $517,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 41,499 | $513,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 14,711 | $510,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 110,351 | $509,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 26,527 | $508,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 40,996 | $508,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 27,519 | $507,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 250,000 | $506,000 | thousands by filing date | call |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 122,166 | $506,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 58,426 | $506,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 61,647 | $504,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 69,397 | $502,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 35,075 | $502,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 9,313 | $500,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 29,585 | $500,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 19,220 | $499,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 33,958 | $499,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 135,387 | $497,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 42,094 | $495,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 19,944 | $495,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 20,750 | $494,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 94,876 | $494,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 61,343 | $492,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 25,858 | $491,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 14,525 | $491,000 | thousands by filing date | |
| ADMINISTRADORA FONDOS PENSIO | 00709P108 | SPONSORED ADR | 5,901 | $489,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 8,667 | $488,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 33,272 | $488,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 49,984 | $487,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 56,447 | $486,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 20,271 | $486,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 7,963 | $484,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 456,500 | $482,000 | thousands by filing date | put |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 5,738 | $481,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 76,382 | $481,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 47,981 | $481,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 8,785 | $479,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 49,165 | $478,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 26,383 | $477,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 15,511 | $477,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 38,905 | $477,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 27,046 | $476,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 96,901 | $474,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 31,049 | $472,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 8,704 | $470,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 74,601 | $469,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 28,850 | $468,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 27,651 | $466,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 15,667 | $466,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 62,714 | $466,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 35,564 | $463,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 35,818 | $463,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 53,073 | $461,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 35,215 | $460,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 17,634 | $458,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 14,067 | $458,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 21,577 | $457,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 15,095 | $456,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 51,550 | $454,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 43,590 | $454,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 19,910 | $453,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 7,112 | $452,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 14,740 | $450,000 | thousands by filing date | |
| WEBSTER FINL CORP CONN | 947890117 | *W EXP 11/21/201 | 44,570 | $450,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 32,185 | $449,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 85,248 | $449,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 35,507 | $448,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 25,165 | $448,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 31,871 | $448,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 71,184 | $444,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 31,005 | $443,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 243,650 | $443,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 23,026 | $443,000 | thousands by filing date | |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 15,622 | $441,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 28,755 | $439,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 61,039 | $438,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 35,878 | $438,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 18,358 | $437,000 | thousands by filing date | |
| MONTPELIER RE HLDGS LTD SH | G62185106 | COM | 16,725 | $437,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 13,875 | $436,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 23,996 | $436,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 8,469 | $433,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 17,950 | $432,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 6,651 | $432,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 10,549 | $430,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 8,872 | $430,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 400,000 | $430,000 | thousands by filing date | principal |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 47,518 | $428,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 31,895 | $428,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 116,274 | $427,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 33,155 | $427,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AH6 | NOTE | 337,000 | $427,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 15,945 | $426,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 24,393 | $426,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 42,937 | $425,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 10,336 | $423,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 20,147 | $423,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 32,197 | $422,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 8,986 | $420,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 27,050 | $419,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 9,994 | $418,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 34,352 | $417,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 29,120 | $416,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 13,687 | $414,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 10,134 | $414,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 18,767 | $414,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 35,378 | $413,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 32,704 | $410,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 22,475 | $409,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 26,560 | $408,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 13,423 | $407,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 108,546 | $405,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 38,458 | $405,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 6,206 | $404,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 28,409 | $402,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 21,327 | $402,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 9,101 | $402,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 12,624 | $401,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 37,342 | $400,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 17,368 | $398,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 33,375 | $397,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 47,244 | $397,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 25,775 | $396,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 6,381 | $396,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 33,763 | $396,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 305,000 | $396,000 | thousands by filing date | principal |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 11,458 | $396,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 16,356 | $395,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 11,402 | $395,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 50,000 | $394,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 17,455 | $392,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 17,454 | $392,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 225,200 | $391,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 441,000 | $391,000 | thousands by filing date | put |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 76,307 | $391,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 27,801 | $390,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 23,252 | $389,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 21,597 | $387,000 | thousands by filing date | |
| SINGAPORE FUND | 82929L109 | COM | 29,537 | $387,000 | thousands by filing date | |
| TOWER FINANCIAL CORP | 891769101 | COM | 16,601 | $386,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 12,911 | $385,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 26,168 | $384,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 15,793 | $382,000 | thousands by filing date | |
| CONSOLIDATED GRAPHICS INC | 209341106 | COMMON STOCK | 6,802 | $381,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 15,470 | $379,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 10,943 | $378,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 24,257 | $378,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 144,324 | $378,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 357,000 | $377,000 | thousands by filing date | principal |
| LENNAR CORP CL A | 526057104 | Stock | 462,300 | $376,000 | thousands by filing date | put |
| CARNIVAL PLC ADS | 14365C103 | ADR | 11,114 | $376,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 52,625 | $375,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 22,198 | $375,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 14,315 | $373,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 74,970 | $373,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 20,087 | $372,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 9,601 | $371,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 8,192 | $370,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 6,142 | $369,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 304,000 | $368,000 | thousands by filing date | principal |
| ASTEC INDS INC | 046224101 | COM | 10,128 | $364,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 27,856 | $363,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 92,247 | $363,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 30,271 | $362,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 24,687 | $360,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 10,504 | $359,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 257,100 | $357,000 | thousands by filing date | call |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 15,900 | $357,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 39,900 | $356,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 70,322 | $356,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 28,481 | $355,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 15,927 | $354,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 61,159 | $353,000 | thousands by filing date | |
| CEC ENTERTAINMENT INC | 125137109 | COMMON STOCK | 7,667 | $352,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 50,031 | $351,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 13,151 | $350,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 9,584 | $350,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 110,658 | $348,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 25,062 | $347,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 4,881 | $347,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 17,876 | $346,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 19,034 | $345,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 23,984 | $345,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 25,944 | $345,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 12,722 | $345,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 17,970 | $339,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 15,009 | $339,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 8,565 | $338,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 28,297 | $337,000 | thousands by filing date | |
| EDWARDS GROUP LTD | 281736108 | SPONSORED ADR | 34,260 | $337,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 19,400 | $336,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 25,000 | $336,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 39,205 | $335,000 | thousands by filing date | |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 8,428 | $335,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 45,250 | $335,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 42,015 | $335,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 124,779 | $334,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 24,178 | $334,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 17,278 | $333,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 39,627 | $333,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 21,324 | $333,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 14,848 | $333,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 19,663 | $332,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 19,472 | $331,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 17,492 | $330,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 32,377 | $330,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 24,509 | $330,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 13,510 | $330,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 162,000 | $329,000 | thousands by filing date | |
| MINE SAFETY APPLIANCES CO | 602720104 | COMMON STOCK | 6,391 | $329,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 11,708 | $328,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 168,890 | $328,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 26,030 | $327,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 33,085 | $324,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 14,942 | $324,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 4,029 | $323,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 24,666 | $323,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 305,000 | $322,000 | thousands by filing date | principal |
| LUMOS NETWORKS CORP | 550283105 | COM | 14,842 | $322,000 | thousands by filing date | |
| NUVEEN PA PREMIUM INC MUNI 2 | 67061F101 | COM | 26,283 | $322,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 11,850 | $322,000 | thousands by filing date | |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 12,291 | $321,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 4,505 | $320,000 | thousands by filing date | |
| ING EMERGING MKTS HGH DIV EQ | 45685X104 | COM | 25,093 | $320,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 24,437 | $319,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 106,283 | $319,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 11,769 | $317,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 256 | $317,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 17,470 | $316,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 300,000 | $316,000 | thousands by filing date | principal |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 255,000 | $315,000 | thousands by filing date | principal |
| CVB FINL CORP COM | 126600105 | Stock | 23,245 | $314,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 11,891 | $314,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 17,401 | $312,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,539 | $312,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 16,016 | $312,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 17,681 | $311,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 15,279 | $311,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 41,774 | $311,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 22,935 | $311,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 26,886 | $310,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 24,441 | $310,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 7,223 | $309,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 16,743 | $308,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 10,525 | $308,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 293,442 | $308,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 49,861 | $306,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 60,702 | $306,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 21,503 | $305,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 3,611 | $304,000 | thousands by filing date | |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 22,371 | $304,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 5,734 | $304,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 12,600 | $303,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 24,256 | $302,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-13-000598 | this filing | 2013-11-13 | acceptance time not in the bulk data set |