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 |
|---|---|---|---|---|---|---|
| CYRUSONE INC | 23283R100 | COM | 47,766 | $994,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 84,972 | $994,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 22,769 | $994,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 594,100 | $994,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H271 | ETN DJUBSCOTTN38 | 17,041 | $992,000 | thousands by filing date | |
| BRYN MAWR BANK CORPORATION | 117665109 | Domestic Common | 34,501 | $991,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 31,012 | $987,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 209,858 | $986,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X764 | S&PINTL MC ETF | 29,943 | $986,000 | thousands by filing date | |
| UNS ENERGY CORP | 903119105 | COM | 16,406 | $984,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 50,912 | $983,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 129,689 | $983,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 70,052 | $980,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 20,588 | $978,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W825 | GUG S&P500EQWTMA | 11,972 | $976,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 102,285 | $974,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 25,080 | $974,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 40,375 | $973,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 916,000 | $971,000 | thousands by filing date | principal |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 25,085 | $969,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 1,291,451 | $969,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 10,413 | $969,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 21,084 | $966,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 29,063 | $966,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,741,200 | $962,000 | thousands by filing date | call |
| BRIDGE CAP HLDGS | 108030107 | COM | 40,463 | $961,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 30,801 | $957,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 46,999 | $957,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 238,124 | $956,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 23,114 | $954,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 65,836 | $954,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 59,244 | $954,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 38,104 | $952,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 400,000 | $951,000 | thousands by filing date | call |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 46,337 | $951,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 125,080 | $945,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 197,471 | $944,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 61,499 | $943,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 43,277 | $942,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 28,480 | $939,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 8,887 | $938,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 26,315 | $938,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 50,097 | $937,000 | thousands by filing date | |
| TOWER SEMICONDUCTOR LTD SHS NEW | M87915274 | Stock | 102,386 | $936,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 125,000 | $936,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 64,888 | $935,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 28,528 | $934,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 135,020 | $934,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 35,620 | $933,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 52,720 | $932,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 53,429 | $931,000 | thousands by filing date | |
| INTERACTIVE INTELLIGENCE GROUP | 45841V109 | COMMON STOCK | 12,825 | $930,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 100,000 | $925,000 | thousands by filing date | call |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 22,454 | $925,000 | thousands by filing date | |
| INCYTE CORP | 45337CAJ1 | NOTE 4.750%10/0 | 152,000 | $924,000 | thousands by filing date | principal |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 71,228 | $922,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 53,111 | $920,000 | thousands by filing date | |
| BLACKROCK HEALTH SCIENCES TR | 09250W107 | COM | 24,830 | $919,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M522 | GUG BULL2019 E | 43,777 | $915,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 27,286 | $914,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 69,504 | $914,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 37,689 | $913,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 46,613 | $912,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 28,065 | $909,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 32,534 | $909,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 33,248 | $906,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 29,833 | $904,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 81,463 | $902,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 36,957 | $901,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 43,295 | $900,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 100,239 | $900,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 62,045 | $898,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 52,983 | $898,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 24,666 | $897,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 33,786 | $895,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 231,519 | $895,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 67,714 | $894,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 44,234 | $894,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 45,401 | $894,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 69,901 | $891,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 9,751 | $887,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 71,804 | $885,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 13,690 | $884,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 63,012 | $883,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 84,804 | $880,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 73,617 | $878,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 831,000 | $875,000 | thousands by filing date | principal |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 65,179 | $873,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 76,288 | $873,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 93,593 | $868,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 103,617 | $867,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 15,939 | $866,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 27,015 | $866,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 29,967 | $865,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 18,739 | $861,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 24,716 | $861,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 42,678 | $861,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 56,907 | $860,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 72,958 | $855,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 278,112 | $854,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 26,368 | $851,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 105,345 | $851,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 405,100 | $850,000 | thousands by filing date | call |
| Susser Petroleum Partners, LP | 869239103 | LTD | 24,143 | $849,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 64,578 | $847,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 55,376 | $847,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 31,082 | $842,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 26,700 | $841,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 15,657 | $840,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 72,250 | $837,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 107,267 | $836,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 24,084 | $835,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 10,982 | $834,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 90,537 | $830,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 58,107 | $828,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 33,475 | $827,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 10,656 | $827,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 83,748 | $824,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 39,434 | $823,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 90,030 | $821,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 34,901 | $819,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 155,749 | $819,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 11,737 | $818,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 103,512 | $812,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 88,074 | $812,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 44,695 | $809,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 40,489 | $808,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 9,830 | $806,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 21,936 | $805,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 113,010 | $797,000 | thousands by filing date | |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 44,155 | $795,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 25,088 | $793,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 30,483 | $793,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 239,349 | $787,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 59,517 | $786,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 63,411 | $786,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 110,762 | $785,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 21,897 | $780,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 38,082 | $780,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B108 | SHS | 175,200 | $779,000 | thousands by filing date | put |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 21,456 | $779,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 19,862 | $778,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 27,040 | $776,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 81,419 | $775,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 62,905 | $775,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 57,613 | $775,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 52,447 | $774,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 86,391 | $772,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 111,898 | $772,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 29,237 | $771,000 | thousands by filing date | |
| 8X8 INC | 282914100 | COMMON STOCK | 71,236 | $770,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 58,199 | $768,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 22,484 | $768,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 16,693 | $766,000 | thousands by filing date | |
| SESA STERLITE LTD | 78413F103 | SPONSORED ADR | 61,768 | $766,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 7,701 | $765,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 55,529 | $764,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 70,114 | $761,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 26,819 | $761,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 34,051 | $761,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 7,795 | $760,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A334 | BLOMBERG BRC INT | 21,024 | $758,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 90,355 | $756,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 45,001 | $752,000 | thousands by filing date | |
| EDAP TMS S A | 268311107 | SPONSORED ADR | 262,596 | $751,000 | thousands by filing date | |
| ING EMERGING MKTS HGH DIV EQ | 45685X104 | COM | 62,828 | $751,000 | thousands by filing date | |
| ZYGO CORP | 989855101 | COM | 49,337 | $750,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 41,415 | $748,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 59,803 | $748,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 53,038 | $748,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 153,647 | $747,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 387,679 | $741,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 195,400 | $740,000 | thousands by filing date | call |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 40,001 | $739,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 82,263 | $738,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 43,595 | $737,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 121,225 | $737,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X400 | CMN | 10,122 | $736,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 13,186 | $735,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 31,226 | $731,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 727,100 | $730,000 | thousands by filing date | put |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 29,680 | $729,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 320,600 | $728,000 | thousands by filing date | call |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 28,670 | $726,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 39,233 | $726,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 32,597 | $724,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 35,308 | $723,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 16,671 | $719,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 67,893 | $719,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 50,023 | $718,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 39,211 | $718,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 70,581 | $718,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 79,268 | $717,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 23,329 | $716,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 70,355 | $716,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 602,000 | $715,000 | thousands by filing date | principal |
| JETBLUE AIRWAYS CORP | 477143AF8 | DBCV 6.750%10/1 | 395,000 | $714,000 | thousands by filing date | principal |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 52,770 | $712,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 41,387 | $711,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 17,439 | $710,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 39,080 | $708,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 746,000 | $708,000 | thousands by filing date | principal |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 87,693 | $707,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 322,400 | $703,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 44,884 | $703,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 73,866 | $702,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 23,102 | $698,000 | thousands by filing date | |
| COLUMBIA LABS INC | 197779200 | COM NEW | 96,660 | $697,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 24,924 | $695,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 43,667 | $695,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 2,004,600 | $693,000 | thousands by filing date | call |
| Johnson & Johnson | 478160104 | COM | 316,700 | $691,000 | thousands by filing date | call |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 56,971 | $691,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 72,827 | $690,000 | thousands by filing date | |
| DIAMOND FOODS INC | 252603105 | COM | 19,763 | $690,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 123,924 | $690,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 20,839 | $689,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 5,625 | $687,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 17,469 | $687,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 51,596 | $687,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 28,149 | $684,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 26,335 | $684,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 86,952 | $682,000 | thousands by filing date | |
| USA COMPRESSION PARTNERS LP | 90290N109 | COM UNIT LTDPAR | 25,985 | $682,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 24,169 | $682,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 10,861 | $681,000 | thousands by filing date | |
| CONMED CORP COM | 207410101 | Stock | 15,659 | $680,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 45,525 | $678,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 37,940 | $676,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 72,347 | $674,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 8,726 | $671,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 555,000 | $670,000 | thousands by filing date | principal |
| ROCKY MTN CHOCOLATE FACTORY | 774678403 | COM PAR $0.03 | 56,786 | $667,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 54,569 | $666,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 56,274 | $664,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 135,781 | $658,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 14,342 | $656,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 45,940 | $655,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 19,107 | $652,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 12,918 | $652,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 111,615 | $652,000 | thousands by filing date | |
| HORIZON TECHNOLOGY FIN CORP | 44045A102 | COM | 51,696 | $647,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 14,777 | $647,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 33,793 | $644,000 | thousands by filing date | |
| MINDRAY MEDICAL INTL LTD | 602675100 | SPON ADR | 19,838 | $643,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 32,349 | $643,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 19,459 | $642,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 22,130 | $640,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 20,791 | $639,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 61,797 | $639,000 | thousands by filing date | |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 25,894 | $633,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 602,000 | $632,000 | thousands by filing date | principal |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 89,502 | $628,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 49,529 | $626,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 9,556 | $622,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 63,049 | $621,000 | thousands by filing date | |
| TRULIA INC | 897888103 | COM | 18,699 | $621,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324TAB3 | NOTE 3.250% 4/1 | 738,000 | $618,000 | thousands by filing date | principal |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 26,703 | $616,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 24,363 | $615,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097754 | ADR PREF SHS Q | 26,060 | $615,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 47,441 | $613,000 | thousands by filing date | |
| WEBSTER FINL CORP CONN | 947890117 | *W EXP 11/21/201 | 44,570 | $611,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 51,354 | $610,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 17,399 | $610,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 17,360 | $609,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 16,383 | $608,000 | thousands by filing date | |
| COINSTAR INC | 19259PAF9 | NOTE 4.000% | 337,000 | $607,000 | thousands by filing date | principal |
| WISDOMTREE TR ASIA LC DBT FD | 97717X842 | COM | 12,491 | $606,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 208,900 | $605,000 | thousands by filing date | call |
| COVANTA HLDG CORP | 22282E102 | COM | 33,386 | $603,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 38,900 | $602,000 | thousands by filing date | call |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 131,230 | $602,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 228,890 | $602,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 18,070 | $600,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 41,007 | $599,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 60,533 | $597,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 40,724 | $595,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 30,845 | $595,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 51,530 | $592,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 26,259 | $591,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 23,944 | $590,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 54,011 | $589,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 11,874 | $588,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 31,302 | $586,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 19,421 | $583,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 36,735 | $583,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 81,426 | $582,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 50,240 | $579,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 26,515 | $579,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 226,803 | $579,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 52,603 | $578,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 17,067 | $578,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 17,451 | $578,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 11,322 | $576,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 17,523 | $574,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 129,851 | $574,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 16,232 | $573,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q853 | GUGG CHN SML CAP | 22,511 | $573,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 13,734 | $571,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 32,446 | $571,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 25,348 | $570,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 45,307 | $570,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 25,642 | $570,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 175,951 | $569,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385PAA6 | NOTE 2.750% 2/0 | 498,000 | $568,000 | thousands by filing date | principal |
| RYDEX ETF TRUST GUG | 78355W502 | S\&P.* PV | 11,036 | $566,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 25,625 | $565,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 38,813 | $563,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 94,551 | $563,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 18,950 | $562,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 35,059 | $562,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 68,034 | $560,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 40,876 | $560,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 128,385 | $559,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 27,028 | $558,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 17,205 | $558,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 5,006 | $557,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 51,652 | $555,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 22,256 | $555,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 134,640 | $555,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 55,903 | $550,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 155,141 | $550,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 25,841 | $548,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 12,005 | $546,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 20,175 | $545,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 30,939 | $545,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 103,700 | $542,000 | thousands by filing date | put |
| HORIZON BANCORP IND | 440407104 | COM | 24,300 | $541,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 6,470 | $541,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 48,244 | $541,000 | thousands by filing date | |
| POLYPORE INTL INC | 73179V103 | COM | 15,773 | $540,000 | thousands by filing date | |
| HOME FEDERAL BANCORP INC/ID | 43710G105 | COM | 34,630 | $539,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 71,601 | $537,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 41,633 | $533,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 113,590 | $533,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 420,000 | $532,000 | thousands by filing date | principal |
| ANTARES PHARMA INC | 036642106 | COM | 151,500 | $530,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 69,392 | $530,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 70,055 | $530,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 30,856 | $528,000 | thousands by filing date | |
| POWERSHARES GLOBAL EXCHANGE TRADED FD TR I-30 LADDERED | 73936T524 | ETF | 17,360 | $528,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 26,222 | $526,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 42,309 | $526,000 | thousands by filing date | |
| MONTPELIER RE HLDGS LTD SH | G62185106 | COM | 17,643 | $525,000 | thousands by filing date | |
| CURRENCYSHARES SWEDISH KRONA | 23129R108 | SWEDISH KRONA | 3,416 | $525,000 | thousands by filing date | |
| PATRIOT TRANSPORTATION HLDG | 70337B102 | COM | 14,525 | $524,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 61,923 | $523,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 19,318 | $523,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 142,531 | $522,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 58,120 | $520,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 27,333 | $518,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 25,668 | $518,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 31,743 | $516,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 54,140 | $515,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 120,605 | $514,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 38,517 | $513,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 16,591 | $513,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 24,263 | $513,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 23,220 | $513,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 910,000 | $512,000 | thousands by filing date | call |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 27,903 | $512,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 53,200 | $512,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 52,400 | $510,000 | thousands by filing date | put |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 64,641 | $509,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 72,143 | $508,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 33,370 | $508,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 20,175 | $508,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 23,857 | $506,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 52,800 | $504,000 | thousands by filing date | put |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 242,396 | $504,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 23,464 | $503,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 23,865 | $503,000 | thousands by filing date | |
| EMPRESAS ICA S A DE CV | 292448206 | SPONS ADR NEW | 76,244 | $503,000 | thousands by filing date | |
| WASHINGTON BANKING CO | 937303105 | COMMON STOCK | 28,221 | $502,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 31,191 | $502,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 15,627 | $501,000 | thousands by filing date | |
| FIRST FINL BANKSHARES INC COM | 32020R109 | Stock | 8,114 | $501,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 31,027 | $501,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 40,511 | $500,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 11,626 | $500,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 25,222 | $499,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 474,000 | $497,000 | thousands by filing date | call |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 52,595 | $497,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 13,260 | $497,000 | thousands by filing date | |
| MESA RTY TR | 590660106 | UNIT BEN INT | 19,160 | $495,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 48,931 | $494,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 74,355 | $491,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 111,400 | $491,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 10,012 | $490,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 60,301 | $488,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 12,996 | $488,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 16,409 | $487,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 19,168 | $487,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 9,569 | $485,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 100,000 | $485,000 | thousands by filing date | put |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 45,904 | $484,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 51,754 | $484,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 35,006 | $483,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 13,239 | $482,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 35,973 | $481,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 66,487 | $480,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 31,988 | $479,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 18,792 | $478,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102100 | UNIT LTD PRTNSP | 34,009 | $476,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 37,404 | $476,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 34,498 | $475,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 6,653 | $474,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 5,712 | $471,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 42,711 | $471,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 14,856 | $471,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 69,504 | $471,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 118,650 | $470,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 33,753 | $468,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 14,846 | $468,000 | thousands by filing date | |
| LEHIGH GAS PARTNERS LP | 524814100 | UT LTD PTN INT | 17,342 | $468,000 | thousands by filing date | |
| NRG YIELD INC | 62942X108 | CL C | 11,799 | $467,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 27,544 | $466,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 19,356 | $465,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 27,818 | $465,000 | thousands by filing date | |
| WASHINGTON TRUST BANCORP | 940610108 | COMMON STOCK | 12,353 | $463,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319AC8 | NOTE 5.750% 6/1 | 114,000 | $463,000 | thousands by filing date | principal |
| MSA SAFETY INC COM | 553498106 | Stock | 8,101 | $462,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 16,392 | $462,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 24,983 | $462,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 151,110 | $461,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 34,080 | $461,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 6,451 | $461,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 14,476 | $460,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA | 09249C105 | COM | 29,049 | $460,000 | thousands by filing date | |
| YPF SOCIEDAD ANONIMA | 984245100 | SPON ADR CL D | 120,900 | $459,000 | thousands by filing date | call |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 45,047 | $459,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 19,227 | $458,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 25,211 | $457,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 11,403 | $456,000 | thousands by filing date | |
| BOWL AMER INC BWL | 102565108 | COMMON | 29,398 | $456,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 11,556 | $454,000 | thousands by filing date | |
| CARNIVAL PLC ADS | 14365C103 | ADR | 11,815 | $453,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 33,383 | $452,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 31,258 | $452,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 192,800 | $450,000 | thousands by filing date | call |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 25,157 | $450,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 65,040 | $450,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 11,908 | $447,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 20,196 | $447,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 74,254 | $441,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 558,000 | $441,000 | thousands by filing date | principal |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 27,501 | $439,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 40,565 | $439,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 23,323 | $438,000 | thousands by filing date | |
| LUMINEX CORP | 55027E102 | COMMON STOCK | 24,078 | $436,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 213,085 | $435,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 54,126 | $435,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 17,292 | $435,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 334 | $434,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 12,220 | $433,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 19,880 | $431,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 22,852 | $427,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 8,734 | $426,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 9,395 | $426,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 34,104 | $425,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 399,000 | $424,000 | thousands by filing date | principal |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 11,825 | $424,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 53,324 | $424,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 293,700 | $423,000 | thousands by filing date | call |
| SPAR GROUP INC | 784933103 | COM | 215,950 | $423,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 12,622 | $420,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X822 | RUSS NOM SC JP | 8,562 | $419,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 39,510 | $418,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 17,514 | $418,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 19,280 | $417,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 1,364 | $417,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 49,361 | $416,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 30,942 | $415,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 25,472 | $414,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 27,415 | $414,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 6,513 | $413,000 | thousands by filing date | |
| SINOPEC SHANGHAI PETROCHEMIC | 82935M109 | SPON ADR H | 16,006 | $413,000 | thousands by filing date | |
| TOWER FINANCIAL CORP | 891769101 | COM | 16,602 | $413,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 4,640 | $412,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 11,885 | $411,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 16,888 | $411,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 16,510 | $411,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 389,715 | $410,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 12,326 | $408,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 32,081 | $408,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 31,810 | $408,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 20,106 | $407,000 | thousands by filing date | |
| ING GLBL ADV & PREM OPP FUND | 44982N109 | COM | 34,012 | $406,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 29,662 | $405,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 25,345 | $404,000 | thousands by filing date | |
| NUVEEN NJ PREM INCOME MUN FD | 67101N106 | COM | 29,451 | $403,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C847 | COM | 5,876 | $402,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 44,444 | $401,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 97,500 | $399,000 | thousands by filing date | put |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 20,180 | $399,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 35,605 | $398,000 | thousands by filing date | |
| NUVEEN CA INVT QUALITY MUN F | 67062A101 | COM | 28,475 | $396,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 104,872 | $395,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 13,479 | $395,000 | 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 |