13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 6,674 holding rows worth $238,633,387,000.
- Accession
- 0000072971-15-000687
- Filer
- CIK 72971
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 19,426 entries on the cover page, a total value of $238,633,387,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $238,633,387,000 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 Managment, LLC reporting on behalf of Morgan Stanley Smith Barney, LLC
- included managerGOLDEN CAPITAL MANAGEMENT, LLC028-06003
- 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 |
|---|---|---|---|---|---|---|
| EBAY INC. COM | 278642103 | Stock | 75,000 | $189,000 | thousands by filing date | put |
| MFS CALIF MUN FD | 59318C106 | COM | 17,183 | $189,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 17,195 | $188,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 10,705 | $188,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 44,766 | $188,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 10,147 | $188,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 10,217 | $187,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 15,256 | $187,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 53,925 | $187,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 32,050 | $187,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 3,374 | $186,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 8,593 | $185,000 | thousands by filing date | |
| GLOBAL X GOLD(GLDX) | 37950E283 | ETF | 20,451 | $185,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 5,927 | $183,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 6,033 | $183,000 | thousands by filing date | |
| NAVIOS MARITIME HLDGS INC | 63938Y100 | SPN ADR RP PFD G | 10,211 | $183,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 7,823 | $182,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 198,000 | $182,000 | thousands by filing date | principal |
| POPE RES DEL LTD PARTNERSHIP | 732857107 | DEPOSITRY RCPT | 2,701 | $182,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A581 | ST STR SP HCEQ | 4,184 | $181,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 35,384 | $181,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 2,891 | $179,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 170,000 | $179,000 | thousands by filing date | principal |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 14,241 | $178,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 4,870 | $178,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 135,188 | $178,000 | thousands by filing date | |
| MARKET VECTORS EGYPT INDEX ETF | 57061R569 | Exchange Traded Product | 4,540 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 10,488 | $177,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 15,282 | $177,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 4,600 | $176,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 69,356 | $175,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 15,818 | $175,000 | thousands by filing date | |
| TIVO INC | 888706AF5 | NOTE 2.000%10/0 | 200,000 | $175,000 | thousands by filing date | principal |
| KFORCE INC COM | 493732101 | Stock | 6,647 | $174,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 7,650 | $174,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 15,349 | $174,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 10,377 | $173,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 13,007 | $173,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 22,062 | $173,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 7,301 | $172,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 100,000 | $172,000 | thousands by filing date | put |
| CENTURY ALUM CO | 156431108 | COM | 37,463 | $172,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 772 | $172,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 6,166 | $172,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 4,878 | $171,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 11,807 | $171,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 109,051 | $171,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 153,024 | $171,000 | thousands by filing date | |
| TRINET GROUP INC COM | 896288107 | Stock | 10,105 | $170,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 31,762 | $170,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 5,025 | $170,000 | thousands by filing date | |
| NORTEK INC | 656559309 | COM NEW | 2,690 | $170,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 400,000 | $169,000 | thousands by filing date | call |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 2,248 | $169,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 90,025 | $169,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 2,087 | $169,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 10,056 | $168,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 38,171 | $168,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 9,279 | $168,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 60,659 | $167,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 96,847 | $167,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 17,061 | $167,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 14,806 | $167,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 36,879 | $166,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 9,149 | $166,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 5,658 | $166,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 26,713 | $166,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 13,080 | $166,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 162,000 | $166,000 | thousands by filing date | principal |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 5,353 | $165,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 9,335 | $165,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 72,410 | $165,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 4,666 | $165,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 19,669 | $165,000 | thousands by filing date | |
| PHH CORP | 693320202 | COM NEW | 11,695 | $165,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 9,612 | $165,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 7,831 | $164,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 7,067 | $163,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 14,521 | $163,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461639 | EGSHR BYND BRC | 10,254 | $163,000 | thousands by filing date | |
| ACCELERON PHARMA INC | 00434H108 | COM | 6,506 | $162,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 5,000 | $162,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 443 | $162,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 71,195 | $162,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 15,508 | $161,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 322,800 | $161,000 | thousands by filing date | call |
| EVERI HLDGS INC | 30034T103 | COM | 31,310 | $161,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 175,000 | $161,000 | thousands by filing date | principal |
| KRATON CORPORATION | 50077C106 | COM | 8,917 | $160,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 156,362 | $160,000 | thousands by filing date | |
| XURA INC COM | 98420V107 | COM | 7,168 | $160,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 15,019 | $160,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 30,000 | $159,000 | thousands by filing date | call |
| ALEXANDERS INC COM | 014752109 | REIT | 425 | $159,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 5,682 | $159,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 13,030 | $159,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 21,166 | $158,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 100,000 | $158,000 | thousands by filing date | put |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 14,157 | $158,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 2,401 | $157,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 9,639 | $157,000 | thousands by filing date | |
| CAPELLA EDUCATION CO | 139594105 | COM | 3,175 | $157,000 | thousands by filing date | |
| BLACKROCK NEW YORK MUNI 2018 | 09248K108 | COM | 10,535 | $157,000 | thousands by filing date | |
| Coupons Com Inc | 22265J102 | Common Stock | 17,493 | $157,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 17,598 | $157,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 5,671 | $156,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 68,508 | $156,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 19,788 | $155,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 82,786 | $155,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 14,880 | $155,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 14,000 | $155,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 8,497 | $154,000 | thousands by filing date | |
| BLACKROCK N J MUN INCOME TR | 09248J101 | SH BEN INT | 10,800 | $154,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 10,439 | $154,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 17,077 | $153,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,055 | $153,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 14,951 | $153,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 3,147 | $153,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 8,949 | $153,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 25,134 | $153,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 151,000 | $153,000 | thousands by filing date | principal |
| Texas Instruments Incorporated | 882508104 | COM | 100,000 | $152,000 | thousands by filing date | put |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 144,574 | $152,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 27,432 | $152,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 4,644 | $152,000 | thousands by filing date | |
| NIKE,Inc. Class B | 654106103 | COM | 25,000 | $151,000 | thousands by filing date | put |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 107,800 | $151,000 | thousands by filing date | put |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 150,000 | $151,000 | thousands by filing date | principal |
| DOT HILL SYS CORP | 25848T109 | COM | 15,479 | $151,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 152,000 | $151,000 | thousands by filing date | principal |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 10,276 | $150,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 3,424 | $150,000 | thousands by filing date | |
| United Bancshares | 909458101 | COM | 9,548 | $150,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 8,677 | $150,000 | thousands by filing date | |
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 9,815 | $150,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 14,847 | $149,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 15,770 | $149,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 7,729 | $149,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 101,942 | $149,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 10,376 | $148,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 7,768 | $148,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 252,000 | $148,000 | thousands by filing date | principal |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 408,000 | $147,000 | thousands by filing date | call |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 25,302 | $147,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 13,513 | $147,000 | thousands by filing date | |
| MCGRATH RENTCORP | 580589109 | COM | 5,511 | $147,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 5,439 | $147,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 11,200 | $147,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 68,703 | $147,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 6,010 | $147,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 28,844 | $147,000 | thousands by filing date | |
| ETRACS CMCI TOTAL RETURN ETN | 902641778 | CMN | 10,863 | $147,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 23,455 | $146,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 45,700 | $146,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 220,000 | $146,000 | thousands by filing date | principal |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,925 | $146,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 141,000 | $146,000 | thousands by filing date | principal |
| RAPTOR PHARMACEUTICAL CORP | 75382F106 | COM | 24,119 | $146,000 | thousands by filing date | |
| PRESS GANEY HOL | 74113L102 | Common Stock | 4,928 | $146,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 230,000 | $145,000 | thousands by filing date | put |
| CHEGG INC | 163092109 | COM | 20,091 | $145,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 9,701 | $145,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 5,223 | $144,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 6,924 | $144,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 18,457 | $143,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W858 | GUG S&P500EQWTFI | 3,476 | $143,000 | thousands by filing date | |
| NUVEEN PA MUN VALUE FD | 67074K105 | COM | 9,681 | $143,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 11,875 | $142,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 4,624 | $142,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 8,711 | $142,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 9,870 | $142,000 | thousands by filing date | |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 2,819 | $142,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 6,903 | $142,000 | thousands by filing date | |
| ISHARES TR | 464289446 | RUS TOP 200 ETF | 3,234 | $141,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 11,354 | $141,000 | thousands by filing date | |
| BROOKFIELD TOTAL RETURN FD I | 11283U108 | COM | 6,608 | $141,000 | thousands by filing date | |
| CARVER BANCORP ORD | 146875604 | COM | 21,046 | $140,000 | thousands by filing date | |
| DDR CORP | 251591AX1 | NOTE | 131,000 | $140,000 | thousands by filing date | principal |
| NATERA INC COM | 632307104 | Stock | 12,831 | $139,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 9,492 | $139,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 39,572 | $139,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 13,889 | $139,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W833 | GUG S&P500 EQ WT | 1,763 | $139,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 12,743 | $139,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 16,197 | $138,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 31,748 | $138,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 36,626 | $137,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 17,281 | $137,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 86,825 | $137,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 19,766 | $137,000 | thousands by filing date | |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 1,419,000 | $137,000 | thousands by filing date | principal |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 6,248 | $136,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 9,085 | $136,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 5,273 | $136,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 38,000 | $135,000 | thousands by filing date | put |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 22,626 | $134,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 26,780 | $134,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 4,546 | $134,000 | thousands by filing date | |
| TEXTURA CORP | 883211104 | COM | 5,191 | $134,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 25,093 | $133,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 49,645 | $133,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 8,967 | $132,000 | thousands by filing date | |
| BLACKROCK VA MUN BD TR | 092481100 | COM | 8,043 | $132,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 67,692 | $132,000 | thousands by filing date | |
| YODLEE INC | 98600P201 | COM | 8,178 | $132,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 10,076 | $131,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 7,910 | $131,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 7,743 | $131,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 6,586 | $131,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 108,192 | $131,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR S CORE | 73935X435 | COM | 4,250 | $131,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 5,536 | $130,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 38,698 | $130,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 17,476 | $129,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 3,946 | $129,000 | thousands by filing date | |
| EPIZYME INC | 29428V104 | COM | 10,008 | $129,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 9,105 | $129,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 9,465 | $129,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 14,614 | $129,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 2,793 | $128,000 | thousands by filing date | |
| GRUPO FINANCIERO GALICIA | 399909100 | SPONSORED ADR | 7,165 | $128,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 250,000 | $128,000 | thousands by filing date | call |
| TRANSUNION COM | 89400J107 | Stock | 5,100 | $128,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 15,000 | $128,000 | thousands by filing date | put |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 13,310 | $128,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 22,948 | $128,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 9,394 | $127,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 14,518 | $127,000 | thousands by filing date | |
| COMPANIA CERVECERIAS UNIDAS | 204429104 | SPONSORED ADR | 5,689 | $127,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 3,668 | $126,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 10,616 | $126,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 14,700 | $126,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 9,494 | $126,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 17,400 | $125,000 | thousands by filing date | put |
| HALLIBURTON CO COM | 406216101 | Stock | 50,000 | $125,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 54,530 | $125,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 10,129 | $125,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 16,812 | $125,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 13,150 | $125,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 9,173 | $125,000 | thousands by filing date | |
| JARDEN CORP | 471109AL2 | NOTE 1.500 6/1 | 93,000 | $125,000 | thousands by filing date | principal |
| Adobe Inc | 00724F101 | COM | 62,200 | $124,000 | thousands by filing date | call |
| FLAGSTAR BANCORP INC | 337930705 | COM PAR .001 | 6,038 | $124,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 5,400 | $124,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 16,626 | $124,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 117,000 | $124,000 | thousands by filing date | principal |
| V2X INC | 92242T101 | COM | 5,596 | $123,000 | thousands by filing date | |
| PREMIER INC | 74051N102 | CL A | 3,588 | $123,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 3,890 | $123,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 26,192 | $123,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 10,143 | $123,000 | thousands by filing date | |
| HEALTHSTREAM INC | 42222N103 | COM | 5,578 | $122,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 3,478 | $122,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 6,722 | $122,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 10,723 | $122,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 14,229 | $122,000 | thousands by filing date | |
| AIR INDS GROUP COM | 00912N205 | Stock | 14,000 | $122,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 16,709 | $122,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 125,000 | $122,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 120,000 | $122,000 | thousands by filing date | principal |
| BAZAARVOICE INC | 073271108 | COM | 26,874 | $121,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 5,382 | $121,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 5,299 | $121,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 4,295 | $120,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 4,311 | $120,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 55,750 | $120,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 9,951 | $120,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 9,337 | $120,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 16,121 | $120,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 8,900 | $120,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 41,411 | $119,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 150,000 | $119,000 | thousands by filing date | principal |
| iShares MSCI USA Equal Weighted ETF | 464286681 | SHS | 2,919 | $118,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 14,550 | $118,000 | thousands by filing date | |
| WORLD ACCEP CORPORATION | 981419104 | COM | 4,397 | $118,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 6,066 | $118,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 8,524 | $117,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 15,559 | $117,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 85,200 | $117,000 | thousands by filing date | call |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 33,500 | $117,000 | thousands by filing date | call |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 6,588 | $117,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 22,511 | $117,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN+ FI ENHANCED GLBL | 06742C152 | PFD | 1,140 | $117,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 19,390 | $116,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 2,720 | $116,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 8,128 | $116,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 1,082,500 | $115,000 | thousands by filing date | call |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 10,935 | $115,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 4,631 | $115,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 116,000 | $115,000 | thousands by filing date | principal |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 78,455 | $115,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 5,000 | $114,000 | thousands by filing date | put |
| METRO BANCORP INC | 59161R101 | COM | 3,864 | $114,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 7,135 | $113,000 | thousands by filing date | |
| HOOKER FURNISHINGS CORPORATI | 439038100 | COM | 4,812 | $113,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 3,367 | $113,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 7,061 | $113,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 10,206 | $113,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 252,438 | $113,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 19,767 | $113,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 6,796 | $112,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 11,056 | $112,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 36,969 | $112,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 8,477 | $112,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 5,701 | $112,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 15,724 | $112,000 | thousands by filing date | |
| OPOWER INC | 68375Y109 | COM | 12,494 | $112,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,078 | $111,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 7,118 | $111,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 1,911 | $111,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 11,974 | $111,000 | thousands by filing date | |
| 38259p508 | COM | 20,000 | $111,000 | thousands by filing date | put | |
| PLUG PWR INC | 72919P202 | COM NEW | 60,118 | $110,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 11,425 | $110,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 4,723 | $110,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 42,563 | $110,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 8,603 | $110,000 | thousands by filing date | |
| FOAMIX PHARMACEUTICALS LTD | M46135105 | SHS | 14,989 | $110,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 9,397 | $109,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 5,392 | $109,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 7,555 | $109,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 27,266 | $109,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L787 | GLB QLT R/E IDX | 2,000 | $108,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 5,230 | $108,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 1,633 | $108,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 3,234 | $108,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 50,600 | $108,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H743 | ETN DJUBSLVSTK37 | 4,370 | $108,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 5,748 | $107,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 2,597 | $107,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 2,613 | $107,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 8,577 | $107,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 14,001 | $107,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 3,629 | $107,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 10,811 | $106,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 3,311 | $106,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 2,750 | $106,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 12,736 | $106,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 110,000 | $106,000 | thousands by filing date | principal |
| ANGIES LIST INC | 034754101 | COM | 20,987 | $106,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 13,751 | $106,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 5,540 | $106,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 13,787 | $105,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 9,486 | $105,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 4,493 | $105,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 1,562 | $105,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 7,362 | $105,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 2,351 | $105,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 8,399 | $105,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 3,837 | $105,000 | thousands by filing date | |
| BLACKROCK MUNI N Y INTER DUR | 09255F109 | COM | 7,530 | $105,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 13,993 | $105,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 21,164 | $105,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 4,077 | $105,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 110,400 | $104,000 | thousands by filing date | put |
| BEL FUSE INC | 077347300 | CL B | 5,354 | $104,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 231,900 | $104,000 | thousands by filing date | call |
| PIMCO NEW YORK MUN FD II | 72200Y102 | COM | 8,781 | $104,000 | thousands by filing date | |
| CKX LDS INC | 12562N104 | COM | 9,643 | $104,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 8,692 | $104,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 97,000 | $104,000 | thousands by filing date | principal |
| Danaher Corporation | 235851102 | COM | 30,000 | $103,000 | thousands by filing date | call |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 12,330 | $103,000 | thousands by filing date | |
| Pacific Datavision Inc | 694171307 | COM | 3,452 | $103,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,827 | $102,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 6,322 | $102,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 8,163 | $102,000 | thousands by filing date | |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 2,476 | $102,000 | thousands by filing date | |
| AK STL CORP | 001546AP5 | NOTE 5.000%11/1 | 139,000 | $102,000 | thousands by filing date | principal |
| Real Industry Inc | 75601w104 | CS | 11,592 | $102,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 3,130 | $101,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 25,000 | $101,000 | thousands by filing date | |
| CASCADE MICROTECH INC | 147322101 | COMMON STOCK | 7,113 | $101,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 12,500 | $101,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 14,877 | $101,000 | thousands by filing date | |
| ARCH COAL INC | 039380308 | Common Stock | 30,648 | $101,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 8,801 | $100,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 7,781 | $100,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 7,489 | $100,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 13,109 | $100,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 11,124 | $100,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 16,015 | $100,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 9,575 | $100,000 | thousands by filing date | |
| AMAYA INC | 02314M108 | COM | 5,500 | $100,000 | thousands by filing date | |
| ALLIANCE ONE INTL INC | 018772301 | COM NEW | 4,921 | $100,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 4,750 | $99,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 19,502 | $99,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 15,821 | $99,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 7,370 | $99,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 56,829 | $99,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 3,361 | $99,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 4,964 | $99,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 2,342 | $98,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 5,015 | $98,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 12,378 | $98,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 6,856 | $98,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 1,778 | $98,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 99,000 | $98,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 85,000 | $98,000 | thousands by filing date | principal |
| VOXELJET AG | 92912L107 | ADS | 21,770 | $98,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 371,900 | $97,000 | thousands by filing date | call |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 3,546 | $97,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 6,251 | $97,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 12,438 | $97,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 11,239 | $97,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 135,512 | $97,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 8,284 | $97,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 55,035 | $97,000 | thousands by filing date | |
| MARKET VECTORS ETF TR RARE EARTH STRATEGIC METALS ETF | 57061R536 | ETF | 6,530 | $97,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 12,023 | $96,000 | thousands by filing date | |
| DORIAN LPG LTD | Y2106R110 | SHS USD | 9,361 | $96,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 15,852 | $96,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 4,203 | $96,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 7,000 | $96,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 3,870 | $96,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 16,040 | $96,000 | thousands by filing date | |
| NANOSTRING TECHNOLOGIES INC | 63009R109 | COM | 6,013 | $96,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 5,212 | $96,000 | thousands by filing date | |
| BMC Stock Holdings Inc | 86101X104 | COM | 5,452 | $96,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 16,541 | $95,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 4,734 | $95,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 7,527 | $95,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 6,145 | $95,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 29,649 | $95,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 4,334 | $95,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 18,968 | $95,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 5,764 | $95,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 5,804 | $94,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 4,123 | $94,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 6,586 | $94,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 5,611 | $94,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 9,947 | $94,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 10,800 | $94,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 4,050 | $93,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 32,903 | $93,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 13,512 | $93,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 191,013 | $93,000 | thousands by filing date | |
| NUVEEN CALIF MUNICPAL VALU F | 6706EB106 | COM | 5,700 | $93,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 4,100 | $92,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 12,425 | $92,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 3,738 | $92,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,339 | $92,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,865 | $92,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 17,253 | $92,000 | thousands by filing date | |
| NATIONAL SEC GROUP INC | 637546102 | COM | 6,001 | $92,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | Y6366T112 | SHS | 15,354 | $92,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 9,849 | $92,000 | thousands by filing date | |
| C&J ENERGY SVCS LTD SHS | G3164Q101 | Stock | 25,885 | $92,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 4,668 | $91,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 16,813 | $91,000 | thousands by filing date | |
| LUXFER HLDGS PLC | 550678106 | SPONSORED ADR | 8,425 | $91,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 80,000 | $91,000 | thousands by filing date | principal |
| BLACKROCK NY MUNICIPAL BOND | 09249P106 | COM | 6,557 | $91,000 | thousands by filing date | |
| NUVEEN NEW JERSEY MUN VALUE | 670702109 | SHS | 6,400 | $90,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 7,803 | $90,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 27,851 | $90,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 6,790 | $90,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 8,788 | $90,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 54,712 | $90,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 8,624 | $90,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 66,129 | $90,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 100,000 | $89,000 | thousands by filing date | put |
| Verizon Communications Inc | 92343V104 | COM | 50,000 | $89,000 | thousands by filing date | put |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 1,467 | $89,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 150,000 | $89,000 | thousands by filing date | call |
| CNA FINL CORP | 126117100 | COM | 2,562 | $89,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 7,919 | $89,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 1,885 | $89,000 | thousands by filing date | |
| NUVEEN MO QUALITY MUN INCOME | 67060Q108 | COM | 6,001 | $89,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 2,500 | $89,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 146,200 | $88,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 7,502 | $88,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 4,685 | $88,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 7,756 | $88,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 118,074 | $88,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 303,500 | $88,000 | thousands by filing date | call |
| ALMOST FAMILY INC | 020409108 | COM | 2,192 | $88,000 | thousands by filing date | |
| ERA GROUP INC | 26885G109 | COM | 5,928 | $88,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 5,900 | $88,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 5,011 | $87,000 | thousands by filing date | |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 4,088 | $87,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 6,080 | $87,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 7,008 | $87,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 28,571 | $87,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 7,000 | $87,000 | thousands by filing date | |
| Fidelity MSCI Energy Index ETF | 316092402 | SHS | 4,941 | $86,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 20,000 | $86,000 | thousands by filing date | put |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 21,047 | $86,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 4,623 | $86,000 | thousands by filing date | |
| ISHARES MSCI DENMARK ETF | 46429B523 | ETF | 1,609 | $86,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 7,768 | $86,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 50,000 | $86,000 | thousands by filing date | call |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 87,000 | $86,000 | thousands by filing date | principal |
| ASHFORD INC | 044104107 | COM | 1,361 | $86,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 105,000 | $86,000 | thousands by filing date | principal |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 11,717 | $86,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 7,077 | $85,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 6,692 | $85,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 92,000 | $85,000 | thousands by filing date | principal |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 15,321 | $85,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-15-000687 | this filing | 2015-11-13 | acceptance time not in the bulk data set |