13F-HR/A filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR/A for the quarter ended 2014-03-31, filed 2014-05-15, with 6,378 holding rows worth $235,217,439,000.
- Accession
- 0000072971-14-000466
- Filer
- CIK 72971
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, amendment of type restatement, 19,899 entries on the cover page, a total value of $235,217,439,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $235,217,439,000 with VALUE read as thousands by filing date, 13F file number 028-00165. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- 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 |
|---|---|---|---|---|---|---|
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 292,386 | $3,879,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 225,741 | $3,876,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 3,765,000 | $3,874,000 | thousands by filing date | principal |
| TIDEWATER INC | 886423102 | COM | 79,570 | $3,869,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 149,974 | $3,859,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 249,319 | $3,857,000 | thousands by filing date | |
| NORDION INC | 65563c105 | COM | 334,697 | $3,856,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 351,897 | $3,854,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M201 | MID CAP VAL FD | 125,668 | $3,836,000 | thousands by filing date | |
| PETROLEUM & RES CORP | 716549100 | COM | 137,374 | $3,835,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 246,856 | $3,832,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 261,791 | $3,824,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 347,797 | $3,822,000 | thousands by filing date | |
| FEDERAL REALTY INVESTMENT TRUS | 313747206 | SH BEN INT NEW | 33,303 | $3,821,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 222,694 | $3,812,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 101,546 | $3,811,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 83,201 | $3,810,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 5,408 | $3,806,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 424,849 | $3,803,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 65,232 | $3,792,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 94,081 | $3,787,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 49,108 | $3,787,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 173,337 | $3,786,000 | thousands by filing date | |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 126,256 | $3,771,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 36,259 | $3,766,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 273,300 | $3,762,000 | thousands by filing date | |
| RING ENERGY INC | 76680V108 | COMMON STOCK | 246,117 | $3,755,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 454,525 | $3,754,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 61,654 | $3,752,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 330,707 | $3,737,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 141,491 | $3,731,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 78,153 | $3,728,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 31,573 | $3,723,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 142,421 | $3,720,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 1,493,206 | $3,718,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 449,123 | $3,714,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 40,063 | $3,709,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 49,711 | $3,706,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 167,412 | $3,706,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 162,627 | $3,703,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 48,853 | $3,702,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 56,363 | $3,699,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 146,661 | $3,695,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 133,167 | $3,686,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 203,884 | $3,681,000 | thousands by filing date | |
| KNIGHT TRANSN INC | 499064103 | COM | 158,642 | $3,669,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 660,548 | $3,666,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 192,130 | $3,664,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T433 | WK VRDO TX FR | 146,431 | $3,660,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 187,124 | $3,655,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 50,000 | $3,655,000 | thousands by filing date | call |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 52,492 | $3,643,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 182,349 | $3,633,000 | thousands by filing date | |
| JGWPT HLDGS INC | 46617m109 | CL A | 198,967 | $3,633,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 87,763 | $3,626,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 285,847 | $3,625,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 124,834 | $3,620,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 513,225 | $3,618,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A113 | WTS | 85,970 | $3,611,000 | thousands by filing date | |
| ARUBA NETWORKS INC | 043176106 | COM | 192,370 | $3,607,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 102,470 | $3,599,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 1,079,412 | $3,594,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 115,430 | $3,592,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 104,500 | $3,592,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 70,330 | $3,591,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 180,415 | $3,587,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 187,602 | $3,579,000 | thousands by filing date | |
| DEL MONTE CORP ORD | G36738105 | Stock | 129,693 | $3,577,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 478,018 | $3,575,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 401,674 | $3,575,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 137,279 | $3,561,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 578,982 | $3,554,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 99,655 | $3,541,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 205,991 | $3,537,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 146,153 | $3,537,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 235,479 | $3,532,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 51,420 | $3,531,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 2,700,000 | $3,529,000 | thousands by filing date | principal |
| BLACKROCK DEFINED OPPRTY CR | 09255Q105 | COM | 256,015 | $3,528,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 2,998 | $3,516,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CN8 | NOTE 4.250%11/1 | 1,941,000 | $3,514,000 | thousands by filing date | principal |
| EZCORP INC | 302301106 | CL A NON VTG | 325,334 | $3,511,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 2,496,000 | $3,490,000 | thousands by filing date | principal |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 262,451 | $3,489,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 306,623 | $3,487,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 275,623 | $3,484,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 96,951 | $3,483,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 97,222 | $3,483,000 | thousands by filing date | |
| KILROY REALTY CORP COM | 49427F108 | REIT | 59,330 | $3,476,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 325,510 | $3,474,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 34,871 | $3,473,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 47,443 | $3,471,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 121,093 | $3,465,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 101,291 | $3,464,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 310,553 | $3,463,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 77,162 | $3,459,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 364,939 | $3,453,000 | thousands by filing date | |
| DWS | 23338W104 | EXCHANGE TRADED | 424,507 | $3,451,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 113,310 | $3,446,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 25,909 | $3,441,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 505,647 | $3,438,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 43,456 | $3,420,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 310,769 | $3,418,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 128,529 | $3,414,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 271,346 | $3,413,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 48,340 | $3,406,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 3,108,000 | $3,405,000 | thousands by filing date | principal |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 45,056 | $3,404,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 159,163 | $3,403,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 228,309 | $3,401,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 174,473 | $3,400,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 77,895 | $3,397,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 167,229 | $3,395,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 55,998 | $3,386,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 187,873 | $3,385,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 138,607 | $3,384,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 54,148 | $3,378,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 141,754 | $3,374,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 308,510 | $3,372,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 132,444 | $3,364,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,418,000 | $3,358,000 | thousands by filing date | principal |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 137,741 | $3,358,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC COM | 538034109 | Stock | 154,172 | $3,354,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 851,600 | $3,351,000 | thousands by filing date | put |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 45,987 | $3,344,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 52,939 | $3,344,000 | thousands by filing date | |
| INVESTORS BANCORP INC | 46146P102 | COM | 120,673 | $3,336,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 2,199,000 | $3,331,000 | thousands by filing date | principal |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 67,943 | $3,329,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 145,486 | $3,317,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 335,559 | $3,309,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 52,711 | $3,300,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 85,492 | $3,296,000 | thousands by filing date | |
| WESTERN REFNG LOGISTICS LP | 95931Q205 | COM UNIT REP LTP | 105,827 | $3,296,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 63,714 | $3,294,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 22,666 | $3,286,000 | thousands by filing date | |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 527,207 | $3,274,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 669,125 | $3,265,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 132,240 | $3,262,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 96,762 | $3,259,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664103 | COM | 45,977 | $3,254,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 176,112 | $3,238,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 3,173,000 | $3,238,000 | thousands by filing date | principal |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 45,460 | $3,236,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 53,742 | $3,236,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 379,654 | $3,234,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 27,524 | $3,232,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 2,603,000 | $3,228,000 | thousands by filing date | principal |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 306,455 | $3,224,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 45,366 | $3,209,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 183,932 | $3,206,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 406,495 | $3,204,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 34,324 | $3,188,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 114,548 | $3,179,000 | thousands by filing date | |
| INNOPHOS HOLDINGS INC | 45774N108 | COMMON STOCK | 56,018 | $3,176,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 59,086 | $3,167,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 119,721 | $3,167,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 3,142,000 | $3,148,000 | thousands by filing date | principal |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 236,549 | $3,146,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 86,830 | $3,145,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 148,386 | $3,144,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 286,234 | $3,143,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 71,633 | $3,136,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 31,331 | $3,130,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 105,885 | $3,130,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 109,983 | $3,126,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 178,224 | $3,124,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 2,739,000 | $3,117,000 | thousands by filing date | principal |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 28,052 | $3,106,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 372,506 | $3,096,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 253,646 | $3,089,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620RAE5 | NOTE 4.250% 8/1 | 1,948,000 | $3,087,000 | thousands by filing date | principal |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 58,155 | $3,086,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 45,455 | $3,080,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 43,804 | $3,077,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 2,420,000 | $3,072,000 | thousands by filing date | principal |
| FIRST TRUST | 33733G109 | COM BEN INTR | 398,763 | $3,071,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 165,431 | $3,070,000 | thousands by filing date | |
| TAMINCO CORP | 87509U106 | COM | 145,993 | $3,067,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 98,853 | $3,064,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 133,561 | $3,061,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 252,703 | $3,054,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 899,875 | $3,050,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 2,010,000 | $3,049,000 | thousands by filing date | principal |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 1,339,799 | $3,042,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 101,155 | $3,035,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 127,015 | $3,033,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 713,408 | $3,033,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 226,380 | $3,032,000 | thousands by filing date | |
| FIVE PRIME THERAPEUTICS INC. | 33830X104 | Common Stock | 153,796 | $3,024,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 643,344 | $3,023,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 541,923 | $3,019,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 201,197 | $3,018,000 | thousands by filing date | |
| MAGELLAN HEALTH SERVICES INC | 559079207 | COM NEW | 50,831 | $3,017,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 35,855 | $3,016,000 | thousands by filing date | |
| BRADY CORP | 104674106 | CL A | 110,801 | $3,008,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 34,633 | $3,003,000 | thousands by filing date | |
| INTERPARFUMS INC COM | 458334109 | Stock | 82,740 | $2,997,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 118,365 | $2,996,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAC1 | NOTE 2.000% 8/1 | 2,200,000 | $2,990,000 | thousands by filing date | principal |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 131,669 | $2,982,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 206,061 | $2,981,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 299,070 | $2,979,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 131,164 | $2,976,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 172,938 | $2,976,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 2,900,000 | $2,963,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 147,350 | $2,962,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 165,988 | $2,961,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 67,099 | $2,959,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 127,738 | $2,957,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 47,410 | $2,953,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297405 | RG METAL ETN22 | 338,658 | $2,953,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 383,919 | $2,941,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 84,255 | $2,937,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 73,131 | $2,933,000 | thousands by filing date | |
| ISHARES | 464289362 | TR 2014 S\&P.* AMTFR | 57,259 | $2,933,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 200,000 | $2,929,000 | thousands by filing date | call |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 156,036 | $2,929,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 143,539 | $2,928,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 264,588 | $2,928,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 257,470 | $2,927,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 49,491 | $2,923,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 162,214 | $2,915,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 107,391 | $2,909,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 58,339 | $2,902,000 | thousands by filing date | |
| ROYAL BANK SCOTLAND GRP PLC 6.6% PFD SER B | 780097739 | PFD | 125,239 | $2,892,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 444,596 | $2,890,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 134,204 | $2,885,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 82,065 | $2,881,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 197,949 | $2,876,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 138,400 | $2,875,000 | thousands by filing date | put |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 119,413 | $2,874,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 50,766 | $2,871,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 198,307 | $2,871,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 164,853 | $2,870,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 31,768 | $2,859,000 | thousands by filing date | |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 2,339,000 | $2,853,000 | thousands by filing date | principal |
| Comcast Corp | 20030N101 | COM | 550,000 | $2,851,000 | thousands by filing date | call |
| WEIS MKTS INC COM | 948849104 | Stock | 57,866 | $2,850,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 180,611 | $2,850,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 148,261 | $2,846,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 263,562 | $2,845,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 82,064 | $2,844,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 48,404 | $2,840,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 173,661 | $2,815,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 686,344 | $2,814,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 190,154 | $2,809,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 55,781 | $2,808,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 80,314 | $2,807,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 344,015 | $2,797,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 31,425 | $2,794,000 | thousands by filing date | |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 141,291 | $2,787,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 204,855 | $2,787,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 44,770 | $2,786,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 50,064 | $2,782,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 64,210 | $2,782,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 43,560 | $2,779,000 | thousands by filing date | |
| STEEL DYNAMICS INC | 858119AP5 | CORPORATE OBLIG | 2,568,000 | $2,776,000 | thousands by filing date | principal |
| Spectra Energy Partners | 84756N109 | COM | 56,696 | $2,775,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 188,571 | $2,766,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 263,198 | $2,764,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 95,311 | $2,763,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06740L444 | 30 YR TREAS BEAR | 86,539 | $2,761,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 228,568 | $2,759,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 51,463 | $2,757,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 208,117 | $2,749,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 46,544 | $2,744,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 357,953 | $2,742,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 142,393 | $2,741,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 263,090 | $2,739,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 33,317 | $2,738,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 127,269 | $2,737,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 55,468 | $2,724,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 327,857 | $2,721,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 70,476 | $2,720,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 112,509 | $2,717,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 31,441 | $2,716,000 | thousands by filing date | |
| POPEYES LA KITCHEN INC | 732872106 | COM | 66,684 | $2,711,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 166,050 | $2,707,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 190,946 | $2,705,000 | thousands by filing date | |
| TRW AUTOMOTIVE INC | 87264MAH2 | NOTE 3.500%12/0 | 973,000 | $2,699,000 | thousands by filing date | principal |
| IPATH US TSY 10Y BEAR | 06740L451 | COMMON | 90,026 | $2,696,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 2,619,000 | $2,695,000 | thousands by filing date | principal |
| USA MOBILITY INC | 90341G103 | COM | 148,172 | $2,693,000 | thousands by filing date | |
| CIFC CORP | 12547R105 | COM | 330,891 | $2,693,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 56,296 | $2,689,000 | thousands by filing date | |
| HILLSHIRE BRANDS CO | 432589109 | COM | 72,063 | $2,687,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 138,813 | $2,682,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 40,224 | $2,681,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 203,588 | $2,680,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 35,436 | $2,676,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 91,390 | $2,671,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 3,639,000 | $2,666,000 | thousands by filing date | principal |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 415,819 | $2,665,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 37,893 | $2,665,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855R100 | COM | 70,867 | $2,662,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 127,191 | $2,657,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 641,326 | $2,655,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 67,627 | $2,648,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 47,969 | $2,644,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 37,001 | $2,643,000 | thousands by filing date | |
| ING ASIA PAC HGH DIVID EQ IN | 44983J107 | COM | 207,343 | $2,639,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 49,006 | $2,637,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 230,148 | $2,631,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 84,020 | $2,625,000 | thousands by filing date | |
| CONSTANT CONTACT INC | 210313102 | COM | 107,260 | $2,624,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 922,828 | $2,622,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 31,027 | $2,620,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 224,354 | $2,612,000 | thousands by filing date | |
| EUROPEAN EQUITY FD INC COM | 298768102 | CEF | 288,246 | $2,611,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 100,346 | $2,611,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 2,635,000 | $2,607,000 | thousands by filing date | principal |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 2,556,000 | $2,601,000 | thousands by filing date | principal |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 203,940 | $2,600,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 203,517 | $2,599,000 | thousands by filing date | |
| TEXAS INDUSTRIES INC | 882491103 | COM | 28,935 | $2,593,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W593 | GUG RUSS1000 EQL | 53,702 | $2,590,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 1,248,960 | $2,586,000 | thousands by filing date | put |
| SUN HYDRAULICS CORP | 866942105 | COM | 59,601 | $2,582,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 40,988 | $2,581,000 | thousands by filing date | |
| SPDR Portfolio Mortgage Backed Bond ETF | 78464A383 | SHS | 95,723 | $2,576,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 151,685 | $2,573,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 107,405 | $2,571,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 86,145 | $2,570,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 4,240,000 | $2,569,000 | thousands by filing date | principal |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 84,317 | $2,557,000 | thousands by filing date | |
| PHI INC | 69336T106 | COM VTG | 60,769 | $2,551,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 120,228 | $2,549,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 214,728 | $2,549,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 212,127 | $2,543,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 67,361 | $2,536,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 198,664 | $2,529,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 194,614 | $2,518,000 | thousands by filing date | |
| NEWPORT CORP | 651824104 | COM | 127,898 | $2,518,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 1,170,841 | $2,517,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 745,603 | $2,513,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 179,564 | $2,505,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 49,551 | $2,493,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 31,922 | $2,485,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 105,200 | $2,484,000 | thousands by filing date | put |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 290,795 | $2,469,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 35,366 | $2,462,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 170,987 | $2,461,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 74,760 | $2,460,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 1,441,000 | $2,460,000 | thousands by filing date | principal |
| MENTOR GRAPHICS CORP | 587200106 | COM | 111,669 | $2,458,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 67,033 | $2,453,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 102,994 | $2,452,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 198,384 | $2,444,000 | thousands by filing date | |
| BRE PROPERTIES INC | 05564E106 | CL A | 38,893 | $2,442,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 121,980 | $2,441,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 325,100 | $2,435,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 110,922 | $2,435,000 | thousands by filing date | |
| AUTONAVI HLDGS LTD | 05330F106 | SPONSORED ADR | 121,515 | $2,435,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 2,214,000 | $2,424,000 | thousands by filing date | principal |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 292,876 | $2,422,000 | thousands by filing date | |
| PENFORD CORP | 707051108 | COM | 168,506 | $2,420,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 1,290,000 | $2,419,000 | thousands by filing date | principal |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 110,830 | $2,415,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 55,663 | $2,412,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 66,692 | $2,411,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 175,142 | $2,411,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 232,730 | $2,407,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 263,862 | $2,406,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 144,260 | $2,400,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 2,099,000 | $2,397,000 | thousands by filing date | principal |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 178,226 | $2,390,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 52,377 | $2,384,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 186,827 | $2,384,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 37,485 | $2,382,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 2,139,000 | $2,382,000 | thousands by filing date | principal |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 181,499 | $2,379,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 97,055 | $2,377,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 35,829 | $2,372,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 257,927 | $2,370,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 122,008 | $2,365,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 57,881 | $2,364,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 56,715 | $2,363,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 217,558 | $2,362,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 176,159 | $2,362,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 109,158 | $2,361,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 69,680 | $2,360,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 144,314 | $2,359,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 23,828 | $2,355,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 59,119 | $2,351,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 190,727 | $2,350,000 | thousands by filing date | |
| IGATE CORP | 45169U105 | COM | 74,482 | $2,348,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 91,113 | $2,344,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 840,000 | $2,341,000 | thousands by filing date | call |
| INTL GAME TECH 3.250 | 459902AQ5 | NOTE 3.250% 5/0 | 2,336,000 | $2,339,000 | thousands by filing date | principal |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 25,240 | $2,338,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 185,834 | $2,334,000 | thousands by filing date | |
| TECHE HLDG CO | 878330109 | COM | 29,544 | $2,334,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 48,289 | $2,332,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 56,813 | $2,332,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 91,336 | $2,332,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 57,851 | $2,327,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 89,226 | $2,326,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 85,030 | $2,322,000 | thousands by filing date | |
| BOULDER BRANDS INC | 101405108 | COMMON STOCK | 131,654 | $2,320,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 120,265 | $2,313,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 334,337 | $2,307,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097796 | SP ADR PREF M | 101,152 | $2,302,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 85,283 | $2,300,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 138,656 | $2,293,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 341,618 | $2,292,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 140,266 | $2,291,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 2,003,000 | $2,289,000 | thousands by filing date | principal |
| MARZETTI COMPANY | 513847103 | COM | 22,987 | $2,285,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 151,073 | $2,284,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 70,495 | $2,283,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 286,542 | $2,281,000 | thousands by filing date | |
| PLATINUM UNDERWRITER HLDGS L | G7127P100 | COM | 37,928 | $2,280,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 1,784,000 | $2,280,000 | thousands by filing date | principal |
| KEY TECHNOLOGY INC | 493143101 | COM | 172,013 | $2,279,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 31,343 | $2,278,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 134,903 | $2,273,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 25,963 | $2,271,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 66,800 | $2,268,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 125,265 | $2,266,000 | thousands by filing date | |
| ALEXANDRIA REAL ESTATE EQ INC COM | 015271109 | REIT | 31,199 | $2,263,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 68,455 | $2,261,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 39,187 | $2,260,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 273,005 | $2,257,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 3,694,000 | $2,240,000 | thousands by filing date | principal |
| Vanguard Total World Stock ETF | 922042742 | SHS | 37,536 | $2,239,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 126,862 | $2,239,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 108,040 | $2,238,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 108,033 | $2,236,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 248,687 | $2,234,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 246,800 | $2,228,000 | thousands by filing date | call |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 111,370 | $2,226,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 56,814 | $2,225,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 34,399 | $2,220,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 1,631,000 | $2,218,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 38,809 | $2,217,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 85,278 | $2,210,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 33,234 | $2,198,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 546,565 | $2,197,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 102,948 | $2,197,000 | thousands by filing date | |
| VOLCANO CORPORATION | 928645100 | COM | 111,406 | $2,196,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 75,582 | $2,193,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 183,025 | $2,189,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 1,613,800 | $2,189,000 | thousands by filing date | call |
| TEEKAY CORPORATION | Y8564W103 | COM | 38,874 | $2,187,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,002,500 | $2,179,000 | thousands by filing date | put |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 21,978 | $2,178,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 155,557 | $2,175,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 290,310 | $2,172,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 1,889,000 | $2,172,000 | thousands by filing date | principal |
| ISHARES TR | 464287523 | COM | 27,168 | $2,165,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 107,784 | $2,165,000 | thousands by filing date | |
| MILLER INDUSTRIES INC TENN | 600551204 | COMMON STOCK | 110,505 | $2,159,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 93,145 | $2,159,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 83,021 | $2,158,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 53,907 | $2,156,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 180,212 | $2,155,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 45,906 | $2,155,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736N101 | ALERIAN DISRUPT | 52,776 | $2,149,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 120,330 | $2,149,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 24,274 | $2,147,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 51,491 | $2,145,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 124,754 | $2,139,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 2,523,000 | $2,138,000 | thousands by filing date | principal |
| WORLD ACCEP CORPORATION | 981419104 | COM | 28,385 | $2,131,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 2,079,000 | $2,131,000 | thousands by filing date | principal |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 22,580 | $2,130,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 24,925 | $2,125,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 63,980 | $2,119,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 307,276 | $2,114,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 28,502 | $2,103,000 | thousands by filing date | |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 1,587,000 | $2,103,000 | thousands by filing date | principal |
| AMER STATES WTR CO COM | 029899101 | Stock | 65,031 | $2,100,000 | thousands by filing date | |
| STRATEGY INC CL A NEW | 594972408 | Stock | 18,193 | $2,100,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 27,447 | $2,096,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 48,977 | $2,095,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 125,355 | $2,085,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 120,700 | $2,081,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 94,513 | $2,080,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 42,803 | $2,078,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 1,464,000 | $2,075,000 | thousands by filing date | principal |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 111,087 | $2,071,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 411,604 | $2,066,000 | thousands by filing date | |
| FIRSTSERVICE CORP | 33761N109 | SUB VTG SH | 43,363 | $2,060,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 51,096 | $2,060,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 95,303 | $2,053,000 | thousands by filing date | |
| NUVEEN CALIFORNIA MUNI VLU F | 67062C107 | COM STK | 210,422 | $2,052,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 178,245 | $2,052,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 477,212 | $2,051,000 | thousands by filing date | |
| SPARTAN STORES INC | 846822104 | COM | 88,344 | $2,051,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 43,616 | $2,042,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 155,331 | $2,041,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 221,825 | $2,033,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 27,884 | $2,026,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 40,264 | $2,026,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 150,034 | $2,009,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 106,330 | $2,006,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 286,142 | $1,997,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 116,859 | $1,995,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 26,753 | $1,994,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000443 | superseded | 2014-05-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000466 | this filing | 2014-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000537 | base | 2014-08-12 | acceptance time not in the bulk data set |