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 |
|---|---|---|---|---|---|---|
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 71,338 | $869,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 10,968 | $868,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 184,367 | $866,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 236,441 | $866,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 152,000 | $866,000 | thousands by filing date | principal |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 11,367 | $859,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 41,582 | $858,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 52,767 | $858,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 28,164 | $858,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 31,394 | $857,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 19,725 | $857,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 27,116 | $857,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 138,092 | $856,000 | thousands by filing date | |
| CHARTER COMMUNICATION - A | 16117M305 | COM | 6,250 | $855,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 140,100 | $852,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 90,309 | $852,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 219,611 | $850,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 9,441 | $850,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 117,979 | $847,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 48,800 | $846,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 70,507 | $846,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 39,835 | $845,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 69,682 | $842,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 53,684 | $841,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 78,672 | $841,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 271,369 | $837,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 23,848 | $832,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 13,657 | $829,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 16,035 | $828,000 | thousands by filing date | |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 500,000 | $828,000 | thousands by filing date | principal |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 51,595 | $826,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 19,888 | $825,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 66,699 | $824,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 28,229 | $821,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 40,555 | $821,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 90,491 | $819,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 43,981 | $818,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 72,237 | $817,000 | thousands by filing date | |
| QEP MIDSTREAM PARTNERS LP | 74735R115 | COM | 35,004 | $813,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 52,789 | $812,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 71,188 | $811,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 161,944 | $811,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 49,481 | $810,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 20,486 | $805,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 18,300 | $804,000 | thousands by filing date | call |
| PARK NATL CORP COM | 700658107 | Stock | 9,437 | $803,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 26,402 | $803,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 22,616 | $803,000 | thousands by filing date | |
| SUPERTEX INC | 868532102 | COM | 32,000 | $802,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 757,000 | $801,000 | thousands by filing date | principal |
| Coca-Cola Company | 191216100 | COM | 250,000 | $800,000 | thousands by filing date | call |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 46,317 | $800,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 137,013 | $799,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 20,827 | $798,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 17,451 | $797,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 113,470 | $790,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 36,263 | $788,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 40,525 | $788,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 77,015 | $785,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 360,204 | $785,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 38,125 | $784,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 65,034 | $784,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 11,838 | $782,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 87,638 | $781,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 52,807 | $781,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 33,641 | $778,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 100,091 | $778,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 26,615 | $777,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 742,000 | $777,000 | thousands by filing date | principal |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 60,213 | $774,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 133,966 | $772,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 63,128 | $772,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 69,159 | $769,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 84,856 | $768,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 259,805 | $767,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 86,712 | $767,000 | thousands by filing date | |
| PROSHARES SHORT SMALLCAP600 | 74347R784 | COM | 53,273 | $767,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 81,426 | $765,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 19,537 | $764,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 15,195 | $764,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 45,257 | $760,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 20,273 | $759,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 87,872 | $757,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 58,963 | $756,000 | thousands by filing date | |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 65,086 | $755,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 19,120 | $755,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 62,322 | $753,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 55,697 | $753,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 2,478,300 | $752,000 | thousands by filing date | put |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 57,085 | $751,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 17,679 | $750,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 20,871 | $750,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 71,711 | $748,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 27,955 | $748,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 63,415 | $748,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 23,767 | $744,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 24,002 | $743,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 17,267 | $740,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 99,812 | $740,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 81,872 | $739,000 | thousands by filing date | |
| Susser Petroleum Partners, LP | 869239103 | LTD | 22,321 | $739,000 | thousands by filing date | |
| BRIDGE CAP HLDGS | 108030107 | COM | 35,961 | $738,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 32,726 | $734,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 123,925 | $734,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 25,591 | $732,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 52,686 | $731,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 68,496 | $730,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 54,322 | $730,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 12,092 | $728,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 35,497 | $726,000 | thousands by filing date | |
| ING EMERGING MKTS HGH DIV EQ | 45685X104 | COM | 61,799 | $726,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 22,884 | $722,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 235,155 | $720,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 60,426 | $720,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 12,502 | $719,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 79,137 | $719,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 38,151 | $718,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 19,316 | $717,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 6,062 | $717,000 | thousands by filing date | |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 23,971 | $717,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 5,071 | $716,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 53,259 | $711,000 | thousands by filing date | |
| ELIZABETH ARDEN INC | 28660G106 | COM | 20,005 | $709,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 19,715 | $708,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 68,163 | $708,000 | thousands by filing date | |
| JETBLUE AIRWAYS CORP | 477143AF8 | DBCV 6.750%10/1 | 395,000 | $708,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 256,200 | $706,000 | thousands by filing date | call |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 26,536 | $704,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 41,216 | $703,000 | thousands by filing date | |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 14,671 | $702,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 27,113 | $701,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 372,000 | $699,000 | thousands by filing date | put |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 45,974 | $697,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 42,802 | $696,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 56,532 | $696,000 | thousands by filing date | |
| RTI INTL METALS INC 3.000 | 74973WAA5 | NOTE 3.000%12/0 | 613,000 | $695,000 | thousands by filing date | principal |
| GREEN PLAINS INC | 393222104 | COM | 35,741 | $693,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 7,409 | $691,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 73,287 | $687,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 28,822 | $686,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 16,114 | $684,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 57,025 | $683,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 40,667 | $682,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 65,198 | $681,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 11,964 | $680,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 402,100 | $679,000 | thousands by filing date | put |
| INGLES MKTS INC CL A | 457030104 | Stock | 25,057 | $679,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 23,147 | $678,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 6,162 | $678,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 151,500 | $677,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 23,145 | $676,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 45,760 | $675,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 49,898 | $674,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 18,313 | $674,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 23,024 | $674,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 555,000 | $673,000 | thousands by filing date | principal |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 27,293 | $672,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 69,512 | $670,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 155,200 | $670,000 | thousands by filing date | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 70,000 | $669,000 | thousands by filing date | call |
| LENDER PROCESSING SVCS INC | 52602E102 | COM | 17,898 | $669,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 61,257 | $669,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 7,793 | $667,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 56,942 | $665,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 24,500 | $665,000 | thousands by filing date | |
| HOME FEDERAL BANCORP INC/ID | 43710G105 | COM | 44,680 | $665,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 24,363 | $663,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 5,626 | $662,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 84,200 | $659,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435116 | COMMON STOCK-FO | 685,268 | $658,000 | thousands by filing date | |
| COSTA INC | 22149T102 | CL A | 30,151 | $655,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 83,322 | $654,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 70,589 | $654,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 640,000 | $653,000 | thousands by filing date | principal |
| ENGILITY HLDGS INC | 29285W104 | COM | 19,534 | $653,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 177,300 | $652,000 | thousands by filing date | call |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 34,579 | $651,000 | thousands by filing date | |
| PERFECT WORLD CO LTD | 71372U104 | SPON ADR REP B | 36,483 | $649,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 11,976 | $646,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 242,800 | $645,000 | thousands by filing date | call |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 54,417 | $645,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 65,012 | $642,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 30,718 | $641,000 | thousands by filing date | |
| WEBSTER FINL CORP CONN | 947890117 | *W EXP 11/21/201 | 44,570 | $641,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 51,557 | $640,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 41,067 | $639,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 43,981 | $639,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 25,201 | $638,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 64,714 | $638,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 19,015 | $637,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 157,000 | $635,000 | thousands by filing date | put |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 28,133 | $633,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 15,314 | $631,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 26,866 | $630,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 16,191 | $630,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 80,422 | $627,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 69,477 | $625,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 24,634 | $622,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 22,201 | $621,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 20,205 | $621,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 50,960 | $619,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 13,674 | $617,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 153,167 | $614,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 500,000 | $613,000 | thousands by filing date | principal |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 52,409 | $612,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 55,310 | $612,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 19,316 | $610,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 43,807 | $609,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 65,317 | $609,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 72,099 | $609,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 33,164 | $608,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 48,469 | $607,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 37,542 | $605,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 45,691 | $604,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 14,525 | $603,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 16,134 | $598,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 1,637,000 | $598,000 | thousands by filing date | call |
| 8X8 INC | 282914100 | COMMON STOCK | 58,892 | $597,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 69,250 | $597,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 18,160 | $597,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 26,748 | $594,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 28,000 | $592,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 50,537 | $591,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 34,155 | $588,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 30,186 | $586,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 252,500 | $582,000 | thousands by filing date | put |
| CNH INDL N V SHS | N20944109 | Stock | 51,185 | $581,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 77,425 | $581,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 9,222 | $580,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 42,451 | $580,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 48,825 | $579,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 11,478 | $579,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 80,535 | $579,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 55,696 | $579,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 7,156 | $578,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 20,540 | $574,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 12,551 | $574,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 41,527 | $573,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 102,740 | $571,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 46,223 | $571,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 29,183 | $571,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 39,814 | $569,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 129,419 | $569,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 35,990 | $567,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 112,003 | $566,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 105,000 | $562,000 | thousands by filing date | call |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 74,152 | $561,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 83,425 | $561,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 7,341 | $561,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 22,664 | $559,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 24,013 | $557,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 28,752 | $556,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 30,856 | $556,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 16,355 | $552,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 19,386 | $550,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 59,603 | $550,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 26,768 | $549,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 17,281 | $547,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 7,885 | $546,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 26,264 | $546,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 82,460 | $545,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 27,240 | $544,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 40,447 | $539,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 14,857 | $537,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 17,825 | $533,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 11,419 | $530,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 106,309 | $529,000 | thousands by filing date | |
| NORTH VALLEY BANCORP | 66304M204 | COM NEW | 27,972 | $529,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 26,731 | $526,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 7,203 | $525,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 19,329 | $524,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 13,006 | $521,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 58,003 | $520,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 66,233 | $519,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 33,297 | $518,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 62,034 | $516,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 16,883 | $515,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 42,568 | $514,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 28,203 | $513,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 20,618 | $513,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 45,525 | $513,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 12,772 | $512,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 41,662 | $508,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 25,892 | $508,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 9,654 | $508,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 36,015 | $507,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 12,424 | $506,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319AC8 | NOTE 5.750% 6/1 | 114,000 | $506,000 | thousands by filing date | principal |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 38,331 | $503,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 49,657 | $503,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 13,481 | $502,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 82,881 | $501,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 9,794 | $501,000 | thousands by filing date | |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 10,021 | $500,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 6,347 | $499,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 38,926 | $499,000 | thousands by filing date | |
| MONTPELIER RE HLDGS LTD SH | G62185106 | COM | 17,114 | $499,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 22,365 | $498,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 29,094 | $497,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 47,755 | $497,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 22,972 | $497,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 44,999 | $496,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 20,939 | $496,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 38,435 | $495,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 119,394 | $494,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 22,347 | $494,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 57,082 | $494,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 15,151 | $493,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 27,508 | $492,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 35,752 | $492,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 57,920 | $489,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 35,369 | $489,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 36,835 | $488,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 56,652 | $485,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 26,640 | $484,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 1,415,000 | $483,000 | thousands by filing date | call |
| CARNIVAL PLC ADS | 14365C103 | ADR | 11,633 | $482,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 40,341 | $482,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 25,780 | $480,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 12,996 | $480,000 | thousands by filing date | |
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 18,819 | $473,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 78,340 | $471,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 38,744 | $470,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 33,234 | $466,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 58,254 | $465,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 69,943 | $464,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 21,139 | $464,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 29,387 | $464,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 22,593 | $463,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 11,925 | $463,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 34,301 | $460,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 100,000 | $460,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 34,016 | $459,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 437,000 | $457,000 | thousands by filing date | principal |
| CONSOLIDATED GRAPHICS INC | 209341106 | COMMON STOCK | 6,761 | $456,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 35,957 | $455,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 34,035 | $454,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 20,008 | $454,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 13,201 | $453,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 563,000 | $453,000 | thousands by filing date | principal |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 25,035 | $450,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 15,315 | $450,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 25,075 | $449,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 18,485 | $448,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 44,197 | $447,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 325,000 | $447,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 27,444 | $444,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 6,451 | $444,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 321,000 | $443,000 | thousands by filing date | principal |
| EBAY INC. COM | 278642103 | Stock | 109,600 | $442,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 414,000 | $441,000 | thousands by filing date | principal |
| QEP RESOURCES INC | 74733V100 | COM | 200,000 | $440,000 | thousands by filing date | call |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 8,978 | $439,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 19,280 | $438,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 23,860 | $438,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 33,772 | $436,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 8,278 | $436,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 24,307 | $436,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 15,142 | $436,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 8,681 | $436,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 186,923 | $434,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 9,101 | $434,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 218,479 | $433,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 25,312 | $432,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 12,798 | $431,000 | thousands by filing date | |
| ALLIANZGI GLOBAL EQUITY & CO | 01882W100 | COM | 28,158 | $431,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 47,625 | $430,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 13,419 | $429,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 24,222 | $429,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 120,189 | $428,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 50,001 | $428,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 26,915 | $428,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 7,884 | $427,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 10,117 | $427,000 | thousands by filing date | |
| EDWARDS GROUP LTD | 281736108 | SPONSORED ADR | 41,931 | $427,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 20,871 | $425,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 28,446 | $425,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 7,019 | $422,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 34,419 | $422,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 11,344 | $421,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 42,934 | $421,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 200,000 | $420,000 | thousands by filing date | call |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 11,555 | $419,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 41,571 | $418,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 27,851 | $417,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 20,305 | $417,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 19,329 | $417,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 23,660 | $416,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 42,495 | $416,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 55,299 | $416,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 16,238 | $415,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 350,000 | $415,000 | thousands by filing date | principal |
| ZYNGA INC. | 98986T108 | CL A | 108,874 | $414,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 33,968 | $414,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 14,077 | $413,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 35,378 | $413,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 7,701 | $413,000 | thousands by filing date | |
| VIRGINIA COMM BANCORP INC | 92778Q109 | COM | 24,257 | $412,000 | thousands by filing date | |
| TOWER FINANCIAL CORP | 891769101 | COM | 16,602 | $412,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 13,594 | $411,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 17,216 | $409,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 28,497 | $409,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 32,161 | $408,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 44,262 | $407,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 19,159 | $407,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 29,294 | $407,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 31,448 | $407,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 32,363 | $406,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 24,253 | $406,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 20,106 | $404,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 10,000 | $404,000 | thousands by filing date | put |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 22,438 | $404,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 159,310 | $403,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 65,002 | $403,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 22,329 | $402,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956AB8 | NOTE 2.000% 8/0 | 400,000 | $401,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 19,407 | $401,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 507,700 | $400,000 | thousands by filing date | put |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 19,542 | $399,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 91,500 | $399,000 | thousands by filing date | call |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 12,791 | $398,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 58,313 | $398,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 31,164 | $397,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 21,398 | $397,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 14,173 | $397,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 17,237 | $396,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 25,907 | $393,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 34,104 | $392,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 10,911 | $391,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 19,727 | $389,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 10,031 | $387,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 17,051 | $386,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 15,174 | $386,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 29,184 | $383,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 23,958 | $383,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 4,320 | $383,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 27,172 | $382,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 20,155 | $381,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 965,000 | $380,000 | thousands by filing date | put |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 19,600 | $380,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 62,538 | $378,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 10,545 | $378,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 8,278 | $377,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 44,620 | $377,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 38,492 | $377,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 296 | $377,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 17,394 | $377,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 27,365 | $376,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 302,000 | $376,000 | thousands by filing date | principal |
| ALUMINA LTD ADR | 022205108 | COM | 94,596 | $375,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 25,737 | $373,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 27,818 | $373,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 6,651 | $373,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 14,316 | $373,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 38,001 | $371,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 26,533 | $370,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 14,839 | $369,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 4,172 | $368,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 22,323 | $368,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 17,170 | $365,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 27,953 | $364,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 109,505 | $364,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 28,021 | $363,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 38,932 | $362,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 48,412 | $361,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 19,718 | $361,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 8,191 | $361,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 168,890 | $361,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 7,676 | $360,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 22,330 | $358,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 16,869 | $356,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 19,734 | $355,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 300,000 | $355,000 | thousands by filing date | principal |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 15,358 | $353,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 40,500 | $352,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 13,035 | $352,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 16,000 | $352,000 | thousands by filing date | |
| ETFS WHITE METALS BASKET TR | 26923B104 | PHY WM BSK SHS | 9,230 | $352,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 37,828 | $351,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 49,327 | $351,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 8,878 | $350,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 50,001 | $350,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 29,257 | $350,000 | thousands by filing date | |
| ISHARES TR | 464287135 | NYSE 100INX FD | 4,116 | $349,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 104,496 | $348,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 47,798 | $347,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 37,955 | $347,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 16,515 | $347,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 6,170 | $346,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 23,904 | $346,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 10,159 | $346,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 40,747 | $345,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 197,409 | $345,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 23,600 | $344,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 305,000 | $343,000 | thousands by filing date | principal |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 6,745 | $343,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 5,709 | $342,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 33,520 | $341,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 340,000 | $340,000 | thousands by filing date | call |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,539 | $339,000 | 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 |