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 |
|---|---|---|---|---|---|---|
| PENNEY J C INC | 708160106 | COM | 110,700 | $338,000 | thousands by filing date | put |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 32,008 | $337,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 11,981 | $337,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 11,501 | $337,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 41,693 | $334,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 5,769 | $333,000 | thousands by filing date | |
| CEC ENTERTAINMENT INC | 125137109 | COMMON STOCK | 7,542 | $333,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 23,234 | $333,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 12,530 | $332,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 169,500 | $331,000 | thousands by filing date | call |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 24,223 | $331,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 875,340 | $331,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 119,048 | $331,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 26,033 | $328,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 15,053 | $326,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 10,958 | $326,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 11,937 | $323,000 | thousands by filing date | |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 24,476 | $323,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 329,000 | $323,000 | thousands by filing date | principal |
| REPLIGEN CORP COM | 759916109 | Stock | 23,621 | $322,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 157,733 | $321,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 51,901 | $321,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 44,919 | $320,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 14,141 | $320,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 12,001 | $319,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 5,055 | $317,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 32,150 | $317,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 21,870 | $317,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 12,317 | $316,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 17,294 | $314,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 53,419 | $313,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 41,774 | $312,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 4,560 | $312,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 300,000 | $311,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 9,011 | $311,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 23,857 | $310,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 296,800 | $309,000 | thousands by filing date | call |
| TREDEGAR CORP | 894650100 | COM | 10,734 | $309,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 21,681 | $309,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 24,667 | $309,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 26,138 | $309,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 46,588 | $309,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 17,631 | $308,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 88,347 | $308,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 38,300 | $308,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 244,000 | $307,000 | thousands by filing date | principal |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 11,178 | $306,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 21,069 | $306,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 293,442 | $305,000 | thousands by filing date | |
| MINE SAFETY APPLIANCES CO | 602720104 | COMMON STOCK | 5,945 | $305,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 8,697 | $304,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 34,513 | $304,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 20,135 | $304,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 16,302 | $303,000 | thousands by filing date | |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 16,525 | $303,000 | thousands by filing date | |
| BROOKFIELD OFFICE PPTYS INC | 112900105 | COM | 15,684 | $302,000 | thousands by filing date | |
| NUVEEN PA PREMIUM INC MUNI 2 | 67061F101 | COM | 25,378 | $302,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 12,063 | $302,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 21,570 | $300,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 26,333 | $299,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 12,103 | $299,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 15,979 | $299,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 5,350 | $299,000 | thousands by filing date | |
| SPDR S&P INTL TELECOM SECTOR | 78463X640 | CMN | 10,054 | $298,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 22,435 | $297,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 23,755 | $297,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 19,723 | $297,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 23,088 | $296,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 3,995 | $295,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 23,998 | $294,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 9,709 | $292,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 5,274 | $292,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 9,618 | $291,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 3,562 | $290,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 21,544 | $289,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 73,611 | $289,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 5,599 | $288,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 4,585 | $287,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 16,545 | $287,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 10,323 | $287,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 650,000 | $285,000 | thousands by filing date | call |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 21,872 | $285,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 32,471 | $284,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 29,016 | $284,000 | thousands by filing date | |
| GLOBAL TELECOM & TECHNOLOGY IN | 378979108 | COM | 38,966 | $284,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 71,855 | $282,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 6,139 | $281,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 17,932 | $281,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 12,778 | $281,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 182,700 | $278,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 67,983 | $276,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 13,282 | $275,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 81,688 | $275,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 22,199 | $275,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 257,100 | $274,000 | thousands by filing date | call |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 21,898 | $274,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 8,452 | $273,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 35,866 | $273,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 18,588 | $273,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 19,169 | $273,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 22,433 | $272,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 14,712 | $272,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 24,411 | $271,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 204,000 | $270,000 | thousands by filing date | principal |
| Market Vectors Small Cap India | 57061r551 | COM | 8,466 | $269,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 60,700 | $268,000 | thousands by filing date | call |
| CSG SYSTEMS | 126349109 | COM | 9,114 | $268,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 12,510 | $267,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 16,000 | $267,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 7,649 | $267,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,462 | $266,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 21,852 | $266,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 37,250 | $266,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 10,925 | $265,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 60,778 | $265,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 21,802 | $264,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 22,798 | $264,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,885 | $263,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 3,025 | $263,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 19,189 | $263,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 27,972 | $263,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 14,927 | $263,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 2,922 | $262,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 3,054 | $262,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 3,197 | $262,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 18,813 | $261,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 249,000 | $261,000 | thousands by filing date | principal |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 24,627 | $261,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 16,227 | $260,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 3,362 | $260,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 7,953 | $260,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 10,880 | $260,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 3,041 | $259,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 9,453 | $259,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 20,909 | $259,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 197,000 | $259,000 | thousands by filing date | principal |
| JBT MAREL CORPORATION | 477839104 | COM | 8,805 | $258,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 30,763 | $258,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 21,817 | $257,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 10,363 | $255,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,920 | $254,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 315,100 | $254,000 | thousands by filing date | call |
| HICKORYTECH CORP | 429060106 | COM | 19,793 | $254,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 14,323 | $253,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 13,277 | $252,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 200,000 | $252,000 | thousands by filing date | put |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 8,961 | $252,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 20,179 | $252,000 | thousands by filing date | |
| OUTERWALL INC | 690070107 | COM | 170,000 | $251,000 | thousands by filing date | put |
| NMI HLDGS INC | 629209305 | COM | 19,290 | $246,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 32,031 | $246,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 9,541 | $246,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 14,426 | $246,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 5,613 | $245,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 2,707 | $245,000 | thousands by filing date | |
| ISHARES ESG AWARE MSCI EM ETF | 464288463 | ETF | 7,625 | $245,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 22,100 | $245,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 4,650 | $244,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 25,443 | $243,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 116,000 | $240,000 | thousands by filing date | call |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 29,750 | $239,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 7,159 | $239,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 6,724 | $239,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 77,411 | $238,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 15,446 | $238,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 11,792 | $238,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 1,499 | $238,000 | thousands by filing date | |
| POWERSHARES DB GOLD FUND | 73936B606 | DB G | 5,883 | $237,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 18,467 | $236,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 5,216 | $235,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 64,000 | $235,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 2,934 | $235,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 16,877 | $234,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 17,046 | $234,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 12,491 | $234,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 4,400 | $234,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 16,781 | $234,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 3,482 | $233,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 3,045 | $233,000 | thousands by filing date | |
| UNIVERSAL LOGISTICS HOLDINGS | 91388P105 | COMMON STOCK | 7,626 | $233,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 9,142 | $232,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 8,439 | $232,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 11,632 | $232,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 567,000 | $232,000 | thousands by filing date | principal |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 20,387 | $231,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 90,200 | $230,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 212,800 | $230,000 | thousands by filing date | call |
| MICRON TECHNOLOGY INC | 595112AH6 | NOTE | 150,000 | $229,000 | thousands by filing date | principal |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 12,180 | $229,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 7,665 | $227,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 8,275 | $227,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 6,261 | $227,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 19,093 | $227,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 161,806 | $227,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 45,044 | $227,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 2,811 | $226,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 32,206 | $224,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 28,100 | $223,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 17,937 | $222,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 20,758 | $222,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 158,000 | $221,000 | thousands by filing date | call |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 17,700 | $221,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 25,932 | $221,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 21,805 | $220,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 255,611 | $220,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 50,003 | $220,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 366,400 | $219,000 | thousands by filing date | put |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 10,984 | $219,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 20,130 | $219,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 18,321 | $219,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 14,750 | $219,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 32,495 | $218,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 6,407 | $214,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 12,587 | $214,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 749 | $214,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 18,201 | $213,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 23,579 | $212,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 20,247 | $211,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 8,846 | $211,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 9,361 | $211,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 13,117 | $211,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 8,348 | $210,000 | thousands by filing date | |
| HARRIS INTERACTIVE INC | 414549105 | COM | 105,114 | $210,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 9,011 | $209,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 16,153 | $208,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 23,280 | $208,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 48,938 | $208,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 16,747 | $207,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 191,000 | $207,000 | thousands by filing date | principal |
| DYNEX CAP INC | 26817Q506 | COM NEW | 25,915 | $207,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 9,598 | $206,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 18,102 | $206,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 3,897 | $205,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 14,642 | $205,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 15,499 | $205,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 36,295 | $205,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 4,663 | $205,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A276 | BRC BLD AMER BD | 3,812 | $205,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 6,359 | $204,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 7,853 | $204,000 | thousands by filing date | |
| US STEEL CORP | 912909AE8 | NOTE | 191,000 | $204,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 3,830 | $204,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 16,861 | $204,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 3,269 | $204,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 100,000 | $203,000 | thousands by filing date | call |
| CORVEL CORP COM | 221006109 | Stock | 4,354 | $203,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 25,401 | $203,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 10,964 | $203,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 4,653 | $202,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 6,377 | $202,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 4,311 | $202,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y447 | DLYFINBEAR3X NEW | 9,375 | $202,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 20,000 | $200,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 30,147 | $199,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 392 | $199,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 26,056 | $198,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 27,150 | $198,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 17,673 | $198,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 9,045 | $198,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 55,772 | $197,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 4,114 | $196,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 10,635 | $196,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 5,452 | $195,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 3,919 | $195,000 | thousands by filing date | |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 9,667 | $195,000 | thousands by filing date | |
| PROSHARES | 74347X237 | EXCHANGE TRADED | 12,902 | $194,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 3,474 | $194,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 12,262 | $193,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q861 | GUGG CHN RL EST | 9,628 | $193,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 6,423 | $192,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E101 | MSCI NORWAY ETF | 7,915 | $192,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 11,365 | $192,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 54,621 | $192,000 | thousands by filing date | |
| CLAYMORE EXCHANGE-TRD FD TR | 18385P101 | GUGG CHINA ALLCP | 7,063 | $192,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 34,900 | $192,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 5,941 | $191,000 | thousands by filing date | |
| PHH CORP | 693320AQ6 | CNV | 90,000 | $191,000 | thousands by filing date | principal |
| ISHARES TR | 464289404 | S&P TARGET 20 | 4,850 | $191,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 11,150 | $190,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 2,083 | $189,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 6,100 | $188,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 6,041 | $187,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 6,802 | $187,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 4,463 | $187,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 22,605 | $185,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 5,321 | $185,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 119,000 | $183,000 | thousands by filing date | principal |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 4,074 | $182,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 9,854 | $182,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 15,912 | $181,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 12,912 | $179,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 38,625 | $179,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 3,933 | $178,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 3,110 | $177,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 14,425 | $176,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 6,672 | $176,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 2,223 | $176,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 16,919 | $176,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 14,447 | $175,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 10,200 | $175,000 | thousands by filing date | call |
| PIPER SANDLER COMPANIES | 724078100 | COM | 4,405 | $175,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 5,980 | $175,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 17,390 | $174,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 23,543 | $173,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 9,171 | $172,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 41,700 | $171,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 9,212 | $171,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 2,186 | $171,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 2,925 | $171,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 8,166 | $171,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 23,779 | $171,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 32,304 | $170,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 16,778 | $170,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 9,010 | $170,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 14,160 | $170,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 45,500 | $169,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 2,659 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 16,009 | $167,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 12,991 | $167,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 13,363 | $167,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 6,395 | $166,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 4,490 | $166,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 11,409 | $166,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 9,115 | $166,000 | thousands by filing date | |
| LEUCADIA NATIONAL CORP | 527288AX2 | NOTE 3.750% | 125,000 | $166,000 | thousands by filing date | principal |
| Micron Technology,Inc. | 595112103 | COM | 70,800 | $165,000 | thousands by filing date | put |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 4,216 | $165,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 5,142 | $165,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 8,497 | $165,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 5,924 | $164,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 4,524 | $164,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 9,060 | $164,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 7,662 | $163,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 10,901 | $163,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 13,379 | $162,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 9,301 | $162,000 | thousands by filing date | |
| Nuveen Cal Performance | 67062Q106 | COM | 12,225 | $162,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 6,549 | $162,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 9,815 | $162,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 19,188 | $161,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 66,000 | $161,000 | thousands by filing date | principal |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 2,321 | $161,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 6,363 | $160,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 9,183 | $160,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 10,074 | $160,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 6,015 | $159,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 5,496 | $159,000 | thousands by filing date | |
| WESTERN ASSET INFL MGMT FD I | 95766U107 | COM | 9,390 | $159,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 380,100 | $158,000 | thousands by filing date | put |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,784 | $158,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 12,659 | $158,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 10,523 | $158,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 16,790 | $157,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,564 | $156,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 11,997 | $156,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 154,000 | $156,000 | thousands by filing date | principal |
| XOOM CORP | 98419Q101 | COM | 5,701 | $156,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 109,402 | $156,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 9,110 | $156,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 3,042 | $156,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 6,298 | $155,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 29,001 | $155,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 3,036 | $154,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 1,537 | $153,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 2,808 | $153,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,056 | $153,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 3,247 | $153,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,284 | $153,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 5,361 | $152,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 7,139 | $152,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 3,267 | $152,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 6,049 | $151,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 17,387 | $151,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,549 | $151,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 7,304 | $149,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 14,858 | $149,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 4,808 | $149,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 2,626 | $148,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 9,189 | $148,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 130,000 | $148,000 | thousands by filing date | principal |
| SHILOH INDUSTRIES INC | 824543102 | COM | 7,576 | $148,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 660,800 | $147,000 | thousands by filing date | put |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 41,349 | $147,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 9,986 | $147,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 3,645 | $147,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,200 | $147,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 2,845 | $146,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 9,905 | $146,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 9,081 | $145,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 75,000 | $145,000 | thousands by filing date | call |
| CHANNELADVISOR CORP | 159179100 | COM | 3,461 | $144,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 101,300 | $143,000 | thousands by filing date | call |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 14,292 | $143,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 28,753 | $143,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 8,057 | $142,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 2,833 | $142,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 123,000 | $142,000 | thousands by filing date | principal |
| PCM INC | 69323K100 | COM | 13,810 | $142,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 12,220 | $141,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 11,895 | $141,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 6,960 | $140,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 5,001 | $140,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 35,555 | $140,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 5,956 | $139,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 4,968 | $138,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 8,558 | $138,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 2,520 | $138,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 15,060 | $138,000 | thousands by filing date | |
| WELLS FARGO CO. | 94986RCZ2 | MTNF 0.125 3/0 | 138,000 | $138,000 | thousands by filing date | principal |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 10,283 | $137,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 51,945 | $137,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 2,573 | $137,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 6,892 | $137,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,818 | $136,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 13,325 | $136,000 | thousands by filing date | |
| VIROPHARMA INC | 928241108 | COMMON STOCK | 2,732 | $136,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 18,101 | $136,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,615 | $135,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 25,500 | $135,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 14,373 | $135,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 7,400 | $135,000 | thousands by filing date | |
| MIX TELEMATICS LTD | 60688N102 | SPONSORED ADR | 10,760 | $134,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 72,400 | $134,000 | thousands by filing date | call |
| NUTRI SYS INC NEW | 67069D108 | COM | 8,137 | $134,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 4,161 | $133,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 3,885 | $133,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 6,591 | $133,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 58,200 | $133,000 | thousands by filing date | |
| ARTESIAN RES CORP | 043113208 | CL A | 5,757 | $132,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 5,316 | $132,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 2,765 | $131,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 2,300 | $131,000 | thousands by filing date | |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 10,141 | $131,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 4,185 | $130,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 5,716 | $130,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,438 | $130,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 100,772 | $130,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 8,592 | $130,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 19,600 | $130,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 8,674 | $129,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 2,095 | $129,000 | thousands by filing date | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 1,295 | $128,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 7,465 | $128,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 19,834 | $127,000 | thousands by filing date | |
| CUSHING ROYALTY | 23164R104 | COM SH BEN INT | 7,481 | $127,000 | thousands by filing date | |
| FIRST TR ISE GLOBL COPPR IND | 33733J103 | CMN | 5,711 | $127,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 5,310 | $126,000 | thousands by filing date | |
| POWERSHARES MENA | 73936Q603 | MENA FRNTR ETF | 10,278 | $126,000 | thousands by filing date | |
| ELECSYS CORP | 28473M100 | COM | 9,600 | $126,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 3,185 | $126,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 112,000 | $125,000 | thousands by filing date | principal |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 2,044 | $124,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 2,103 | $124,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 100,000 | $124,000 | thousands by filing date | principal |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 2,791 | $123,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 11,314 | $123,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 9,325 | $123,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 30,514 | $123,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 11,652 | $122,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 5,638 | $122,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 21,014 | $122,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 6,101 | $122,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 2,823 | $122,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 9,938 | $121,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 1,781 | $121,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 11,380 | $120,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,377 | $120,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 40,040 | $120,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 6,843 | $120,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 3,090 | $120,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,165 | $119,000 | thousands by filing date | |
| 58 COM INC | 31680Q104 | SPON ADR REP A | 3,090 | $119,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 8,801 | $119,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 100,000 | $118,000 | thousands by filing date | call |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 9,452 | $118,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 44,100 | $117,000 | thousands by filing date | call |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 20,737 | $117,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 1,019 | $117,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 6,907 | $117,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 2,382 | $117,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 5,544 | $116,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $116,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 3,994 | $116,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 8,652 | $116,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 12,288 | $116,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 155,600 | $115,000 | thousands by filing date | put |
| VALE S A | 91912E105 | SPONSORED ADS | 100,000 | $115,000 | thousands by filing date | call |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 58,332 | $115,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 10,439 | $115,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 3,618 | $115,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 14,601 | $115,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 6,386 | $114,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 216,000 | $114,000 | thousands by filing date | call |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 8,486 | $113,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 96,887 | $113,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 12,045 | $113,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 2,034 | $112,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 8,400 | $112,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 4,014 | $112,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 17,751 | $112,000 | 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 |