13F-HR filed by WELLS FARGO & COMPANY/MN
WELLS FARGO & COMPANY/MN filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-31, with 6,533 holding rows worth $271,181,757,000.
- Accession
- 0000072971-16-001320
- Filer
- CIK 72971
- Filed
- 2016-10-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 18,574 entries on the cover page, a total value of $271,181,757,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $271,181,757,000 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 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 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 |
|---|---|---|---|---|---|---|
| BGC PARTNERS INC | 05541T101 | CL A | 416,074 | $3,641,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 54,627 | $3,641,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 81,382 | $3,629,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 114,478 | $3,628,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X591 | DYN UTIL PORTF | 140,055 | $3,623,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 552,700 | $3,609,000 | thousands by filing date | call |
| TEXAS CAP BANCSHARES INC | 88224Q107 | COM | 65,537 | $3,600,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 54,430 | $3,600,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 44,667 | $3,599,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 75,256 | $3,599,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 301,622 | $3,589,000 | thousands by filing date | |
| RETAIL OPPORTUNITY INVESTMENTS | 76131N101 | COMMON STOCK | 163,412 | $3,589,000 | thousands by filing date | |
| HEALTHCARE | 42225P501 | CL A NEW | 109,996 | $3,588,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 721,763 | $3,579,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 675,668 | $3,568,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 62,871 | $3,567,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 130,832 | $3,566,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 57,512 | $3,565,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 278,655 | $3,564,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 1,641,601 | $3,563,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 5,629,872 | $3,561,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 256,847 | $3,560,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 161,782 | $3,559,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 148,827 | $3,550,000 | thousands by filing date | |
| ACADIA RLTY TR | 004239109 | COM SH BEN INT | 97,934 | $3,549,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 331,108 | $3,546,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 120,248 | $3,543,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 97,186 | $3,542,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 120,819 | $3,538,000 | thousands by filing date | |
| SPAN AMER MED SYS INC | 846396109 | COM | 192,381 | $3,538,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 152,082 | $3,536,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 372,470 | $3,528,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 34,250 | $3,526,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 57,009 | $3,526,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 471,444 | $3,526,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 102,527 | $3,504,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 139,476 | $3,502,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 158,095 | $3,487,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 140,644 | $3,485,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 260,545 | $3,480,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 311,442 | $3,478,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 193,551 | $3,476,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 210,500 | $3,472,000 | thousands by filing date | put |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 74,355 | $3,464,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 106,274 | $3,457,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 674,328 | $3,457,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 204,080 | $3,455,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 131,975 | $3,443,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 176,007 | $3,438,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 181,458 | $3,434,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 26,781 | $3,433,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 60,088 | $3,427,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 213,835 | $3,421,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 133,394 | $3,421,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 128,666 | $3,419,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 151,132 | $3,419,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 157,860 | $3,416,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 135,763 | $3,412,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 57,739 | $3,403,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 202,094 | $3,403,000 | thousands by filing date | |
| Western Midstream Partners | 95825r103 | COM | 80,082 | $3,402,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 81,088 | $3,402,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 127,950 | $3,396,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 1,507,000 | $3,387,000 | thousands by filing date | principal |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 201,368 | $3,383,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 57,423 | $3,376,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 3,003,000 | $3,374,000 | thousands by filing date | principal |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 190,002 | $3,371,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 133,296 | $3,369,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 2,627,000 | $3,366,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 2,872,000 | $3,365,000 | thousands by filing date | principal |
| GLOBAL X FDS | 37954Y863 | GLOBAL X GOLD EX | 87,735 | $3,362,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 503,900 | $3,358,000 | thousands by filing date | call |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 3,038,000 | $3,357,000 | thousands by filing date | principal |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 2,973,000 | $3,347,000 | thousands by filing date | principal |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 169,327 | $3,345,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 184,804 | $3,345,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 115,732 | $3,343,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 204,177 | $3,342,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 3,061,000 | $3,340,000 | thousands by filing date | principal |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 20,508 | $3,339,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 226,487 | $3,336,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 171,917 | $3,333,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 175,755 | $3,325,000 | thousands by filing date | |
| HMS HLDGS CORP | 40425J101 | COM | 149,296 | $3,310,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 394,927 | $3,302,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 135,693 | $3,296,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 385,527 | $3,296,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 132,100 | $3,295,000 | thousands by filing date | call |
| PROSHARES TR | 74347X641 | SHRT RL EST FD | 193,166 | $3,293,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 51,370 | $3,287,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 67,638 | $3,286,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 145,972 | $3,283,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 173,272 | $3,278,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 259,912 | $3,278,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 315,839 | $3,272,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 232,761 | $3,271,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 2,727,000 | $3,270,000 | thousands by filing date | principal |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 380,972 | $3,258,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 118,380 | $3,257,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 129,215 | $3,251,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 3,467,000 | $3,249,000 | thousands by filing date | principal |
| UNION BANKSHARES CORP | 90539J109 | COM | 120,846 | $3,235,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 1,719,000 | $3,233,000 | thousands by filing date | principal |
| PHIBRO ANIMAL HEALTH CORP (CLA | 71742Q106 | CL A COM | 118,866 | $3,230,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 54,192 | $3,224,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 211,657 | $3,224,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 2,409,000 | $3,218,000 | thousands by filing date | principal |
| GENPACT LIMITED SHS | G3922B107 | Stock | 134,308 | $3,217,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 114,480 | $3,208,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 60,510 | $3,207,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 378,201 | $3,203,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 118,992 | $3,200,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 89,402 | $3,200,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 136,654 | $3,193,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 170,144 | $3,192,000 | thousands by filing date | |
| G & K SVCS INC | 361268105 | CL A | 33,344 | $3,184,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 1,671,000 | $3,181,000 | thousands by filing date | principal |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 137,928 | $3,176,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 80,116 | $3,164,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 229,882 | $3,154,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 875,150 | $3,151,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 138,537 | $3,150,000 | thousands by filing date | |
| ADVANCEPIERRE FOODS HLDGS IN | 00782L107 | COM | 114,280 | $3,150,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 82,162 | $3,128,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 557,079 | $3,123,000 | thousands by filing date | |
| WISDOMTREE | 97718W108 | EXCHANGE TRADED | 160,307 | $3,122,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 3,213,000 | $3,115,000 | thousands by filing date | principal |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 227,173 | $3,106,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 438,925 | $3,099,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 119,283 | $3,099,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 74,104 | $3,097,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 42,082 | $3,094,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 332,440 | $3,079,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 44,046 | $3,077,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 147,359 | $3,066,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 252,814 | $3,066,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 134,841 | $3,056,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 30,779 | $3,056,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 182,158 | $3,053,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 158,796 | $3,052,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 524,759 | $3,049,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 88,135 | $3,048,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 152,741 | $3,044,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 114,911 | $3,039,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 321,566 | $3,030,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 421,516 | $3,026,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 60,676 | $3,019,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 162,498 | $3,017,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 258,661 | $3,016,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 55,410 | $3,011,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 107,562 | $3,009,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 169,068 | $3,009,000 | thousands by filing date | |
| PENUMBRA INC COM | 70975L107 | Stock | 39,483 | $3,000,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 487,000 | $2,997,000 | thousands by filing date | call |
| PICO HLDGS INC | 693366205 | COM NEW | 253,820 | $2,993,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 40,498 | $2,989,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 82,751 | $2,985,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 108,397 | $2,984,000 | thousands by filing date | |
| INTERDIGITAL INC COM | 45867G101 | Stock | 37,581 | $2,977,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 131,206 | $2,973,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 930,800 | $2,971,000 | thousands by filing date | call |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 51,566 | $2,968,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 78,819 | $2,966,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 47,859 | $2,959,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 198,461 | $2,945,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 237,833 | $2,944,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 601,925 | $2,943,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 277,878 | $2,943,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 207,810 | $2,936,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 2,691,000 | $2,934,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 57,899 | $2,933,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 149,392 | $2,932,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 195,874 | $2,921,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 2,604,000 | $2,921,000 | thousands by filing date | principal |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 2,306,000 | $2,919,000 | thousands by filing date | principal |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 194,515 | $2,916,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 60,471 | $2,904,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 39,304 | $2,900,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 237,379 | $2,893,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 84,218 | $2,892,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 65,384 | $2,889,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 2,264,000 | $2,887,000 | thousands by filing date | principal |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 123,710 | $2,884,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 52,731 | $2,872,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 202,070 | $2,869,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 65,235 | $2,868,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 62,432 | $2,867,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 169,990 | $2,864,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 572,675 | $2,864,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 263,113 | $2,855,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 2,778,000 | $2,855,000 | thousands by filing date | principal |
| U S PHYSICAL THERAPY | 90337L108 | COM | 45,464 | $2,851,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 65,107 | $2,847,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 91,449 | $2,847,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 146,376 | $2,829,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 45,967 | $2,828,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 43,919 | $2,826,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 195,084 | $2,825,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 169,936 | $2,824,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 186,434 | $2,822,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 2,977,000 | $2,821,000 | thousands by filing date | principal |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 87,880 | $2,820,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 223,031 | $2,819,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 70,801 | $2,819,000 | thousands by filing date | |
| BALDWIN & LYONS INC | 057755100 | CL A | 115,788 | $2,819,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 311,534 | $2,813,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 602,031 | $2,811,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 67,690 | $2,806,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 212,698 | $2,803,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 246,551 | $2,791,000 | thousands by filing date | |
| RACKSPACE HOSTING INC | 750086100 | COM | 87,990 | $2,788,000 | thousands by filing date | |
| EQUITY ONE | 294752100 | COM | 90,776 | $2,778,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 84,683 | $2,771,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 91,675 | $2,768,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 2,312,000 | $2,763,000 | thousands by filing date | principal |
| BOISE CASCADE CO DEL | 09739D100 | COM | 108,710 | $2,761,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 2,644,000 | $2,757,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 64,100 | $2,745,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 105,253 | $2,744,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 144,630 | $2,723,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 197,227 | $2,723,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 300,530 | $2,723,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 105,213 | $2,720,000 | thousands by filing date | |
| YADKIN FINANCIAL CORP | 984305102 | COM | 102,930 | $2,706,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 441,119 | $2,700,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 127,008 | $2,699,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 110,163 | $2,698,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 195,147 | $2,690,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 284,833 | $2,686,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 189,318 | $2,676,000 | thousands by filing date | |
| ISHARES TR | 46434V704 | CUR HED MSCI GER | 111,213 | $2,665,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 332,460 | $2,659,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 130,635 | $2,657,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 147,977 | $2,656,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,330,400 | $2,655,000 | thousands by filing date | call |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 158,540 | $2,655,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 53,666 | $2,654,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 587,550 | $2,650,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 121,319 | $2,644,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 143,663 | $2,641,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 22,342 | $2,639,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 51,507 | $2,637,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 324,325 | $2,630,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X784 | WSDM EMKTBD FD | 36,914 | $2,627,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 213,559 | $2,625,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 52,089 | $2,624,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 322,796 | $2,617,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 462,190 | $2,616,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 2,140,000 | $2,606,000 | thousands by filing date | principal |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 116,749 | $2,600,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 128,570 | $2,600,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 84,459 | $2,593,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 105,387 | $2,593,000 | thousands by filing date | |
| AMRI 2.25 11/18 | 012423AB5 | Bond 30/360P2 U | 2,200,000 | $2,591,000 | thousands by filing date | principal |
| Walt Disney Co | 254687106 | COM | 619,200 | $2,590,000 | thousands by filing date | put |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 761,000 | $2,589,000 | thousands by filing date | principal |
| TREX CO INC | 89531P105 | COM | 44,026 | $2,584,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 1,971 | $2,581,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 52,977 | $2,580,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 17,902 | $2,579,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 28,886 | $2,575,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 181,939 | $2,574,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 102,137 | $2,570,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 160,316 | $2,568,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 1,885,000 | $2,568,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 48,706 | $2,566,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 89,620 | $2,561,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 43,183 | $2,558,000 | thousands by filing date | |
| Gilat Satellite Network | M51474118 | COM | 524,080 | $2,552,000 | thousands by filing date | |
| NATIONAL STORAGE AFFILIATES TR COM SHS BEN IN | 637870106 | REIT | 121,799 | $2,550,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 109,166 | $2,550,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 165,978 | $2,550,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 150,338 | $2,550,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 121,824 | $2,546,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 113,640 | $2,545,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 63,512 | $2,544,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 61,122 | $2,540,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 192,738 | $2,536,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 2,171,000 | $2,536,000 | thousands by filing date | principal |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 188,965 | $2,534,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 64,942 | $2,530,000 | thousands by filing date | |
| LINCOLN ELEC HLDGS INC | 533900106 | COM | 40,356 | $2,528,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 34,763 | $2,526,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 53,890 | $2,523,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 66,663 | $2,520,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 48,296 | $2,517,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 2,502,000 | $2,516,000 | thousands by filing date | principal |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 177,867 | $2,512,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 169,875 | $2,511,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 249,027 | $2,510,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 61,594 | $2,508,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 65,372 | $2,504,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 262,842 | $2,497,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 74,462 | $2,491,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 107,997 | $2,490,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 21,818 | $2,488,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 223,173 | $2,486,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F101 | COM | 98,423 | $2,476,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 168,449 | $2,472,000 | thousands by filing date | |
| OSHKOSH CORP COM | 688239201 | Stock | 43,935 | $2,460,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 239,255 | $2,455,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 320,270 | $2,453,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 2,038,000 | $2,451,000 | thousands by filing date | principal |
| CBIZ INC | 124805102 | COM | 218,368 | $2,444,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 204,066 | $2,437,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 100,308 | $2,434,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 2,292,000 | $2,432,000 | thousands by filing date | principal |
| BLACKBAUD INC COM | 09227Q100 | Stock | 36,606 | $2,429,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 19,037 | $2,429,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 91,148 | $2,411,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 2,434,000 | $2,411,000 | thousands by filing date | principal |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 169,530 | $2,404,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 370,277 | $2,403,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 203,666 | $2,402,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F668 | UNCVTL OIL GAS | 132,963 | $2,400,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 120,046 | $2,399,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 110,115 | $2,397,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 24,857 | $2,387,000 | thousands by filing date | |
| VISTA OUTDOOR INC | 928377100 | COM | 59,904 | $2,387,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 36,488 | $2,387,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 179,981 | $2,386,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 117,403 | $2,384,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 49,837 | $2,374,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 235,172 | $2,373,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 140,261 | $2,373,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 150,026 | $2,370,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF | 69360J107 | COM | 20,793 | $2,362,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 1,597,856 | $2,359,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 915,000 | $2,351,000 | thousands by filing date | call |
| MOLINA HEALTHCARE INC | 60855RAD2 | DBCV 1.625% 8/1 | 1,986,000 | $2,351,000 | thousands by filing date | principal |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 194,197 | $2,347,000 | thousands by filing date | |
| POWERSHARES EMERGING INFASTRUC TURE PORT | 73937B209 | COM | 76,073 | $2,346,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 98,434 | $2,344,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 96,957 | $2,342,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 16,136 | $2,336,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 158,656 | $2,335,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 588,100 | $2,334,000 | thousands by filing date | put |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 37,997 | $2,333,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 527,554 | $2,332,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 151,858 | $2,332,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 96,910 | $2,329,000 | thousands by filing date | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 74,041 | $2,326,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 92,134 | $2,325,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 209,965 | $2,322,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 600,000 | $2,322,000 | thousands by filing date | call |
| PRIMORIS SVCS CORP COM | 74164F103 | Stock | 112,674 | $2,321,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 79,174 | $2,317,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 27,615 | $2,317,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 110,484 | $2,314,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 2,335,000 | $2,312,000 | thousands by filing date | principal |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 35,678 | $2,310,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 64,250 | $2,308,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 146,240 | $2,308,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 223,944 | $2,307,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 44,926 | $2,306,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 16,860 | $2,303,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 24,313 | $2,298,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 158,814 | $2,298,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 131,081 | $2,298,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 40,387 | $2,295,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 1,055,000 | $2,295,000 | thousands by filing date | put |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 81,045 | $2,295,000 | thousands by filing date | |
| EQT GP HLDGS LP | 26885J103 | COM UNIT REP | 91,523 | $2,295,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 203,271 | $2,293,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 28,647 | $2,288,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 54,738 | $2,286,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 34,310 | $2,285,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 42,158 | $2,280,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 112,428 | $2,280,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 158,094 | $2,278,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 81,119 | $2,275,000 | thousands by filing date | |
| COTIVITI HLDGS INC | 22164K101 | COM | 67,788 | $2,273,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 4,239,430 | $2,272,000 | thousands by filing date | principal |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 192,311 | $2,270,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 402,308 | $2,269,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 87,741 | $2,269,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 35,498 | $2,268,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 142,129 | $2,268,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 178,795 | $2,267,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 81,632 | $2,264,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 150,681 | $2,263,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 126,844 | $2,260,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 138,441 | $2,251,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 271,716 | $2,250,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 79,029 | $2,245,000 | thousands by filing date | |
| CALATLANTIC GROUP INC | 128195104 | COM | 67,074 | $2,243,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 128,333 | $2,239,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 86,393 | $2,239,000 | thousands by filing date | |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 62,782 | $2,238,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 162,369 | $2,234,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 74,156 | $2,232,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 505,920 | $2,231,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E408 | MSCI CHINA CNSMR | 183,424 | $2,231,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 140,231 | $2,230,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 134,532 | $2,222,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 334,109 | $2,222,000 | thousands by filing date | |
| OCEANFIRST FINL CORP | 675234108 | COM | 115,195 | $2,219,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 144,769 | $2,218,000 | thousands by filing date | |
| WALKER&DUNLOPINC | 93148P102 | STOK | 87,728 | $2,216,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 219,358 | $2,216,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 417,982 | $2,215,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 41,172 | $2,210,000 | thousands by filing date | |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 87,998 | $2,206,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 189,425 | $2,196,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 122,315 | $2,195,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 147,150 | $2,193,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 1,777,000 | $2,193,000 | thousands by filing date | principal |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 43,060 | $2,192,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 120,498 | $2,188,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 295,262 | $2,183,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 43,077 | $2,182,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 99,502 | $2,182,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 40,509 | $2,176,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 36,787 | $2,175,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 71,626 | $2,175,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 88,233 | $2,172,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 57,220 | $2,154,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 65,763 | $2,151,000 | thousands by filing date | |
| GREEN DOT CORP CLASS A | 39304D102 | CL A | 93,303 | $2,151,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 163,665 | $2,151,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 60,683 | $2,149,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 38,293 | $2,147,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 210,157 | $2,144,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 140,602 | $2,131,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 83,135 | $2,126,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 420,424 | $2,124,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 156,270 | $2,120,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B837 | ETF - EQUITY | 46,522 | $2,117,000 | thousands by filing date | |
| AIR LEASE CORP | 00912XAK0 | NOTE 3.875%12/0 | 1,713,000 | $2,117,000 | thousands by filing date | principal |
| PERFORMANCE FOOD GROUP CO COM | 71377A103 | Stock | 85,273 | $2,115,000 | thousands by filing date | |
| PROSPERITY BANCSHARES INC | 743606105 | COM | 38,470 | $2,112,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 50,573 | $2,112,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 143,155 | $2,108,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 1,112,000 | $2,102,000 | thousands by filing date | put |
| TRIPLEPOINT VENTR GRW BDC CORP | 89677Y100 | COM | 198,238 | $2,102,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT INC | 042315507 | COM NEW | 92,917 | $2,094,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X103 | ST STR EUROP ETF | 69,144 | $2,091,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 124,043 | $2,088,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 630,332 | $2,081,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 1,977,000 | $2,078,000 | thousands by filing date | principal |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 376,258 | $2,073,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 80,654 | $2,071,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 77,435 | $2,070,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 77,338 | $2,068,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 46,027 | $2,064,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 147,880 | $2,064,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 122,064 | $2,055,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 153,927 | $2,052,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 88,703 | $2,046,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 42,444 | $2,041,000 | thousands by filing date | |
| COMMUNITY FINANCIAL SYSTEM I | 203607106 | COM | 42,398 | $2,040,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 81,518 | $2,038,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 61,142 | $2,035,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 129,589 | $2,032,000 | thousands by filing date | |
| QUANEX BLDG PRODS CORP COM | 747619104 | Stock | 117,570 | $2,029,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 145,218 | $2,028,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 91,892 | $2,028,000 | thousands by filing date | |
| 1ST FINL BANCORP | 320209109 | COM | 92,723 | $2,025,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 67,798 | $2,018,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 109,340 | $2,009,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 434,935 | $2,009,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 593,242 | $2,006,000 | thousands by filing date | put |
| IMPAX LABORATORIES INC | 45256B101 | COM | 84,455 | $2,002,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 101,307 | $2,001,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 169,232 | $1,997,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 246,212 | $1,996,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 41,395 | $1,995,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 89,745 | $1,992,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 83,281 | $1,992,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 172,985 | $1,991,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 177,693 | $1,991,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 20,911 | $1,991,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 54,295 | $1,989,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 114,298 | $1,987,000 | thousands by filing date | |
| NUVEEN HGH INC DEC18 TRGT TR | 67075P103 | COM | 191,126 | $1,987,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 115,326 | $1,981,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 179,867 | $1,979,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 108,074 | $1,978,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,764,000 | $1,972,000 | thousands by filing date | principal |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 175,472 | $1,965,000 | thousands by filing date | |
| SEVCON INC | 81783K108 | COM | 223,075 | $1,965,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 367,285 | $1,963,000 | thousands by filing date | |
| EMPRESA DIST Y COMERCIAL NOR | 29244A102 | SPON ADR | 98,924 | $1,959,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 165,224 | $1,954,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 321,865 | $1,950,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 113,168 | $1,948,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 34,234 | $1,946,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 47,033 | $1,944,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 74,380 | $1,941,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 142,528 | $1,941,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 165,993 | $1,941,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 86,200 | $1,941,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 557,259 | $1,940,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 280,335 | $1,938,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 295,955 | $1,935,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 108,718 | $1,935,000 | thousands by filing date | |
| ANTERO MIDSTREAM LP | 03673L103 | Limited Partnership | 72,438 | $1,934,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 54,383 | $1,934,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 20,810 | $1,933,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000072971-16-001320 | this filing | 2016-10-31 | acceptance time not in the bulk data set |