13F-HR/A filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR/A for the quarter ended 2014-06-30, filed 2014-08-29, with 6,530 holding rows worth $242,627,936,000.
- Accession
- 0000072971-14-000561
- Filer
- CIK 72971
- Filed
- 2014-08-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A combination report, amendment of type restatement, 21,039 entries on the cover page, a total value of $242,627,936,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $242,627,936,000 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 MANAGEMENT, LLC028-06003
- included managerGolden Capital Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerRock Creek Group, LP028-13780
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 |
|---|---|---|---|---|---|---|
| ISTAR INC | 45031U101 | COMMON STOCK | 28,378 | $425,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 9,523 | $424,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 64,170 | $423,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 55,231 | $423,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 27,384 | $422,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 30,409 | $421,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 42,865 | $420,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 60,857 | $420,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 293,442 | $417,000 | thousands by filing date | |
| FLAGSTAR BANK NATIONAL ASSOC | 64944P307 | UNIT 05/07/2051 | 8,473 | $417,000 | thousands by filing date | |
| KANSAS CITY LIFE INS CO | 484836101 | COM | 9,160 | $416,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 4,440 | $413,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 33,533 | $413,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 28,164 | $413,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 13,036 | $413,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 18,954 | $412,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 12,754 | $411,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 17,957 | $409,000 | thousands by filing date | |
| NORTEL INVERSORA S A | 656567401 | SPON ADR PFD B | 15,989 | $408,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 21,971 | $407,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F200 | PFD CV A $1.95 | 15,569 | $406,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 8,181 | $406,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 36,065 | $404,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 24,165 | $404,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 43,108 | $402,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 39,550 | $401,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 10,211 | $400,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN NETW | 73935X815 | COM | 12,224 | $400,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 34,730 | $399,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 15,415 | $399,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 41,059 | $398,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 348,000 | $398,000 | thousands by filing date | principal |
| VIVUS INC | 928551100 | COM | 74,788 | $397,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 16,017 | $397,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 8,083 | $395,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 13,413 | $393,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 16,854 | $393,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 17,460 | $392,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 40,000 | $392,000 | thousands by filing date | call |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 15,887 | $392,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R201 | DEV MK 100 ADR | 15,377 | $391,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 9,865 | $391,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 6,310 | $390,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 376,700 | $390,000 | thousands by filing date | call |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 25,314 | $390,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 4,295 | $389,000 | thousands by filing date | |
| STARRETT (L.S.) CO -CL A | 855668109 | CL A | 25,345 | $389,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 18,875 | $388,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 11,170 | $387,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 50,000 | $387,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 45,301 | $386,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 31,308 | $385,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 27,032 | $381,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 9,714 | $381,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 12,622 | $379,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 25,807 | $379,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 55,000 | $379,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 11,188 | $378,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 26,908 | $378,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 39,714 | $376,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 21,434 | $374,000 | thousands by filing date | |
| ENVENTIS CORP | 29402J101 | COM | 23,649 | $374,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 41,025 | $373,000 | thousands by filing date | |
| MINNESOTA MUNI INCOME PT | 604062109 | CMN | 22,601 | $373,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 12,667 | $372,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 22,190 | $372,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 9,753 | $372,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 688,100 | $371,000 | thousands by filing date | put |
| BANK SOUTH CAROLINA CORP | 065066102 | COM | 24,709 | $371,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 26,811 | $370,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 40,750 | $370,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 6,393 | $368,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 23,493 | $368,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 16,319 | $368,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 54,865 | $368,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 731,600 | $368,000 | thousands by filing date | put |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 14,061 | $367,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 30,857 | $366,000 | thousands by filing date | |
| KOPPERS HOLDINGS INC | 50060P106 | COM | 9,564 | $366,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 112,525 | $366,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 13,730 | $365,000 | thousands by filing date | |
| NBT BANCORP INC COM | 628778102 | Stock | 15,163 | $364,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 28,813 | $364,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 37,400 | $364,000 | thousands by filing date | |
| SPAR GROUP INC | 784933103 | COM | 240,065 | $362,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 8,849 | $362,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u613 | BRAZL SMCP ETF | 11,729 | $360,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 24,844 | $360,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 17,177 | $360,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 86,831 | $358,000 | thousands by filing date | |
| ISHARES INC | 464286582 | MSCI JAPN SMCETF | 6,293 | $358,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 57,938 | $358,000 | thousands by filing date | |
| ISHARES TR | 464287135 | NYSE 100INX FD | 4,044 | $358,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 16,654 | $357,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 12,955 | $357,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 53,946 | $357,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 68,979 | $356,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 65,215 | $355,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 301,000 | $354,000 | thousands by filing date | principal |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 6,070 | $353,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 37,583 | $353,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 118,310 | $352,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 35,625 | $352,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 5,357 | $352,000 | thousands by filing date | |
| PROSHARES TR | 74347R131 | SHRT HGH YIELD | 12,734 | $351,000 | thousands by filing date | |
| CLICKSOFTWARE TECHNOLOGIES L | M25082104 | ORD | 43,501 | $351,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 26,723 | $350,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 26,659 | $348,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 8,491 | $348,000 | thousands by filing date | |
| OMNICARE INC | 681904AP3 | NOTE 3.750% 4/0 | 208,000 | $347,000 | thousands by filing date | principal |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 14,874 | $346,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 19,727 | $345,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 13,663 | $344,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 24,647 | $343,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 22,651 | $343,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 18,553 | $342,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 25,387 | $341,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 21,225 | $340,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 23,326 | $340,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 25,034 | $339,000 | thousands by filing date | |
| Call - STI $33.70 Exp 12/31/2018 | 867914129 | Warrants | 32,150 | $339,000 | thousands by filing date | |
| AAR CORP | 000361105 | COM | 12,281 | $338,000 | thousands by filing date | |
| INSIGHT ENTERPRISES INC | 45765U103 | COM | 10,954 | $337,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 15,651 | $336,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 90,900 | $334,000 | thousands by filing date | put |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 18,127 | $334,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 21,909 | $332,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U571 | VECTRS POL ETF | 14,401 | $332,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 33,884 | $331,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 27,059 | $329,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 30,424 | $329,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 26,341 | $328,000 | thousands by filing date | |
| EXTERRAN HLDGS INC | 30225X103 | COM | 7,294 | $328,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 16,830 | $328,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 22,016 | $327,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 23,432 | $327,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 8,513 | $327,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 22,413 | $322,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 10,114 | $322,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 54,973 | $321,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 6,593 | $321,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 3,523 | $320,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 29,539 | $320,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 17,052 | $319,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 12,627 | $319,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,276,700 | $319,000 | thousands by filing date | put |
| WATERSTONE FINL INC MD | 94188P101 | COM | 27,892 | $318,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 25,516 | $318,000 | thousands by filing date | |
| ASTEC INDS INC | 046224101 | COM | 7,222 | $317,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 10,710 | $317,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 9,503 | $317,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 13,578 | $316,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 12,672 | $316,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 66,500 | $316,000 | thousands by filing date | call |
| B/E AEROSPACE INC | 073302101 | COM | 49,300 | $316,000 | thousands by filing date | call |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 23,046 | $316,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 26,247 | $315,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 11,717 | $315,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 80,000 | $314,000 | thousands by filing date | put |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 58,100 | $314,000 | thousands by filing date | put |
| GLOBALSCAPE INC | 37940G109 | COM | 128,310 | $314,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 20,460 | $313,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 6,476 | $312,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 294,000 | $312,000 | thousands by filing date | principal |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 20,119 | $310,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 17,633 | $310,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 11,991 | $309,000 | thousands by filing date | |
| INTERNATIONAL BANCSHARES COR | 459044103 | COM | 11,381 | $307,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 18,738 | $307,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 14,632 | $307,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 28,699 | $307,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 24,601 | $307,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 18,159 | $306,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 12,258 | $305,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 5,288 | $305,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 20,815 | $303,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 30,602 | $303,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 27,521 | $303,000 | thousands by filing date | |
| SPDR Portfolio Corporate Bond ETF | 78464A144 | SHS | 9,312 | $302,000 | thousands by filing date | |
| SAUL CTRS INC COM | 804395101 | REIT | 6,209 | $302,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 8,514 | $302,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 4,089 | $299,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 103,700 | $298,000 | thousands by filing date | put |
| COMPRESSCO PARTNERS L P | 20467A101 | COM UNIT | 10,797 | $297,000 | thousands by filing date | |
| SUSSER HOLDINGS CORP | 869233106 | COMMON STOCK | 3,659 | $295,000 | thousands by filing date | |
| SPDR Portfolio S&P 1500 Composite Stock Market ETF | 78464A805 | SHS | 1,992 | $294,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 20,012 | $294,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 5,453 | $294,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 60,800 | $293,000 | thousands by filing date | put |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 60,724 | $293,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 17,370 | $293,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 95,601 | $293,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 255,100 | $292,000 | thousands by filing date | put |
| TCW CONV SECS FD INC | 872340104 | COM | 52,973 | $292,000 | thousands by filing date | |
| ISHARES TR | 464289842 | MSCI PERU GL ETF | 8,190 | $292,000 | thousands by filing date | |
| Flushing Financial Corp | 343873105 | Common Stock | 14,196 | $292,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 12,925 | $292,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 8,226 | $291,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 9,103 | $291,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 17,217 | $290,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 70,708 | $289,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 23,020 | $288,000 | thousands by filing date | |
| ICG GROUP INC | 44928D108 | COM | 13,807 | $288,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 15,714 | $287,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 7,648 | $286,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 13,338 | $286,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863AL4 | CORPORATE OBLIG | 285,000 | $285,000 | thousands by filing date | principal |
| SEMGROUP CORP | 81663A105 | CL A | 3,602 | $284,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 89,450 | $284,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 5,028 | $283,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 12,794 | $283,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 21,946 | $282,000 | thousands by filing date | |
| Powershs Db US Dollar Tr | 73936D206 | DOLL INDX BEAR | 10,367 | $282,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 33,375 | $281,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 11,192 | $281,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 16,509 | $281,000 | thousands by filing date | |
| SPDR SER TR STATE STR SPDR PORT S&P 500 ETF | 78464A854 | SHS | 3,025 | $280,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 26,428 | $280,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 25,128 | $279,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 8,468 | $279,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 3,086 | $278,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 15,608 | $278,000 | thousands by filing date | |
| NORDION INC | 65563c105 | COM | 22,105 | $278,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 2,066 | $277,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 20,665 | $276,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 172,441 | $276,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 14,250 | $276,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A441 | NUVN CALI MUNI | 11,810 | $276,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 4,092 | $276,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 22,751 | $275,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 2,100 | $275,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 32,800 | $273,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 113,396 | $272,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 67,638 | $272,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 7,764 | $271,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 5,321 | $270,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 17,700 | $270,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 43,429 | $270,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 21,074 | $269,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 8,043 | $266,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 359,250 | $266,000 | thousands by filing date | principal |
| LIQUIDITY SVCS INC | 53635B107 | COM | 16,818 | $265,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 10,179 | $265,000 | thousands by filing date | |
| GEO GROUP INC | 36159R103 | COMMON STOCK | 7,425 | $265,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 24,087 | $265,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 53,039 | $265,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 4,860 | $264,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 46,777 | $264,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 7,578 | $264,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 8,024 | $263,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 50,090 | $263,000 | thousands by filing date | |
| ISHARES TR | 464288547 | RETAIL CAP IDX | 6,622 | $262,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 34,264 | $261,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 12,498 | $261,000 | thousands by filing date | |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 22,574 | $261,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 33,381 | $260,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 15,136 | $260,000 | thousands by filing date | |
| TRUEBLUE INC | 89785X101 | COM | 9,413 | $259,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 18,478 | $259,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R700 | 7-15 YR US TRS | 3,102 | $259,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 10,734 | $258,000 | thousands by filing date | |
| ARES MULTI STRATEGY CR FD IN | 04014Q108 | COM | 11,801 | $258,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 24,666 | $256,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 2,704 | $254,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 10,072 | $253,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 20,154 | $253,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 5,379 | $252,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 8,479 | $252,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 32,301 | $252,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 5,260 | $251,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 30,014 | $251,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 6,947 | $250,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 10,129 | $249,000 | thousands by filing date | |
| SCANSOURCE INC | 806037107 | COM | 6,551 | $249,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 113,275 | $249,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 16,137 | $248,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 12,171 | $248,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 18,192 | $247,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 100,000 | $247,000 | thousands by filing date | principal |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 16,241 | $246,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 18,885 | $246,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 8,464 | $246,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 34,127 | $246,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 222,000 | $246,000 | thousands by filing date | principal |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 11,147 | $245,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 252,000 | $243,000 | thousands by filing date | put |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 26,000 | $243,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 5,334 | $243,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 6,888 | $243,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 19,506 | $243,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 20,000 | $242,000 | thousands by filing date | call |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,523 | $242,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 38,921 | $242,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 17,317 | $241,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 7,675 | $241,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 5,980 | $241,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 36,000 | $240,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 85,922 | $238,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 60,130 | $238,000 | thousands by filing date | |
| ALERE INC | 01449J204 | PERP PFD CONV SE | 750 | $238,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 6,400 | $237,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 19,695 | $236,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 10,199 | $235,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 312,800 | $234,000 | thousands by filing date | call |
| MICRON TECHNOLOGY INC | 595112AR4 | NOTE 1.875% 8/0 | 68,000 | $234,000 | thousands by filing date | principal |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 345,500 | $234,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 3,201 | $233,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 16,007 | $233,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 15,778 | $231,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 4,970 | $231,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 567,000 | $230,000 | thousands by filing date | principal |
| AMERICAN VANGUARD CORP | 030371108 | COM | 17,276 | $228,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 151,362 | $228,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 88,918 | $228,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 91,314 | $228,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 21,490 | $227,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 6,778 | $227,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 8,081 | $227,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 89,000 | $227,000 | thousands by filing date | put |
| COMPUGEN LTD | M25722105 | ORD | 25,125 | $226,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 14,456 | $226,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 13,845 | $225,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 19,530 | $225,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAA0 | CNV | 261,000 | $224,000 | thousands by filing date | principal |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,488 | $223,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 33,599 | $223,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 208,000 | $223,000 | thousands by filing date | principal |
| SHILOH INDUSTRIES INC | 824543102 | COM | 12,017 | $222,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 26,701 | $221,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 42,759 | $221,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 11,588 | $219,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 58,436 | $219,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 310,000 | $218,000 | thousands by filing date | put |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 15,431 | $218,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 13,505 | $218,000 | thousands by filing date | |
| HCP INC | 40414L109 | COM | 133,600 | $217,000 | thousands by filing date | call |
| CARVER BANCORP ORD | 146875604 | COM | 22,974 | $217,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 8,200 | $216,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 16,145 | $216,000 | thousands by filing date | |
| WISDOMTREE DREYFUS NEW ZEALAND | 97717W216 | COM | 10,144 | $216,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 14,359 | $214,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 18,098 | $214,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B834 | GLB AGRI SM CP | 7,837 | $214,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 17,742 | $214,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 5,429 | $213,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 11,115 | $212,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 6,427 | $212,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 5,413 | $212,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 47,458 | $211,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 196,100 | $211,000 | thousands by filing date | call |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 2,385 | $211,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 5,754 | $211,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 232,500 | $210,000 | thousands by filing date | call |
| BLUEBIRD BIO INC | 09609G100 | COM | 5,408 | $209,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 23,211 | $209,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 51,452 | $209,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 14,413 | $209,000 | thousands by filing date | |
| WESTERN ASSET VAR RT STRG FD | 957667108 | COM | 11,968 | $209,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 8,138 | $208,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 15,966 | $208,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 227,000 | $208,000 | thousands by filing date | principal |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 2,860 | $208,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 21,916 | $207,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 10,756 | $207,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 4,245 | $207,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 183,000 | $207,000 | thousands by filing date | principal |
| ABERDEEN SINGAPORE FD INC | 003244100 | COM | 15,827 | $207,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 164,000 | $206,000 | thousands by filing date | principal |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 11,002 | $204,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 8,423 | $203,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 7,635 | $203,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 75,000 | $202,000 | thousands by filing date | put |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 15,500 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 5,627 | $202,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 83,500 | $201,000 | thousands by filing date | put |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 22,623 | $201,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 16,970 | $201,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 5,940 | $201,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 8,578 | $200,000 | thousands by filing date | |
| FURIEX PHARMACEUTICALS | 36106P101 | COM | 1,881 | $200,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 40,746 | $199,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 18,800 | $197,000 | thousands by filing date | |
| WINNEBAGO INDS INC | 974637100 | COM | 7,803 | $197,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 9,589 | $196,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 12,982 | $196,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 14,247 | $196,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 292,600 | $196,000 | thousands by filing date | call |
| EXA CORP | 300614500 | COM | 17,400 | $196,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,487 | $196,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 459,800 | $195,000 | thousands by filing date | put |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 3,797 | $195,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 48,456 | $195,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 4,347 | $194,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 914,100 | $193,000 | thousands by filing date | call |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 8,482 | $192,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 11,150 | $192,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 9,963 | $192,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 2,790 | $192,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 20,260 | $191,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 11,885 | $189,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 13,962 | $189,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 14,846 | $189,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 91,900 | $188,000 | thousands by filing date | put |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 16,500 | $188,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 8,815 | $188,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 7,324 | $187,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 58,161 | $187,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 19,725 | $187,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,362 | $186,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 14,466 | $186,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 56,295 | $185,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 3,537 | $184,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 6,909 | $183,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 10,714 | $183,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 16,533 | $183,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 11,116 | $182,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 59,319 | $182,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 29,090 | $182,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 13,261 | $180,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 23,160 | $180,000 | thousands by filing date | |
| PHH CORP | 693320AQ6 | CNV | 90,000 | $178,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 15,883 | $177,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 10,450 | $177,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 4,284 | $177,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 13,519 | $176,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 10,524 | $176,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 10,274 | $176,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 40,384 | $176,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 15,340 | $176,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 2,740 | $176,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 41,196 | $175,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 25,466 | $175,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 4,985 | $175,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 141,000 | $174,000 | thousands by filing date | principal |
| BAZAARVOICE INC | 073271108 | COM | 22,165 | $174,000 | thousands by filing date | |
| QUIDEL CORP | 74838J101 | COM | 7,825 | $173,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 4,035 | $173,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 4,165 | $173,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 3,338 | $172,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 13,367 | $172,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 10,157 | $172,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 30,700 | $172,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 17,178 | $171,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 5,519 | $171,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 35,602 | $170,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 15,361 | $170,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 25,440 | $170,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 18,060 | $170,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 43,481 | $170,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 2,285 | $170,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 9,078 | $170,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 12,126 | $170,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 12,057 | $168,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 52,938 | $167,000 | thousands by filing date | |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 17,747 | $166,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396704 | NAVELLR A-100 | 3,042 | $166,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 5,440 | $165,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 34,500 | $165,000 | thousands by filing date | |
| AMER RLTY CAP HEALTHCAR TR INC COM | 02917R108 | COM | 15,123 | $165,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 74,200 | $164,000 | thousands by filing date | call |
| DYNEX CAP INC | 26817Q506 | COM NEW | 18,454 | $164,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 15,976 | $163,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 15,201 | $163,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 12,636 | $162,000 | thousands by filing date | |
| SKY-MOBI LTD | 83084G109 | SPONSORED ADS | 19,530 | $162,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 5,564 | $162,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 6,934 | $161,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 28,772 | $161,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 18,155 | $161,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 38,625 | $161,000 | thousands by filing date | |
| ENDURO ROYALTY TRUST | 29269K100 | COMMON | 11,654 | $161,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 18,815 | $160,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 8,034 | $160,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 3,033 | $159,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 5,463 | $159,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 2,164 | $159,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 5,473 | $159,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 9,424 | $159,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 150,000 | $158,000 | thousands by filing date | call |
| JBT MAREL CORPORATION | 477839104 | COM | 5,106 | $158,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 18,695 | $158,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 15,001 | $158,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,003 | $157,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 3,987 | $157,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $157,000 | thousands by filing date | |
| JINPAN INTL LTD | G5138L100 | ORD | 23,251 | $157,000 | thousands by filing date | |
| NUVEEN NEW JERSEY DIVID | 67071T109 | COM | 11,713 | $157,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 13,537 | $157,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 11,856 | $156,000 | thousands by filing date | |
| MERCANTILE BANK CORP | 587376104 | COMMON STOCK | 6,842 | $156,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 6,617 | $156,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 12,934 | $156,000 | thousands by filing date | |
| GS CONNECT S+P GSCI ENH COMM | 38144L852 | SP E | 3,135 | $156,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 250,500 | $155,000 | thousands by filing date | put |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 3,821 | $155,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 3,193 | $155,000 | thousands by filing date | |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 6,687 | $155,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 155,000 | $155,000 | thousands by filing date | put |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 20,167 | $155,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 9,960 | $155,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-14-000538 | superseded | 2014-08-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000072971-14-000561 | this filing | 2014-08-29 | acceptance time not in the bulk data set |