13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-14, with 6,738 holding rows worth $259,411,943,000.
- Accession
- 0000072971-15-000623
- Filer
- CIK 72971
- Filed
- 2015-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 20,317 entries on the cover page, a total value of $259,411,943,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $259,411,943,000 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
- 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 managerNORWEST LTD LP, LLLP028-06571
- 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 |
|---|---|---|---|---|---|---|
| ICF INTL INC | 44925C103 | COM | 7,005 | $244,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 22,141 | $243,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 1,180,000 | $242,000 | thousands by filing date | call |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 1,845 | $242,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 30,000 | $242,000 | thousands by filing date | call |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 12,626 | $241,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 114,007 | $241,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 159,877 | $241,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 5,928 | $240,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 35,383 | $240,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 15,106 | $240,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 7,542 | $239,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 26,757 | $239,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 19,765 | $238,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 2,517 | $238,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 14,694 | $238,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 18,816 | $238,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 38,267 | $237,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 28,984 | $237,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 35,508 | $237,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 28,509 | $237,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 11,632 | $236,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 22,950 | $236,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 26,611 | $235,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 20,855 | $235,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 10,824 | $235,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 220,000 | $234,000 | thousands by filing date | put |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 7,318 | $234,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 23,962 | $233,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR GUGG INSDR | 18383M209 | SENT | 4,648 | $233,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 15,174 | $232,000 | thousands by filing date | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 10,110 | $232,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 305,000 | $231,000 | thousands by filing date | call |
| GRAHAM CORP | 384556106 | COM | 11,300 | $231,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 10,632 | $231,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043309 | PFD CONV SER C | 4,845 | $231,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 9,519 | $231,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 7,768 | $230,000 | thousands by filing date | |
| STATE STREET SPDR PORTFOLIO INTERMEDIATE TERM CORPORATE BOND ETF | 78464A433 | ETF | 10,001 | $230,000 | thousands by filing date | |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 125,000 | $230,000 | thousands by filing date | principal |
| ATLANTIC TELE NETWORK INC | 049079205 | COM NEW | 3,319 | $230,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 59,244 | $230,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 118,259 | $230,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 3,284 | $229,000 | thousands by filing date | |
| EAGLE PHARMACEUTICALS INC | 269796108 | COM | 2,835 | $229,000 | thousands by filing date | |
| ALZA CORP 7/2 | 02261WAB5 | SDCV | 171,000 | $229,000 | thousands by filing date | principal |
| Engility Holdings Inc | 29286C107 | COM | 9,119 | $229,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 6,573 | $228,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 9,698 | $228,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 12,304 | $228,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 7,298 | $227,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E200 | FTSE COLOMBIA20 | 21,300 | $227,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 9,682 | $226,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 36,105 | $226,000 | thousands by filing date | |
| AIRGAS INC | 009363102 | COM | 62,900 | $225,000 | thousands by filing date | call |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 10,415 | $224,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 25,022 | $223,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 95,735 | $223,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 4,000 | $223,000 | thousands by filing date | |
| Wilshire US REIT ETF | 18383M472 | ETF | 5,287 | $223,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 46,308 | $222,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 9,816 | $222,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 17,702 | $221,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 20,000 | $221,000 | thousands by filing date | put |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 80,046 | $221,000 | thousands by filing date | |
| ISHARES TR | 46429B770 | ISHARES INT INFL LINKED BOND | 5,243 | $220,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 17,603 | $220,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 10,019 | $219,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 5,000 | $219,000 | thousands by filing date | put |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,421 | $219,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 31,889 | $219,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 14,671 | $218,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 13,506 | $218,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 12,060 | $218,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 32,312 | $218,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 217,000 | $217,000 | thousands by filing date | principal |
| FABRINET SHS | G3323L100 | Stock | 11,573 | $216,000 | thousands by filing date | |
| INSTALLED BLDG PRODS INC | 45780R101 | COM | 8,821 | $216,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 223,000 | $215,000 | thousands by filing date | principal |
| CHEMOURS CO COM | 163851108 | Stock | 13,355 | $214,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 49,169 | $213,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 1,501 | $213,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 14,250 | $213,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 200,000 | $213,000 | thousands by filing date | put |
| TEXTURA CORP | 883211104 | COM | 7,647 | $213,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 230,000 | $212,000 | thousands by filing date | principal |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 18,175 | $212,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 4,553 | $211,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 8,777 | $210,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 6,851 | $208,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 10,211 | $208,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 5,221 | $207,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 867 | $207,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 4,814 | $207,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 25,000 | $206,000 | thousands by filing date | put |
| BlackRock Muniy Michigan | 09254V105 | Fund | 15,514 | $206,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 212,000 | $206,000 | thousands by filing date | principal |
| Oracle Corporation | 68389X105 | COM | 90,000 | $205,000 | thousands by filing date | put |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 31,963 | $205,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 28,902 | $205,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 14,810 | $205,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 102,427 | $204,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 155,667 | $204,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 54,487 | $204,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 60,000 | $203,000 | thousands by filing date | put |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 15,600 | $203,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 9,678 | $203,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 8,629 | $203,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 52,368 | $202,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 14,530 | $201,000 | thousands by filing date | |
| GRAFTECH INTERNATIONAL LTD | 384313102 | COMMON STOCK | 40,647 | $201,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 12,927 | $201,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 23,050 | $200,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 12,827 | $200,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 23,637 | $200,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 8,042 | $198,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 69,085 | $198,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 6,240 | $198,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 3,933 | $197,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 1,500 | $197,000 | thousands by filing date | |
| FI ENHANCED LRG CAP GROWTH CS | 22542D423 | COM | 1,620 | $197,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 30,582 | $195,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 5,874 | $195,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 92,500 | $193,000 | thousands by filing date | put |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 5,650 | $193,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 11,934 | $193,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 15,812 | $193,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 550,000 | $192,000 | thousands by filing date | call |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 19,836 | $192,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 6,021 | $192,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 3,695 | $192,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 80,000 | $191,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 314,000 | $191,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 11,608 | $191,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 41,423 | $191,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 3,948 | $191,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 9,062 | $190,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 61,667 | $190,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 14,612 | $190,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 5,195 | $189,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 21,532 | $189,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 6,411 | $189,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 7,281 | $188,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 10,146 | $188,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 16,440 | $187,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 5,379 | $187,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 11,004 | $187,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 20,300 | $187,000 | thousands by filing date | |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,731 | $187,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 6,404 | $186,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 74,849 | $186,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 7,550 | $186,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 1,804 | $185,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 23,562 | $185,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 180,000 | $185,000 | thousands by filing date | principal |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 4,232 | $184,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 8,068 | $184,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 6,952 | $184,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 11,645 | $184,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 177,000 | $184,000 | thousands by filing date | principal |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 136,806 | $183,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 31,026 | $183,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 91,037 | $183,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 7,002 | $182,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 7,246 | $182,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 2,098 | $182,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 10,900 | $181,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 14,232 | $181,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 45,212 | $181,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 15,908 | $180,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 9,490 | $180,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 126,000 | $180,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 17,289 | $179,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 19,217 | $179,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 18,539 | $179,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 17,947 | $179,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 4,222 | $179,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 18,133 | $178,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 13,086 | $178,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 169,000 | $178,000 | thousands by filing date | principal |
| MODEL N INC | 607525102 | COM | 14,835 | $177,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 6,004 | $176,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 11,409 | $176,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 168,000 | $176,000 | thousands by filing date | principal |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 3,939 | $175,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 89,479 | $175,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 20,918 | $174,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 16,630 | $174,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 16,182 | $174,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 3,414 | $173,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 17,530 | $173,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 14,499 | $173,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 6,010 | $173,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 20,627 | $172,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 2,096 | $172,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 15,929 | $172,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 8,716 | $172,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 57,518 | $172,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 115,000 | $172,000 | thousands by filing date | principal |
| Female Health Company | 314462102 | COM | 95,663 | $172,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 22,956 | $172,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 151,000 | $172,000 | thousands by filing date | principal |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 4,304 | $171,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 13,906 | $171,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 15,859 | $171,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 2,468 | $171,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 10,315 | $170,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 13,860 | $170,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 15,283 | $170,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 10,697 | $169,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 55,573 | $169,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 6,171 | $168,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,504 | $168,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 35,274 | $168,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 10,313 | $168,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 16,720 | $168,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 13,204 | $168,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 13,148 | $167,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 13,952 | $167,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 12,738 | $167,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 141,718 | $167,000 | thousands by filing date | |
| THERAVANCE BIOPHARMA INC | G8807B106 | COM | 12,754 | $166,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 18,993 | $165,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,397 | $164,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 9,951 | $163,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 23,425 | $163,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,368 | $163,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 8,339 | $162,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06742C129 | BARC ETN EUR50 | 1,447 | $162,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 112,300 | $161,000 | thousands by filing date | call |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,622 | $161,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 33,399 | $161,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,905 | $161,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 15,934 | $161,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 11,515 | $161,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 25,543 | $161,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 162,100 | $160,000 | thousands by filing date | put |
| PLUG PWR INC | 72919P202 | COM NEW | 65,437 | $160,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 14,093 | $160,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 8,204 | $160,000 | thousands by filing date | |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 9,850 | $160,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 4,698 | $159,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 5,464 | $158,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 20,209 | $158,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 11,900 | $158,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 28,957 | $158,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 7,482 | $158,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 9,000 | $158,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 2,970 | $157,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 141,000 | $157,000 | thousands by filing date | principal |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 4,587 | $156,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 72,469 | $156,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 161,000 | $156,000 | thousands by filing date | principal |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 10,449 | $156,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $155,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 150,000 | $155,000 | thousands by filing date | principal |
| POTBELLY CORP | 73754Y100 | COM | 12,666 | $155,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 25,101 | $154,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 47,530 | $154,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 4,948 | $154,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 150,000 | $154,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 2,150 | $153,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 6,705 | $153,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 5,853 | $153,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 57,000 | $153,000 | thousands by filing date | call |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 150,000 | $153,000 | thousands by filing date | principal |
| CHANNELADVISOR CORP | 159179100 | COM | 12,785 | $153,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 6,408 | $153,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 3,476 | $153,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 6,929 | $152,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 210,000 | $152,000 | thousands by filing date | call |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 10,798 | $152,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 23,055 | $152,000 | thousands by filing date | |
| ISHARES TR | 464288190 | FTSE CHINA ETF | 2,624 | $152,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 28,713 | $151,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 17,297 | $151,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 6,312 | $151,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 14,908 | $151,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 55,500 | $150,000 | thousands by filing date | call |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 8,948 | $150,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 11,998 | $150,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 10,949 | $149,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 24,422 | $149,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 33,400 | $148,000 | thousands by filing date | put |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 9,255 | $148,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 4,681 | $147,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 10,277 | $147,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 7,746 | $147,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 40,500 | $147,000 | thousands by filing date | put |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 2,476 | $147,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 17,120 | $147,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 17,968 | $147,000 | thousands by filing date | |
| ZEBRA TECHNOLOGIES CORPORATION CL A | 989207105 | Stock | 11,600 | $146,000 | thousands by filing date | call |
| United Bancshares | 909458101 | COM | 9,549 | $146,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 16,340 | $146,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 100,000 | $145,000 | thousands by filing date | put |
| AMERICAN VANGUARD CORP | 030371108 | COM | 10,473 | $145,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 119,000 | $145,000 | thousands by filing date | principal |
| EGA EMERGING GLOBAL SHS TR | 268461654 | LOW VOL EM DIV | 10,067 | $145,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,681 | $145,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 12,607 | $144,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 10,723 | $144,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 45,643 | $144,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 16,700 | $143,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 33,100 | $143,000 | thousands by filing date | put |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 19,758 | $143,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 3,679 | $142,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 367,400 | $142,000 | thousands by filing date | put |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 16,195 | $142,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 35,000 | $142,000 | thousands by filing date | call |
| VIVUS INC | 928551100 | COM | 60,214 | $142,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 39,606 | $142,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 10,212 | $141,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 15,345 | $141,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 6,859 | $141,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 37,822 | $141,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 6,470 | $140,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 140,000 | $140,000 | thousands by filing date | principal |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 11,366 | $140,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 20,470 | $140,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 327 | $139,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 5,866 | $139,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 4,519 | $139,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 3,683 | $139,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X608 | EUROPE ETF | 4,971 | $139,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 5,861 | $138,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 2,622 | $138,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 6,894 | $138,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 11,400 | $138,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 4,649 | $138,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 9,087 | $138,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 18,093 | $137,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 9,870 | $137,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 7,837 | $137,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 5,276 | $136,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 3,120 | $136,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 9,643 | $136,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 11,888 | $136,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 8,765 | $136,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 6,394 | $136,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 11,868 | $135,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 7,380 | $135,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,044 | $135,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 6,134 | $135,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 13,521 | $135,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 7,136 | $134,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 8,017 | $134,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 148,900 | $134,000 | thousands by filing date | call |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 11,406 | $134,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,532 | $134,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 139,553 | $134,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 59,347 | $134,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 4,760 | $134,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 26,874 | $133,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 10,974 | $133,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 4,845 | $133,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 1,485 | $132,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 93,400 | $132,000 | thousands by filing date | call |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 2,600 | $132,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 4,366 | $132,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 149,969 | $132,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 54,541 | $132,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,161 | $131,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 4,307 | $131,000 | thousands by filing date | |
| HOLLYSYS AUTOMATION TCHNGY L | G45667105 | SHS | 5,461 | $131,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 6,188 | $131,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 13,453 | $131,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 1,494 | $131,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 20,488 | $131,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 5,229 | $130,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 19,168 | $130,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 13,116 | $130,000 | thousands by filing date | |
| DOMINION RES BLACK WARRIOR T | 25746Q108 | UNITS BEN INT | 37,101 | $130,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 33,298 | $130,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 8,967 | $130,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 100,000 | $129,000 | thousands by filing date | put |
| NMI HLDGS INC | 629209305 | COM | 16,067 | $129,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 4,100 | $129,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 1,262 | $129,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 8,670 | $129,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 24,972 | $129,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M100 | GUGG BRIC ETF | 4,347 | $129,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 9,730 | $129,000 | thousands by filing date | |
| POSTROCK ENERGY CORPORATION COM NEW | 737525204 | Common Stock | 47,174 | $129,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 11,466 | $128,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 5,531 | $128,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 91,658 | $128,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 18,248 | $128,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 5,872 | $128,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 5,647 | $127,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 6,792 | $127,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 7,913 | $127,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 12,236 | $127,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 8,340 | $127,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 15,203 | $127,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 8,536 | $127,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 27,818 | $127,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 7,700 | $127,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 1,104 | $126,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 3,543 | $126,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 15,320 | $126,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 2,076 | $126,000 | thousands by filing date | |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 6,783 | $126,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 3,156 | $126,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 1,845 | $126,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 12,462 | $125,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 33,000 | $125,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 7,089 | $125,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 5,234 | $125,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 2,834 | $125,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 35,791 | $125,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 14,647 | $125,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 125,000 | $124,000 | thousands by filing date | principal |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 155,000 | $123,000 | thousands by filing date | put |
| EBAY INC. COM | 278642103 | Stock | 75,000 | $123,000 | thousands by filing date | put |
| CASELLA WASTE SYS INC | 147448104 | CL A | 21,982 | $123,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 1,695 | $123,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 8,406 | $123,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 8,322 | $123,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 15,127 | $122,000 | thousands by filing date | |
| FIRST DEFIANCE FINL CORP | 32006W106 | COMMON STOCK | 3,235 | $122,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 10,585 | $122,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 15,880 | $122,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 120,000 | $122,000 | thousands by filing date | principal |
| STATE NATIONAL. | 85711T305 | Common Stock | 11,260 | $122,000 | thousands by filing date | |
| TRANSUNION COM | 89400J107 | Stock | 4,850 | $121,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 3,399 | $121,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 10,000 | $121,000 | thousands by filing date | put |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 24,357 | $121,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 6,615 | $121,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 11,121 | $121,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 10,251 | $121,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 28,694 | $121,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 10,061 | $121,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 9,375 | $121,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 5,847 | $121,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 74,772 | $121,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 6,086 | $120,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 15,812 | $120,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 32,103 | $120,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 26,691 | $120,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 6,125 | $120,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 5,819 | $119,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 8,119 | $119,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 6,146 | $119,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 4,520 | $119,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 11,055 | $119,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 6,640 | $119,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 8,006 | $119,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 3,441 | $119,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 5,456 | $119,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 115,000 | $119,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 43,780 | $118,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 4,765 | $118,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 3,796 | $118,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 4,441 | $118,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,920 | $118,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 6,422 | $117,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 13,342 | $117,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 10,300 | $117,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 7,588 | $117,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 11,631 | $117,000 | thousands by filing date | |
| Synta Pharmaceuticals Corp. | 87162T206 | COM | 52,799 | $117,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 11,585 | $117,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 3,848 | $117,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 750,400 | $116,000 | thousands by filing date | call |
| EXTREME NETWORKS INC | 30226D106 | COM | 43,296 | $116,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 6,910 | $116,000 | thousands by filing date | |
| HECLA MINING COMPANY | 422704205 | PFD CV SER B | 2,000 | $116,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 34,520 | $116,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 7,220 | $116,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 1,766 | $116,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 50,501 | $116,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 8,603 | $115,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 11,619 | $115,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 300,000 | $115,000 | thousands by filing date | call |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,633 | $115,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 4,398 | $115,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 4,269 | $115,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M217 | 2022 HG YLD CB | 4,657 | $115,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 2,657 | $114,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,295 | $114,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 5,663 | $114,000 | thousands by filing date | |
| Great Lakes Dredge & Dock Corp | 390607109 | Common Stock | 19,029 | $114,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 8,455 | $114,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 9,360 | $114,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 21,221 | $114,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 4,190 | $114,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 5,539 | $114,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 10,302 | $113,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 8,365 | $113,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 20,500 | $113,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 9,565 | $113,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 3,689 | $113,000 | thousands by filing date | |
| PRECIDIAN ETFS TR | 74016W106 | MAXIS NIKKEI | 5,788 | $113,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 13,927 | $113,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 17,983 | $112,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 6,667 | $112,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 42,149 | $112,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 104,101 | $112,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-15-000623 | this filing | 2015-08-14 | acceptance time not in the bulk data set |