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 2014-08-12, with 6,378 holding rows worth $235,217,439,000.
- Accession
- 0000072971-14-000537
- Filer
- CIK 72971
- Filed
- 2014-08-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A combination 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. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerCINQUE PARTNERS LLC028-15192
- included managerPEREGRINE CAPITAL MANAGEMENT INC /MN/028-01523
- included managerWELLS CAPITAL MANAGEMENT INC028-04413
- included managerWELLS FARGO BANK N A028-01341
- included managerWells Fargo Funds Managment, LLC reporting on behalf of Morgan Stanley Smith Barney LLC
- included managerWells Fargo Funds Management, LLC028-11406
- 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 Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
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 |
|---|---|---|---|---|---|---|
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 152,496 | $1,993,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 66,457 | $1,993,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 111,142 | $1,988,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 22,217 | $1,987,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 357,448 | $1,980,000 | thousands by filing date | |
| ISHARES TR | 46429B705 | MSCI RUSS INDX | 107,177 | $1,978,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 12,030 | $1,975,000 | thousands by filing date | |
| DOMINION RESOURCES INC/VA | 25746UAT6 | CNV | 928,000 | $1,974,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 1,504,000 | $1,972,000 | thousands by filing date | principal |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 109,976 | $1,967,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 1,950,000 | $1,966,000 | thousands by filing date | principal |
| QUIKSILVER INC | 74838C106 | COM | 261,709 | $1,965,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC | 127387AJ7 | NOTE | 947,000 | $1,958,000 | thousands by filing date | principal |
| DUCOMMUN INC DEL | 264147109 | COM | 78,031 | $1,956,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 252,746 | $1,955,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 73,974 | $1,951,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 4,991 | $1,950,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 78,548 | $1,950,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 1,891,000 | $1,948,000 | thousands by filing date | principal |
| SOTHEBYS | 835898107 | COM | 44,609 | $1,942,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 37,220 | $1,940,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 112,654 | $1,932,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 156,925 | $1,930,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 38,095 | $1,925,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 390,280 | $1,924,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 46,459 | $1,923,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 56,963 | $1,908,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 125,602 | $1,903,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 53,100 | $1,899,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 209,700 | $1,896,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 50,768 | $1,896,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 136,598 | $1,890,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 27,608 | $1,888,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 1,449,000 | $1,885,000 | thousands by filing date | principal |
| MFRI INC | 552721102 | COMMON STOCK | 138,375 | $1,883,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 1,903,000 | $1,879,000 | thousands by filing date | principal |
| MARKET VECTORS RVE HARD ASTS | 57060U795 | RVE | 49,293 | $1,876,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 378,325 | $1,869,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 17,217 | $1,868,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 216,795 | $1,868,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 1,694,000 | $1,866,000 | thousands by filing date | principal |
| Tesla Motors, Inc | 88160R101 | COM | 50,000 | $1,864,000 | thousands by filing date | put |
| OIL DRI CORP AMER COM | 677864100 | Stock | 53,971 | $1,864,000 | thousands by filing date | |
| TORTOISE ENERGY CAP CORP | 89147U100 | COM | 56,214 | $1,864,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 42,239 | $1,859,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 42,736 | $1,853,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 50,131 | $1,851,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 289,186 | $1,848,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 113,284 | $1,848,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 642,500 | $1,847,000 | thousands by filing date | call |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 79,135 | $1,843,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 114,029 | $1,842,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 1,136,000 | $1,841,000 | thousands by filing date | principal |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 407,200 | $1,839,000 | thousands by filing date | call |
| CHEFS WHSE INC | 163086101 | COM | 85,880 | $1,838,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 63,686 | $1,836,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 81,054 | $1,834,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 141,568 | $1,830,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 255,811 | $1,824,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 32,443 | $1,814,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 59,536 | $1,812,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 112,453 | $1,804,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 47,132 | $1,803,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 86,158 | $1,799,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 71,002 | $1,797,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 1,236,000 | $1,796,000 | thousands by filing date | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 1,000,000 | $1,793,000 | thousands by filing date | principal |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 43,501 | $1,788,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 1,124,344 | $1,787,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 1,542,000 | $1,787,000 | thousands by filing date | principal |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 115,429 | $1,782,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 455,962 | $1,779,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 50,588 | $1,778,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 54,701 | $1,773,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 37,533 | $1,771,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 889,695 | $1,770,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 90,352 | $1,761,000 | thousands by filing date | |
| MAGNETEK INC | 559424403 | COMMON STOCK | 92,593 | $1,759,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 164,814 | $1,758,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 92,513 | $1,758,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 81,587 | $1,757,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 317,142 | $1,755,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 98,412 | $1,754,000 | thousands by filing date | |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 84,191 | $1,753,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 70,503 | $1,753,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 30,920 | $1,749,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 210,476 | $1,749,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 107,462 | $1,744,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 99,829 | $1,743,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 134,266 | $1,743,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 43,190 | $1,740,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 136,752 | $1,736,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 176,225 | $1,727,000 | thousands by filing date | |
| GLATFELTER | 377316104 | COM | 63,466 | $1,727,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 67,787 | $1,725,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W331 | NEW ECON REAL ES | 61,950 | $1,715,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 142,620 | $1,710,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 39,485 | $1,700,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 820,865 | $1,700,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 54,812 | $1,699,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 164,359 | $1,698,000 | thousands by filing date | |
| LACLEDE GROUP INC/THE | 505597104 | COM | 36,005 | $1,698,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 46,558 | $1,696,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 66,159 | $1,694,000 | thousands by filing date | |
| RESMED INC COM | 761152107 | Stock | 37,864 | $1,692,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 54,668 | $1,690,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 49,557 | $1,687,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 33,602 | $1,674,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 37,203 | $1,674,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 2,200,000 | $1,673,000 | thousands by filing date | call |
| KONA GRILL INC | 50047H201 | COM | 82,115 | $1,673,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 170,195 | $1,669,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 36,287 | $1,667,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 1,984,105 | $1,667,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 455,100 | $1,666,000 | thousands by filing date | put |
| MULTI-COLOR | 625383104 | COM | 47,500 | $1,663,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 246,222 | $1,662,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 211,078 | $1,655,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 628,781 | $1,654,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 56,594 | $1,654,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 1,275,000 | $1,652,000 | thousands by filing date | principal |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 67,766 | $1,648,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 38,971 | $1,646,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 141,378 | $1,636,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 42,634 | $1,630,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 92,155 | $1,630,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U886 | MKTVEC LMUNETF | 87,204 | $1,630,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 96,445 | $1,628,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 44,580 | $1,626,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 32,078 | $1,623,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 104,024 | $1,622,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 63,730 | $1,621,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 119,092 | $1,620,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 67,574 | $1,618,000 | thousands by filing date | |
| TORTOISE NORTH AMRN ENRGY CO | 89147T103 | COM | 55,564 | $1,618,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 1,000,000 | $1,616,000 | thousands by filing date | principal |
| PINNACLE ENTMT INC | 723456109 | COM | 68,101 | $1,614,000 | thousands by filing date | |
| ANALOGIC CORP | 032657207 | COM | 19,668 | $1,614,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L407 | GOLD TRENDP ETN | 59,826 | $1,610,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 59,483 | $1,609,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 64,964 | $1,607,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 21,329 | $1,606,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 76,626 | $1,602,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 1,732,000 | $1,602,000 | thousands by filing date | principal |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 15,795 | $1,601,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 131,000 | $1,598,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 23,025 | $1,595,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 53,721 | $1,589,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 337,519 | $1,586,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 350,000 | $1,584,000 | thousands by filing date | call |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 113,690 | $1,583,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 36,681 | $1,581,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 779,100 | $1,578,000 | thousands by filing date | call |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 86,635 | $1,576,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 123,112 | $1,574,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 94,164 | $1,573,000 | thousands by filing date | |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 177,465 | $1,572,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 26,041 | $1,569,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 117,247 | $1,563,000 | thousands by filing date | |
| NUVEEN MTG OPPTY TERM FD 2 | 67074R100 | COM | 66,526 | $1,553,000 | thousands by filing date | |
| COGENT COMM GROUP INC | 19239VAB0 | NOTE 1.000% 6/1 | 1,548,000 | $1,552,000 | thousands by filing date | principal |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 233,147 | $1,551,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 27,725 | $1,550,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 200,000 | $1,548,000 | thousands by filing date | call |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 48,604 | $1,548,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 77,066 | $1,548,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 218,477 | $1,547,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 13,974 | $1,545,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 73,302 | $1,545,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 26,962 | $1,538,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 15,231 | $1,537,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 612,100 | $1,537,000 | thousands by filing date | call |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 118,300 | $1,535,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 91,429 | $1,534,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 73,255 | $1,532,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 64,753 | $1,526,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 39,395 | $1,525,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 22,054 | $1,524,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 84,615 | $1,522,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 55,409 | $1,520,000 | thousands by filing date | |
| CROSS TIMBERS RTY TR | 22757R109 | TR UNIT | 48,733 | $1,519,000 | thousands by filing date | |
| WERNER ENTERPRISES INC | 950755108 | COM | 59,492 | $1,518,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 39,455 | $1,515,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 82,529 | $1,511,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 1,486,000 | $1,511,000 | thousands by filing date | principal |
| WISDOMTREE | 97717W752 | EXCHANGE TRADED | 49,301 | $1,509,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 29,528 | $1,509,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 312,901 | $1,508,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 167,015 | $1,507,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 37,034 | $1,506,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 136,712 | $1,505,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 65,133 | $1,504,000 | thousands by filing date | |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 85,102 | $1,496,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 181,700 | $1,495,000 | thousands by filing date | put |
| KIMBALL INTL INC | 494274103 | CL B | 82,654 | $1,495,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 72,885 | $1,489,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 123,003 | $1,488,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 87,344 | $1,488,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 256,198 | $1,487,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 47,550 | $1,486,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 45,841 | $1,474,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 35,674 | $1,470,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 145,265 | $1,466,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 24,006 | $1,466,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 113,566 | $1,463,000 | thousands by filing date | |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 40,794 | $1,461,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 47,493 | $1,456,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 82,691 | $1,456,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 35,663 | $1,454,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 182,368 | $1,453,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 1,471,000 | $1,446,000 | thousands by filing date | principal |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 108,007 | $1,446,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 32,795 | $1,441,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 16,653 | $1,439,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 28,575 | $1,430,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 34,926 | $1,429,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 33,753 | $1,427,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 108,249 | $1,426,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 51,992 | $1,425,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 31,680 | $1,422,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 184,441 | $1,422,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 33,522 | $1,421,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 97,957 | $1,417,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 105,863 | $1,414,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 81,342 | $1,413,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 1,339,000 | $1,413,000 | thousands by filing date | principal |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 17,044 | $1,406,000 | thousands by filing date | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 62,388 | $1,405,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 41,730 | $1,400,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 134,808 | $1,397,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 67,903 | $1,395,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 213,233 | $1,394,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 40,439 | $1,391,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 199,708 | $1,390,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 681,633 | $1,390,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 106,835 | $1,384,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 50,139 | $1,384,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 89,078 | $1,378,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 62,774 | $1,377,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 31,658 | $1,371,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 82,437 | $1,370,000 | thousands by filing date | |
| UNION FIRST MKT BANKSH CP | 90662P104 | COM | 53,849 | $1,369,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 166,475 | $1,369,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 28,102 | $1,367,000 | thousands by filing date | |
| BRINKS CO | 109696104 | COM | 47,860 | $1,366,000 | thousands by filing date | |
| EPL Oil & Gas, Inc. | 26883D108 | COM | 35,386 | $1,366,000 | thousands by filing date | |
| HANOVER INS GROUP INC COM | 410867105 | Stock | 22,186 | $1,363,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 104,693 | $1,359,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 1,000,000 | $1,359,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973W107 | COM | 48,918 | $1,359,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 105,046 | $1,357,000 | thousands by filing date | |
| CACI INTL INC | 127190AD8 | NOTE 2.125% 5/0 | 1,005,000 | $1,355,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 56,330 | $1,351,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 71,916 | $1,350,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 553,215 | $1,349,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 129,669 | $1,348,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 38,206 | $1,346,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 85,626 | $1,343,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 56,455 | $1,339,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BB8 | NOTE | 974,000 | $1,339,000 | thousands by filing date | principal |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 79,610 | $1,339,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 27,911 | $1,338,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 54,782 | $1,338,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 96,297 | $1,337,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 37,561 | $1,334,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 61,139 | $1,334,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 19,050 | $1,334,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 80,158 | $1,328,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 105,472 | $1,327,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 66,467 | $1,324,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 25,090 | $1,324,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 305,800 | $1,318,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 44,745 | $1,312,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 33,451 | $1,309,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 58,188 | $1,309,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 108,515 | $1,309,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN FD & | 73935X849 | ETF - EQUITY | 47,538 | $1,308,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 117,098 | $1,306,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 57,125 | $1,306,000 | thousands by filing date | |
| ARKANSAS BEST CORP | 040790107 | COM | 35,367 | $1,306,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 29,218 | $1,306,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 20,895 | $1,304,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 68,945 | $1,303,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 57,125 | $1,303,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 86,926 | $1,302,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 87,439 | $1,302,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 18,693 | $1,295,000 | thousands by filing date | |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 27,422 | $1,294,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 45,874 | $1,293,000 | thousands by filing date | |
| U S PHYSICAL THERAPY | 90337L108 | COM | 37,358 | $1,292,000 | thousands by filing date | |
| CPI AEROSTRUCTURES INC | 125919308 | COM NEW | 99,193 | $1,290,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 63,067 | $1,289,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 20,634 | $1,289,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 154,092 | $1,289,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 24,675 | $1,286,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 35,905 | $1,286,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W828 | ASIA PAC EXJP FD | 19,549 | $1,284,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 86,530 | $1,282,000 | thousands by filing date | |
| GLIMCHER RLTY TR | 379302102 | SH BEN INT | 127,685 | $1,282,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 98,692 | $1,281,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 354,082 | $1,279,000 | thousands by filing date | |
| BROOKFIELD RESIDENTIAL PPTYS | 11283W104 | COM | 60,949 | $1,278,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 42,316 | $1,277,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 455,489 | $1,276,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 97,662 | $1,275,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 69,816 | $1,274,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 82,432 | $1,271,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 30,991 | $1,271,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 221,793 | $1,271,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 70,574 | $1,270,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 33,760 | $1,270,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 134,830 | $1,270,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 51,109 | $1,269,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 62,121 | $1,269,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 87,546 | $1,268,000 | thousands by filing date | |
| RRSAT GLOBAL COMM NTWRK LTD | M8183P102 | SHS | 138,515 | $1,267,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 177,938 | $1,265,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 225,987 | $1,265,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 265,800 | $1,265,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 166,088 | $1,264,000 | thousands by filing date | |
| ISHARES TR | 464288216 | EMGR MKT INF ETF | 37,677 | $1,263,000 | thousands by filing date | |
| Niska Gas Storage Partners L | 654678101 | Unit Ltd Liabi | 86,834 | $1,261,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 208,175 | $1,259,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 110,880 | $1,258,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 58,844 | $1,255,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 88,937 | $1,255,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 93,669 | $1,254,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 38,302 | $1,252,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 33,960 | $1,251,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 93,201 | $1,250,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 52,125 | $1,250,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 19,698 | $1,248,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 76,290 | $1,248,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 40,978 | $1,246,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 145,672 | $1,246,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 176,561 | $1,246,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 31,875 | $1,245,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 83,283 | $1,244,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 72,969 | $1,239,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 204,122 | $1,233,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 26,846 | $1,231,000 | thousands by filing date | |
| SHOE STA GROUP INC | 824889109 | COM | 53,397 | $1,230,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 135,757 | $1,228,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 132,105 | $1,227,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 21,094 | $1,226,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 8,875 | $1,226,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 45,137 | $1,225,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 115,903 | $1,223,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 449,500 | $1,221,000 | thousands by filing date | put |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 23,653 | $1,220,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 512,461 | $1,215,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 135,985 | $1,213,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 168,378 | $1,213,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 42,083 | $1,212,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 33,685 | $1,211,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 48,551 | $1,210,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 2,370,378 | $1,209,000 | thousands by filing date | |
| BROWN SHOE COMPANY INC | 115736100 | COM | 45,436 | $1,206,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 33,085 | $1,204,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 73,040 | $1,203,000 | thousands by filing date | |
| QEP MIDSTREAM PARTNERS LP | 74735R115 | COM | 51,403 | $1,202,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 79,414 | $1,201,000 | thousands by filing date | |
| DREW INDS INC | 26168L205 | COM NEW | 22,061 | $1,196,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 84,080 | $1,193,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 27,054 | $1,192,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 13,015 | $1,192,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 78,095 | $1,191,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AC3 | DBCV 4.750% 4/1 | 978,000 | $1,188,000 | thousands by filing date | principal |
| LENDINGTREE INC NEW | 894675107 | COM | 38,244 | $1,187,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 28,545 | $1,184,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 203,624 | $1,184,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U308 | MV STEEL INDEX | 25,421 | $1,183,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 74,302 | $1,180,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 77,367 | $1,179,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 32,233 | $1,178,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 23,545 | $1,178,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 1,508,000 | $1,177,000 | thousands by filing date | principal |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 17,184 | $1,176,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 25,865 | $1,172,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 86,389 | $1,170,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 18,440 | $1,168,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 80,861 | $1,167,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 25,207 | $1,164,000 | thousands by filing date | |
| CHARTER COMMUNICATION - A | 16117M305 | COM | 9,447 | $1,163,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 113,523 | $1,162,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 14,144 | $1,161,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 38,659 | $1,160,000 | thousands by filing date | |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 71,382 | $1,159,000 | thousands by filing date | |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 47,164 | $1,159,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 78,636 | $1,157,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 51,711 | $1,157,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 241,273 | $1,157,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 56,995 | $1,156,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 90,793 | $1,155,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 138,016 | $1,155,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 17,547 | $1,153,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 206,538 | $1,152,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 95,426 | $1,152,000 | thousands by filing date | |
| POSTROCK ENERGY CORP | 737525105 | COM | 912,480 | $1,150,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 13,614 | $1,149,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 82,293 | $1,149,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 1,513,500 | $1,149,000 | thousands by filing date | call |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 71,309 | $1,148,000 | thousands by filing date | |
| VEOLIA ENVIRONNEMENT F | 92334N103 | Equity | 57,756 | $1,148,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 84,620 | $1,146,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 40,617 | $1,144,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 21,542 | $1,143,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 13,215 | $1,141,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 146,863 | $1,140,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 144,430 | $1,138,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 38,187 | $1,136,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 13,318 | $1,133,000 | thousands by filing date | |
| TANDY LEATHER FACTORY INC | 87538X105 | COM | 113,060 | $1,131,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 45,000 | $1,128,000 | thousands by filing date | call |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 7,413 | $1,128,000 | thousands by filing date | |
| TD SYNNEX CORPORATION COM | 87162W100 | Stock | 18,540 | $1,124,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 73,528 | $1,124,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 30,746 | $1,124,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 70,800 | $1,117,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 91,519 | $1,117,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 96,875 | $1,115,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 53,280 | $1,112,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 8,806 | $1,110,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 87,686 | $1,110,000 | thousands by filing date | |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 38,425 | $1,103,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 41,864 | $1,102,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 24,462 | $1,097,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 51,481 | $1,097,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 197,271 | $1,095,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219LAH2 | CORPORATE OBLIG | 1,033,000 | $1,094,000 | thousands by filing date | principal |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 10,100 | $1,090,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 266,163 | $1,089,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 19,344 | $1,087,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 64,965 | $1,086,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 177,125 | $1,085,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 109,296 | $1,084,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 102,444 | $1,084,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 32,572 | $1,080,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 54,788 | $1,079,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 79,795 | $1,077,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 144,372 | $1,077,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 23,859 | $1,076,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 68,364 | $1,073,000 | thousands by filing date | |
| STATE STREET | 78463X798 | COMMON STOCK | 48,281 | $1,073,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 90,817 | $1,072,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 66,776 | $1,072,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 105,813 | $1,072,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 73,729 | $1,070,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 21,140 | $1,069,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 137,071 | $1,064,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 76,413 | $1,061,000 | thousands by filing date | |
| G & K SVCS INC | 361268105 | CL A | 17,326 | $1,060,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 24,396 | $1,059,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 1,055,000 | $1,059,000 | thousands by filing date | principal |
| UNIT CORP | 909218109 | COM | 16,196 | $1,059,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 114,884 | $1,057,000 | thousands by filing date | |
| TELUS CORPORATION COM | 87971M103 | Stock | 29,367 | $1,056,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M399 | GUG BLT2017 HY | 38,308 | $1,054,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 146,258 | $1,052,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 883,038 | $1,050,000 | thousands by filing date | |
| RECEPTOS, INC. | 756207106 | COMMON STOCK | 25,013 | $1,050,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 83,086 | $1,050,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 43,825 | $1,048,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 9,342 | $1,048,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 78,422 | $1,046,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 16,735 | $1,045,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 51,993 | $1,041,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 25,606 | $1,040,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 58,307 | $1,039,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 39,430 | $1,039,000 | thousands by filing date | |
| WELLS FARGO CO. | 94986RCZ2 | MTNF 0.125 3/0 | 734,000 | $1,038,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 179,900 | $1,037,000 | thousands by filing date | call |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 927,000 | $1,037,000 | thousands by filing date | principal |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 56,679 | $1,033,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 86,013 | $1,030,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 14,247 | $1,029,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 100,974 | $1,029,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 73,549 | $1,027,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 1,088,000 | $1,027,000 | thousands by filing date | principal |
| SPDR Portfolio S&P 400 Mid Cap ETF | 78464A847 | SHS | 12,198 | $1,026,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 38,274 | $1,026,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 77,570 | $1,025,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 84,861 | $1,025,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 35,172 | $1,024,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 34,221 | $1,023,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 21,315 | $1,023,000 | thousands by filing date | |
| CONVERGYS CORP | 212485AE6 | SDCV | 500,000 | $1,023,000 | thousands by filing date | principal |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 58,871 | $1,020,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 28,435 | $1,020,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 38,443 | $1,016,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 71,478 | $1,015,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 65,661 | $1,014,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 68,858 | $1,006,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 38,308 | $1,006,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 146,000 | $1,004,000 | thousands by filing date | call |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 76,893 | $1,002,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 50,484 | $998,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 78,541 | $997,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 700,000 | $996,000 | thousands by filing date | principal |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 54,507 | $995,000 | 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 | superseded | 2014-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000537 | this filing | 2014-08-12 | acceptance time not in the bulk data set |