13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-06, with 6,311 holding rows worth $230,455,583,000.
- Accession
- 0000072971-14-000273
- Filer
- CIK 72971
- Filed
- 2014-02-06
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A combination report, 18,585 entries on the cover page, a total value of $230,455,583,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $230,455,583,000 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 |
|---|---|---|---|---|---|---|
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 51,119 | $1,821,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 593,278 | $1,821,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 106,395 | $1,821,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 44,371 | $1,820,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 72,724 | $1,820,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 40,954 | $1,815,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 15,675 | $1,811,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 136,473 | $1,805,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 126,386 | $1,804,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 26,086 | $1,803,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 25,408 | $1,802,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 142,402 | $1,793,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 198,546 | $1,793,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 68,232 | $1,792,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 27,022 | $1,785,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 19,228 | $1,784,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 700,451 | $1,780,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 28,481 | $1,772,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 125,686 | $1,772,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 33,597 | $1,771,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 151,147 | $1,769,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 111,087 | $1,766,000 | thousands by filing date | |
| ENPRO INDS INC | 29355XAB3 | DBCV 3.938%10/1 | 1,000,000 | $1,762,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343X100 | COM | 40,895 | $1,756,000 | thousands by filing date | |
| USA MOBILITY INC | 90341G103 | COM | 122,972 | $1,756,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 44,786 | $1,756,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 755,376 | $1,752,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 42,989 | $1,751,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 1,743,000 | $1,743,000 | thousands by filing date | principal |
| ISHARES TR | 464288430 | ASIA 50 ETF | 36,291 | $1,741,000 | thousands by filing date | |
| BRE PROPERTIES INC | 05564E106 | CL A | 31,720 | $1,735,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 76,490 | $1,730,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 58,641 | $1,729,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 29,926 | $1,725,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 150,401 | $1,725,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 45,499 | $1,717,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 18,792 | $1,714,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 171,616 | $1,709,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,544,000 | $1,709,000 | thousands by filing date | principal |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 20,303 | $1,707,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 49,941 | $1,702,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 40,310 | $1,699,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 21,149 | $1,693,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 1,192,000 | $1,693,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 133,647 | $1,692,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 87,791 | $1,689,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 108,055 | $1,687,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 114,459 | $1,686,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 49,923 | $1,684,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 77,541 | $1,684,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 60,893 | $1,684,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 279,683 | $1,682,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 166,365 | $1,681,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 144,911 | $1,680,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 81,978 | $1,679,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 28,378 | $1,678,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 51,045 | $1,676,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 41,937 | $1,676,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 92,568 | $1,675,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 92,917 | $1,673,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 60,999 | $1,670,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 47,694 | $1,666,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 16,832 | $1,666,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 181,140 | $1,665,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 40,285 | $1,665,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 119,736 | $1,663,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 175,646 | $1,655,000 | thousands by filing date | |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 1,105,000 | $1,649,000 | thousands by filing date | principal |
| AFC ENTERPRISES INC | 00104Q107 | COM | 42,724 | $1,645,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 87,059 | $1,641,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 41,392 | $1,635,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 37,959 | $1,626,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 66,695 | $1,623,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 101,039 | $1,622,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 215,427 | $1,620,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 38,445 | $1,618,000 | thousands by filing date | |
| FIRSTSERVICE CORP | 33761N109 | SUB VTG SH | 37,556 | $1,617,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 47,303 | $1,615,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 91,968 | $1,613,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 64,479 | $1,611,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 69,739 | $1,609,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 64,464 | $1,607,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 88,940 | $1,604,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 27,133 | $1,589,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 27,944 | $1,587,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 29,020 | $1,585,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 15,179 | $1,584,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 53,448 | $1,583,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 1,547,000 | $1,582,000 | thousands by filing date | principal |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 26,638 | $1,582,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 129,410 | $1,576,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 650,400 | $1,573,000 | thousands by filing date | put |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 1,303,000 | $1,569,000 | thousands by filing date | principal |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 23,264 | $1,567,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 89,199 | $1,567,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 43,833 | $1,561,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 20,336 | $1,558,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 462,242 | $1,558,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 233,897 | $1,558,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 129,343 | $1,552,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 59,968 | $1,551,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 41,858 | $1,548,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 222,163 | $1,547,000 | thousands by filing date | |
| NEWPORT CORP | 651824104 | COM | 85,589 | $1,546,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 62,448 | $1,546,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 70,356 | $1,541,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 31,233 | $1,541,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 903,695 | $1,536,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 52,564 | $1,534,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 1,650,000 | $1,533,000 | thousands by filing date | call |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 119,213 | $1,532,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 42,746 | $1,532,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 36,668 | $1,531,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 47,284 | $1,529,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 32,775 | $1,528,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 78,056 | $1,524,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 48,400 | $1,522,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 41,946 | $1,522,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 87,243 | $1,520,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 87,417 | $1,520,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 79,280 | $1,519,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 44,390 | $1,518,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 61,392 | $1,518,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 58,359 | $1,517,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 119,533 | $1,516,000 | thousands by filing date | |
| PAA NAT GAS STORAGE L P | 693139107 | COM UNIT LTD | 65,846 | $1,514,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 19,415 | $1,513,000 | thousands by filing date | |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 88,413 | $1,513,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 1,402,000 | $1,511,000 | thousands by filing date | principal |
| AEGION CORP | 00770F104 | COMMON STOCK | 68,997 | $1,510,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 25,889 | $1,509,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 75,782 | $1,509,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 39,681 | $1,507,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 76,138 | $1,506,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 83,708 | $1,506,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 84,218 | $1,505,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 23,241 | $1,503,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 37,831 | $1,503,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 64,852 | $1,503,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 44,233 | $1,501,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 1,607,000 | $1,499,000 | thousands by filing date | principal |
| MCEWEN MNG INC | 58039P107 | COM | 764,658 | $1,498,000 | thousands by filing date | |
| ZOLTEK COS INC | 98975W104 | COM | 89,423 | $1,498,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 27,871 | $1,491,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 318,500 | $1,489,000 | thousands by filing date | |
| TORTOISE NORTH AMRN ENRGY CO | 89147T103 | COM | 53,313 | $1,481,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 53,784 | $1,479,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 84,302 | $1,474,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 26,148 | $1,470,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 50,632 | $1,469,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 39,244 | $1,467,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 120,867 | $1,466,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 245,050 | $1,465,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 1,222,000 | $1,462,000 | thousands by filing date | principal |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 60,394 | $1,460,000 | thousands by filing date | |
| TECHE HLDG CO | 878330109 | COM | 29,251 | $1,459,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 145,220 | $1,456,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 127,194 | $1,453,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 147,380 | $1,453,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 103,283 | $1,452,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 46,107 | $1,452,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 1,348,000 | $1,452,000 | thousands by filing date | principal |
| VIRNETX HLDG CORP | 92823T108 | COM | 74,792 | $1,452,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 96,393 | $1,450,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 70,834 | $1,449,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 44,346 | $1,448,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 38,698 | $1,446,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 19,849 | $1,443,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 89,198 | $1,442,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 117,011 | $1,437,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 14,859 | $1,428,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 48,547 | $1,428,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 81,315 | $1,426,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 1,235,000 | $1,425,000 | thousands by filing date | principal |
| APPROACH RESOURCES INC | 03834A103 | COM | 73,670 | $1,421,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 108,414 | $1,420,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 102,044 | $1,419,000 | thousands by filing date | |
| UNS ENERGY CORP | 903119105 | COM | 23,671 | $1,417,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 161,596 | $1,413,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 24,264 | $1,413,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 59,251 | $1,411,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 29,930 | $1,409,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 72,977 | $1,408,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS 3.000/15/24 | 018804AK0 | NOTE | 879,000 | $1,407,000 | thousands by filing date | principal |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 211,837 | $1,406,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 42,594 | $1,399,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 58,935 | $1,397,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 44,991 | $1,397,000 | thousands by filing date | |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 1,042,000 | $1,396,000 | thousands by filing date | principal |
| LINDE PLC F | 532771102 | COM | 48,551 | $1,394,000 | thousands by filing date | |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 27,421 | $1,392,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 254,734 | $1,386,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 12,845 | $1,385,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 1,566,000 | $1,385,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 1,358,000 | $1,385,000 | thousands by filing date | principal |
| TCW CONV SECS FD INC | 872340104 | COM | 259,125 | $1,384,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 105,584 | $1,380,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 24,723 | $1,380,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 293,500 | $1,379,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 54,813 | $1,371,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 117,893 | $1,367,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 246,193 | $1,367,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 67,526 | $1,363,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 86,162 | $1,362,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 34,542 | $1,359,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 51,993 | $1,354,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 18,838 | $1,353,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 99,235 | $1,353,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 24,565 | $1,351,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 149,238 | $1,351,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 51,111 | $1,346,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 66,485 | $1,345,000 | thousands by filing date | |
| UNION FIRST MKT BANKSH CP | 90662P104 | COM | 54,204 | $1,344,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 55,513 | $1,344,000 | thousands by filing date | |
| G & K SVCS INC | 361268105 | CL A | 21,590 | $1,343,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 37,120 | $1,342,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 226,237 | $1,342,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 33,789 | $1,341,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 19,880 | $1,340,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 87,617 | $1,340,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 362,327 | $1,340,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 102,466 | $1,338,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,803,900 | $1,336,000 | thousands by filing date | call |
| PREMIER INC | 74051N102 | CL A | 36,161 | $1,329,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 52,830 | $1,326,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 170,418 | $1,324,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 118,481 | $1,324,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 55,763 | $1,323,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 40,521 | $1,323,000 | thousands by filing date | |
| HOVNANIAN ENTERPRISES INC | 44248W208 | UNIT 99/99/9999 | 41,161 | $1,323,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 37,277 | $1,319,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 78,175 | $1,312,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 82,561 | $1,309,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 25,612 | $1,307,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 189,372 | $1,305,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 136,709 | $1,305,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 46,186 | $1,300,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 227,954 | $1,297,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 51,988 | $1,293,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 33,285 | $1,290,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 13,924 | $1,289,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 60,390 | $1,287,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 13,058 | $1,285,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 47,836 | $1,282,000 | thousands by filing date | |
| DOMINION RESOURCES INC/VA | 25746UAT6 | CNV | 668,000 | $1,281,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 26,738 | $1,280,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 225,614 | $1,277,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 81,168 | $1,276,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 79,800 | $1,276,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 74,214 | $1,274,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 52,997 | $1,272,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 2,282,677 | $1,269,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 26,158 | $1,267,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 50,986 | $1,266,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 35,207 | $1,265,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 58,414 | $1,265,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 22,780 | $1,264,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 136,979 | $1,260,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 62,587 | $1,260,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 62,205 | $1,260,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AC3 | DBCV 4.750% 4/1 | 1,053,000 | $1,253,000 | thousands by filing date | principal |
| PETMED EXPRESS INC | 716382106 | COM | 75,304 | $1,252,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 102,937 | $1,252,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 24,449 | $1,251,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 86,792 | $1,251,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 35,505 | $1,250,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 54,490 | $1,250,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 59,479 | $1,246,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 79,033 | $1,245,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 51,423 | $1,244,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 84,799 | $1,238,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 32,575 | $1,238,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 109,576 | $1,234,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 117,267 | $1,234,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 104,592 | $1,233,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 43,601 | $1,229,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 13,352 | $1,228,000 | thousands by filing date | |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 26,774 | $1,227,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 35,283 | $1,226,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 259,831 | $1,226,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 59,231 | $1,225,000 | thousands by filing date | |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 40,353 | $1,225,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 46,848 | $1,224,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 57,411 | $1,220,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 73,129 | $1,215,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 45,000 | $1,213,000 | thousands by filing date | call |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 26,854 | $1,213,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 80,722 | $1,213,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 86,436 | $1,212,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 46,870 | $1,212,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 134,373 | $1,211,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 7,420 | $1,211,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 65,200 | $1,208,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 68,285 | $1,206,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 22,919 | $1,204,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 67,956 | $1,203,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 88,867 | $1,200,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 85,518 | $1,200,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 31,119 | $1,197,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 123,244 | $1,196,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 40,641 | $1,194,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 42,832 | $1,187,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 216,146 | $1,186,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 78,939 | $1,185,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 844,000 | $1,184,000 | thousands by filing date | principal |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 131,817 | $1,180,000 | thousands by filing date | |
| KONA GRILL INC | 50047H201 | COM | 63,741 | $1,180,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 18,221 | $1,179,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 60,367 | $1,178,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 31,973 | $1,175,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 34,167 | $1,174,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 19,056 | $1,171,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 137,373 | $1,168,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 129,298 | $1,163,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 95,939 | $1,162,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 23,762 | $1,161,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 92,006 | $1,161,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 69,911 | $1,159,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 95,591 | $1,156,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 76,319 | $1,150,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 84,409 | $1,148,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 41,058 | $1,148,000 | thousands by filing date | |
| HARRIS TEETER SUPERMARKETS I | 414585109 | COM | 23,254 | $1,147,000 | thousands by filing date | |
| PROSHARES TR | 74347R230 | PSHS SHTFINL ETF | 55,669 | $1,147,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 26,036 | $1,139,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 326,200 | $1,137,000 | thousands by filing date | put |
| COTY INC | 222070203 | COM CL A | 74,475 | $1,136,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 36,124 | $1,131,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 57,226 | $1,130,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 74,572 | $1,127,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 155,392 | $1,127,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 46,008 | $1,127,000 | thousands by filing date | |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 16,660 | $1,122,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 35,098 | $1,121,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 188,303 | $1,121,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 123,788 | $1,120,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 43,869 | $1,119,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 30,039 | $1,116,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 173,617 | $1,116,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 38,899 | $1,115,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 116,754 | $1,115,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 94,049 | $1,114,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 135,793 | $1,113,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 92,714 | $1,109,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 30,212 | $1,108,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 13,459 | $1,108,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 37,764 | $1,108,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 134,026 | $1,107,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 31,077 | $1,103,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 37,978 | $1,102,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 86,356 | $1,099,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 38,811 | $1,091,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 172,931 | $1,088,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 18,011 | $1,081,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 19,634 | $1,080,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 121,973 | $1,079,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 35,937 | $1,075,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 41,522 | $1,075,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 127,915 | $1,074,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 150,383 | $1,072,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 21,193 | $1,071,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 102,423 | $1,071,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 17,885 | $1,070,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 40,182 | $1,067,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 11,828 | $1,067,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 86,739 | $1,066,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 21,992 | $1,065,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 76,253 | $1,065,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 31,203 | $1,065,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 36,157 | $1,064,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 61,681 | $1,064,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 59,536 | $1,063,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 46,981 | $1,060,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 199,407 | $1,059,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 40,788 | $1,057,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 24,311 | $1,056,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 34,052 | $1,055,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 94,033 | $1,054,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 906,342 | $1,051,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 887,000 | $1,049,000 | thousands by filing date | principal |
| CALLON PETE CO DEL | 13123X102 | COM | 160,495 | $1,048,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 27,368 | $1,047,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 24,662 | $1,047,000 | thousands by filing date | |
| UNISYS CORP | 909214405 | CORPORATE OBLIG | 11,701 | $1,045,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 82,192 | $1,044,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 34,273 | $1,044,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 34,895 | $1,041,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 34,501 | $1,041,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 39,844 | $1,040,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 236,000 | $1,040,000 | thousands by filing date | put |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 119,200 | $1,039,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 23,178 | $1,038,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 86,046 | $1,037,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 39,263 | $1,036,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 32,544 | $1,035,000 | thousands by filing date | |
| HEALTH MGMT ASSOC INC NEW | 421933102 | CL A | 78,848 | $1,033,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 106,979 | $1,032,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 148,629 | $1,031,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 19,617 | $1,030,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 51,594 | $1,029,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 29,826 | $1,028,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 10,000 | $1,028,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 35,655 | $1,024,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 115,113 | $1,023,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 71,769 | $1,020,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 28,908 | $1,019,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 159,316 | $1,018,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 13,512 | $1,017,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 84,793 | $1,017,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 62,643 | $1,014,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 139,171 | $1,012,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 46,945 | $1,010,000 | thousands by filing date | |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 12,193 | $1,007,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 155,620 | $1,007,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 25,447 | $1,006,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 1,443,000 | $1,003,000 | thousands by filing date | principal |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 7,489 | $1,002,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 15,990 | $1,001,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 22,579 | $997,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 18,882 | $992,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 222,917 | $992,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 82,879 | $990,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 315,072 | $989,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 14,878 | $989,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 150,422 | $987,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 111,692 | $985,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 543,759 | $985,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 49,434 | $983,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 75,872 | $982,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 68,321 | $980,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 34,965 | $978,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 25,178 | $976,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 73,720 | $976,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 57,235 | $975,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 86,351 | $973,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 19,752 | $971,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 49,113 | $971,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 16,559 | $970,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 131,063 | $970,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 19,699 | $967,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 6,218 | $961,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 145,554 | $960,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 36,072 | $958,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 20,305 | $957,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 27,003 | $957,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 15,207 | $956,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 29,841 | $956,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 130,188 | $954,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 51,653 | $949,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 113,834 | $949,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 20,462 | $948,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 37,874 | $947,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 53,400 | $941,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 83,042 | $941,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 57,470 | $940,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 38,533 | $938,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 55,844 | $938,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 82,607 | $936,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 7,687 | $936,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 53,336 | $933,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 11,266 | $928,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 36,905 | $928,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 19,911 | $928,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 59,191 | $923,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 25,327 | $923,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 49,867 | $920,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 33,870 | $919,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP | 97650W157 | *W EXP 12/19/201 | 37,500 | $915,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 96,872 | $915,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 45,497 | $913,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 88,628 | $913,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 53,112 | $910,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 15,222 | $909,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 10,262 | $909,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 44,233 | $908,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 86,345 | $908,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 13,757 | $903,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 91,796 | $903,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 58,835 | $900,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 44,688 | $899,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 58,665 | $896,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 41,646 | $895,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 190,000 | $894,000 | thousands by filing date | call |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 45,136 | $894,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 44,240 | $894,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 68,759 | $893,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 196,818 | $892,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 504,000 | $889,000 | thousands by filing date | principal |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 34,102 | $886,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 19,835 | $885,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 119,768 | $885,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 11,083 | $884,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 31,089 | $882,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 44,201 | $881,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 23,416 | $881,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 93,979 | $881,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 16,512 | $880,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 10,832 | $877,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 49,111 | $874,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 21,237 | $869,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000273 | this filing | 2014-02-06 | acceptance time not in the bulk data set |