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 |
|---|---|---|---|---|---|---|
| ISHARES TR MSCI EURO FL ETF | 464289180 | MSCI EURO FL ETF | 15,475 | $394,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 28,188 | $394,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 50,000 | $394,000 | thousands by filing date | |
| ING RISK MANAGED NAT RES FD | 449810100 | COM | 37,316 | $394,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 13,608 | $392,000 | thousands by filing date | |
| NUVEEN CALIF QUALITY INCM MU | 670985100 | COM | 26,338 | $391,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 9,456 | $390,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 11,091 | $390,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 5,307 | $389,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 37,445 | $389,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 15,362 | $388,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 10,592 | $388,000 | thousands by filing date | |
| NUVEEN CA SELECT QUALITY MUN | 670975101 | COM | 26,822 | $388,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 20,930 | $387,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 15,480 | $385,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 12,376 | $384,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 305,000 | $383,000 | thousands by filing date | call |
| AH RLTY TR INC | 04208T108 | COM | 38,119 | $383,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 19,213 | $383,000 | thousands by filing date | |
| PROGRESSIVE WASTE SOLUTIONS | 74339G101 | COM | 15,118 | $383,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 20,332 | $383,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 11,918 | $382,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 7,494 | $382,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 28,426 | $381,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 9,386 | $381,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 20,353 | $381,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 6,975 | $381,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 22,601 | $381,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 14,648 | $380,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 26,743 | $379,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 46,188 | $379,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 7,768 | $377,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 24,106 | $376,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 7,892 | $376,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 14,854 | $376,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 18,893 | $373,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 8,071 | $372,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 8,776 | $372,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X558 | S&P RUSSIA ETF | 15,881 | $371,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 17,011 | $370,000 | thousands by filing date | |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 24,709 | $370,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 9,635 | $369,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 26,070 | $369,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 26,359 | $368,000 | thousands by filing date | |
| ISHARES TR | 464287135 | NYSE 100INX FD | 4,352 | $367,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 28,640 | $366,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 7,600 | $366,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 21,369 | $365,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 6,232 | $365,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 1,454,400 | $365,000 | thousands by filing date | call |
| CVB FINL CORP COM | 126600105 | Stock | 22,865 | $364,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 40,208 | $363,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 4,419 | $362,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 30,700 | $361,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 69,114 | $360,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 47,691 | $359,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 11,294 | $359,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 58,601 | $358,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 13,648 | $357,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 29,257 | $356,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 23,901 | $355,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 27,178 | $355,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 114,914 | $355,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,753 | $354,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 6,238 | $353,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 20,000 | $352,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 18,856 | $352,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 36,334 | $350,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 79,290 | $350,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 11,126 | $349,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 32,150 | $349,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 10,782 | $348,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 12,965 | $348,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 28,260 | $347,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 25,230 | $344,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 13,375 | $343,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 24,379 | $342,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 21,680 | $342,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 5,595 | $341,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 24,566 | $340,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 75,000 | $339,000 | thousands by filing date | put |
| NBT BANCORP INC COM | 628778102 | Stock | 13,909 | $339,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 31,308 | $338,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 12,530 | $338,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 27,809 | $338,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 5,346 | $337,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 27,742 | $337,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 17,201 | $336,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 110,240 | $336,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 305,000 | $335,000 | thousands by filing date | principal |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 35,426 | $334,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 25,605 | $334,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 10,341 | $333,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 60,000 | $332,000 | thousands by filing date | call |
| UNITED STS 12 MONTH NAT GAS | 91288X109 | UNIT BEN INT | 16,949 | $332,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 10,063 | $331,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A672 | ST INTER ETF | 5,584 | $331,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 60,631 | $331,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 22,546 | $330,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 9,500 | $330,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 60,453 | $329,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 7,669 | $329,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 22,713 | $328,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 19,127 | $328,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 4,735 | $327,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 10,387 | $327,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 14,473 | $326,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 37,383 | $326,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 119,048 | $326,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 12,454 | $322,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 52,046 | $322,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 8,165 | $321,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 25,324 | $320,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 300,000 | $320,000 | thousands by filing date | principal |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 24,132 | $320,000 | thousands by filing date | |
| NUVEEN NY DIV ADVANTG MUN FD | 67070A101 | COM | 24,426 | $319,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 90,544 | $318,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 20,155 | $318,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 11,200 | $318,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 16,689 | $318,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 24,499 | $316,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 35,600 | $315,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 21,099 | $315,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 61,135 | $315,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 17,712 | $313,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 24,635 | $313,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 12,482 | $310,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 24,134 | $309,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 18,931 | $309,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 24,885 | $306,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 38,300 | $306,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 55,300 | $303,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 112,800 | $302,000 | thousands by filing date | call |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 305,000 | $302,000 | thousands by filing date | principal |
| METRO BANCORP INC | 59161R101 | COM | 14,181 | $300,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 3,461 | $299,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 22,285 | $299,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 250,000 | $298,000 | thousands by filing date | call |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 16,036 | $297,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 11,957 | $297,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 106,823 | $296,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 16,946 | $296,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 140,000 | $293,000 | thousands by filing date | put |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 7,456 | $293,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 14,557 | $292,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 32,289 | $292,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 12,968 | $292,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 20,164 | $291,000 | thousands by filing date | |
| SYNAPTICS INC COM | 87157D109 | Stock | 20,000 | $289,000 | thousands by filing date | call |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 19,419 | $289,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 18,919 | $289,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 28,842 | $288,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 32,300 | $288,000 | thousands by filing date | |
| SYMMETRY MEDICAL INC | 871546206 | COM | 30,836 | $288,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 18,767 | $287,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 8,764 | $287,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 53,978 | $287,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 12,001 | $287,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 7,780 | $287,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 11,343 | $285,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 28,005 | $285,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 3,306 | $285,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 12,334 | $285,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 3,105 | $284,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 26,304 | $284,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 280,000 | $284,000 | thousands by filing date | principal |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 24,666 | $283,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 41,775 | $283,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 12,201 | $283,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,991 | $282,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 34,621 | $282,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 23,120 | $281,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 52,632 | $280,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 22,414 | $279,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 16,089 | $279,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 29,316 | $279,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 20,690 | $279,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 6,118 | $278,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 21,700 | $278,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 13,750 | $278,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 21,803 | $277,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 6,110 | $277,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 7,377 | $277,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 25,722 | $275,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 11,243 | $275,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 10,490 | $275,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 22,886 | $275,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 20,207 | $275,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 5,591 | $274,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 41,953 | $273,000 | thousands by filing date | |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 6,581 | $273,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 495,000 | $272,000 | thousands by filing date | call |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 10,797 | $272,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 11,850 | $272,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 106,296 | $272,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 2,067 | $271,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 10,462 | $271,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 127,272 | $271,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 1,806 | $270,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 22,834 | $268,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 56,413 | $268,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 3,025 | $267,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 83,585 | $267,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 29,109 | $267,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 20,132 | $267,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U829 | GAMING ETF | 5,173 | $267,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 20,028 | $266,000 | thousands by filing date | |
| ISHARES TR | 464288497 | DEVSMCP EXNA ETF | 5,693 | $265,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 7,889 | $265,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 22,101 | $265,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 15,848 | $264,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 32,401 | $263,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 11,510 | $262,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 4,650 | $261,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,750 | $260,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 11,183 | $260,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H214 | ETN DJUBS SGAR38 | 4,413 | $260,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 70,540 | $259,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 12,481 | $259,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 33,301 | $259,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 13,149 | $257,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 27,100 | $257,000 | thousands by filing date | call |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 60,000 | $257,000 | thousands by filing date | call |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 219,000 | $256,000 | thousands by filing date | principal |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 8,423 | $255,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 31,451 | $254,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 3,559 | $254,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 18,403 | $254,000 | thousands by filing date | |
| TAUBMAN CTRS INC | 876664707 | PFD SER K | 11,119 | $253,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 19,793 | $253,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 22,472 | $251,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 17,389 | $251,000 | thousands by filing date | |
| ROVI CORP | 779376AB8 | CORPORATE OBLIG | 249,000 | $251,000 | thousands by filing date | principal |
| ENZYMOTEC LTD | M4059L101 | SHS | 11,341 | $250,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 12,751 | $249,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 50,000 | $248,000 | thousands by filing date | call |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 16,975 | $248,000 | thousands by filing date | |
| FIDELITY COMWLTH TR | 315912808 | COM | 1,498 | $247,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 7,579 | $247,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 11,669 | $246,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 7,108 | $246,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 45,965 | $246,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 5,603 | $246,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 24,540 | $245,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 18,881 | $245,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 98,773 | $245,000 | thousands by filing date | |
| US STEEL CORP | 912909AE8 | NOTE | 244,000 | $245,000 | thousands by filing date | principal |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 23,296 | $244,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 7,771 | $243,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 50,001 | $243,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 8,368 | $241,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 32,533 | $241,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 5,055 | $240,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 17,495 | $240,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 11,148 | $240,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 5,017 | $240,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 18,890 | $240,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 82,200 | $239,000 | thousands by filing date | put |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 12,353 | $239,000 | thousands by filing date | |
| GLOBALSCAPE INC | 37940G109 | COM | 96,550 | $239,000 | thousands by filing date | |
| OMNICARE INC | 681904AP3 | NOTE 3.750% 4/0 | 158,000 | $238,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 200,000 | $238,000 | thousands by filing date | principal |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 9,801 | $237,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 9,735 | $236,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 10,160 | $235,000 | thousands by filing date | |
| MARCHEX INC | 56624R108 | CMN | 22,930 | $235,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,983 | $234,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 73,829 | $234,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 23,578 | $233,000 | thousands by filing date | |
| COLLECTORS UNIVERSE | 19421R200 | COMMON | 12,333 | $233,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 126,900 | $232,000 | thousands by filing date | put |
| BlackRock Muniy Michigan | 09254V105 | Fund | 17,478 | $231,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 293,442 | $229,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 6,729 | $229,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 22,098 | $229,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 5,321 | $228,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,446 | $228,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 11,683 | $228,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 20,896 | $227,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 5,144 | $226,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 8,109 | $226,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 25,382 | $226,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 21,552 | $225,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 567,000 | $224,000 | thousands by filing date | principal |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 15,545 | $223,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 13,627 | $222,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 16,493 | $222,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 9,604 | $221,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 32,107 | $220,000 | thousands by filing date | |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 17,629 | $220,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 15,275 | $220,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 4,862 | $219,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 37,304 | $219,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 17,249 | $219,000 | thousands by filing date | |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 12,921 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 5,916 | $218,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 6,801 | $217,000 | thousands by filing date | |
| OILTANKING PARTNERS L P | 678049107 | UNIT LTD | 2,817 | $217,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 750 | $217,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 81,700 | $214,000 | thousands by filing date | put |
| S & T BANCORP INC COM | 783859101 | Stock | 9,052 | $214,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 34,069 | $214,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 4,478 | $214,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 64,000 | $213,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 10,925 | $212,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 19,396 | $212,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 15,215 | $212,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 15,245 | $212,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 13,970 | $212,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 14,498 | $211,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 365,000 | $210,000 | thousands by filing date | put |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,567 | $209,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 3,995 | $209,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 11,789 | $208,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 204,000 | $208,000 | thousands by filing date | principal |
| BIOAMBER INC | 09072Q106 | COM | 18,231 | $208,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 15,704 | $206,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 12,629 | $206,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 55,300 | $205,000 | thousands by filing date | put |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 6,354 | $205,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 12,765 | $205,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 45,044 | $205,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 60,000 | $204,000 | thousands by filing date | call |
| LIBBEY INC | 529898108 | COM | 7,842 | $204,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 10,765 | $203,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 7,240 | $203,000 | thousands by filing date | |
| WESTERN ASSET INFL MGMT FD I | 95766U107 | COM | 11,393 | $203,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 12,469 | $202,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 3,442 | $202,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 7,627 | $202,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 52,111 | $201,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 6,587 | $201,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 19,901 | $201,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 8,359 | $200,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 14,535 | $199,000 | thousands by filing date | |
| Nuveen Cal Performance | 67062Q106 | COM | 14,374 | $199,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 46,500 | $199,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 10,879 | $198,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 10,424 | $198,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 7,959 | $198,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 26,181 | $197,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 16,382 | $197,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 2,242 | $196,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 3,815 | $196,000 | thousands by filing date | |
| PHH CORP | 693320AQ6 | CNV | 90,000 | $196,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 2,049 | $195,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 61,400 | $195,000 | thousands by filing date | call |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 5,841 | $195,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 26,719 | $194,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 26,763 | $194,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 40,716 | $193,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 16,792 | $193,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 16,692 | $193,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 15,609 | $192,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 23,804 | $192,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 11,151 | $191,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 196,600 | $190,000 | thousands by filing date | put |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 5,788 | $190,000 | thousands by filing date | |
| REPLIGEN CORP COM | 759916109 | Stock | 14,631 | $189,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 11,848 | $189,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 11,428 | $189,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 16,550 | $188,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 15,491 | $188,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 12,982 | $187,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 11,888 | $187,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 13,963 | $187,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 6,065 | $187,000 | thousands by filing date | |
| SHILOH INDUSTRIES INC | 824543102 | COM | 10,476 | $186,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 9,564 | $186,000 | thousands by filing date | |
| EXLSERVICE HLDGS INC COM | 302081104 | Stock | 5,954 | $184,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 54,620 | $184,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 5,892 | $184,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 7,309 | $183,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 21,191 | $183,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 18,208 | $183,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 12,345 | $182,000 | thousands by filing date | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,108 | $182,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 8,839 | $182,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 17,467 | $182,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 19,188 | $181,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 38,625 | $181,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 8,264 | $179,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 2,035 | $179,000 | thousands by filing date | |
| ARRIS GROUP INC | 04270V106 | COM | 60,900 | $179,000 | thousands by filing date | call |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 2,522 | $179,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 25,050 | $177,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 4,846 | $177,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 10,400 | $177,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 11,791 | $176,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 125,800 | $176,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 14,627 | $175,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 33,603 | $175,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 4,216 | $175,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 10,285 | $174,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 173,000 | $174,000 | thousands by filing date | principal |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 12,844 | $174,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 3,871 | $173,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 9,158 | $173,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 35,251 | $173,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 8,746 | $173,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 2,850 | $173,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 41,251 | $173,000 | thousands by filing date | |
| CENTER BANCORP INC | 151408101 | COM | 9,051 | $172,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 11,300 | $172,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 8,407 | $172,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 9,320 | $171,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 59,774 | $171,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 20,151 | $170,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 5,235 | $170,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 68,000 | $170,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 68,171 | $170,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 18,059 | $170,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 9,010 | $170,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 47,602 | $169,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 6,174 | $169,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 11,680 | $169,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 5,181 | $169,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 14,466 | $168,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 10,344 | $168,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,284 | $168,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 9,679 | $167,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,734 | $167,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 52,938 | $166,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 57,023 | $165,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 10,548 | $165,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 209,939 | $165,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 54,700 | $164,000 | thousands by filing date | put |
| NUVEEN CALIFORNIA | 6706L0102 | COM | 12,080 | $164,000 | thousands by filing date | |
| LEUCADIA NATIONAL CORP | 527288AX2 | NOTE 3.750% | 125,000 | $164,000 | thousands by filing date | principal |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 13,834 | $163,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 9,227 | $163,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 3,938 | $162,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 18,096 | $162,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 2,890 | $162,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 19,606 | $162,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 38,507 | $162,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 22,848 | $161,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 247,000 | $161,000 | thousands by filing date | principal |
| CHC GROUP LTD | G07021101 | SHS | 21,794 | $161,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 12,740 | $160,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 1,929 | $160,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 129,600 | $159,000 | thousands by filing date | put |
| GAP INC COM | 364760108 | Stock | 295,000 | $159,000 | thousands by filing date | put |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 17,443 | $159,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 9,676 | $159,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 17,575 | $159,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 50,095 | $159,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 9,242 | $159,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 14,292 | $158,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 2,926 | $158,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 10,523 | $158,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 2,925 | $157,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 37,472 | $157,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 145,500 | $157,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 6,992 | $156,000 | thousands by filing date | |
| BROOKFIELD OFFICE PPTYS INC | 112900105 | COM | 8,017 | $155,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 3,042 | $155,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,624 | $154,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 4,027 | $154,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 7,831 | $154,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 14,099 | $152,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 15,301 | $152,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,201 | $152,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 4,218 | $151,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 33,870 | $151,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 10,020 | $151,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 11,262 | $150,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 9,227 | $150,000 | thousands by filing date | |
| ISHARES TR | 464289404 | S&P TARGET 20 | 3,750 | $150,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 1,457 | $149,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 34,826 | $149,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 3,521 | $149,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 41,010 | $149,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 1,737 | $149,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 8,442 | $149,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 8,009 | $149,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 151,000 | $149,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33736M103 | ALERIAN US NXTGN | 2,845 | $148,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 49,613 | $148,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 11,718 | $147,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 105,200 | $147,000 | thousands by filing date | put |
| TERRENO RLTY CORP | 88146M101 | COM | 7,710 | $146,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 35,905 | $146,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097747 | ADR PREF SHS R | 6,574 | $146,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 28,000 | $145,000 | thousands by filing date | put |
| ERIE INDTY CO CL A | 29530P102 | Stock | 2,072 | $145,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 5,306 | $145,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,826 | $145,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 13,938 | $145,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 27,424 | $145,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 2,096 | $145,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 4,335 | $145,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 17,246 | $145,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 140,000 | $144,000 | thousands by filing date | put |
| BB & T CORP | 054937107 | COM | 200,000 | $144,000 | thousands by filing date | put |
| ROCKWOOD HLDGS INC | 774415103 | COM | 75,000 | $144,000 | thousands by filing date | put |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 16,785 | $144,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 4,674 | $144,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154H731 | DB GOLD SHORT | 9,734 | $143,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 4,578 | $142,000 | 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 |