13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-13, with 2,216 holding rows worth $11,392,386,000.
- Accession
- 0000720672-14-000065
- Filer
- CIK 720672
- Filed
- 2014-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 4,268 entries on the cover page, a total value of $11,392,386,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,392,386,000 with VALUE read as thousands by filing date, 13F file number 028-04621. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerZiegler Capital Management, LLC028-10982
- included managerSTIFEL NICOLAUS & CO INC \MO\028-06972
- included managerMISSOURI VALLEY PARTNERS, INC.028-13899
- included managerMontibus Capital Management LLC028-15069
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 |
|---|---|---|---|---|---|---|
| AG MTG INVT TR INC | 001228105 | COM | 11,644 | $207,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 3,329 | $206,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 3,960 | $206,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 19,306 | $205,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 3,328 | $205,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 25,594 | $204,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 2,307 | $203,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 9,226 | $203,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 15,686 | $203,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 3,277 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 4,210 | $202,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 31,725 | $202,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 3,321 | $201,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 29,171 | $201,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 7,235 | $200,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 7,693 | $200,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 60,475 | $199,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 30,961 | $197,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 11,570 | $197,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 93,197 | $195,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 25,573 | $193,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 11,617 | $193,000 | thousands by filing date | |
| GLOBE SPECIALTY METALS INC | 37954N206 | COM | 10,541 | $192,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 20,700 | $190,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 16,113 | $189,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 26,124 | $187,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 13,750 | $187,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 10,288 | $184,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 12,849 | $184,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 13,639 | $184,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 22,674 | $183,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 11,358 | $182,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 41,445 | $182,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 21,308 | $179,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 178,826 | $179,000 | thousands by filing date | principal |
| STELLUS CAP INVT CORP | 858568108 | COM | 12,782 | $178,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 11,237 | $176,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 13,400 | $175,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 24,681 | $173,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 33,021 | $172,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 14,034 | $172,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 17,013 | $172,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 20,646 | $170,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 86,752 | $170,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 13,251 | $169,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 46,800 | $169,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 25,283 | $168,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 23,528 | $167,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 12,140 | $166,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 14,351 | $166,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 12,658 | $165,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,000 | $164,000 | thousands by filing date | |
| POWERSHARES ETF TRUST ZACKS MC | 73935X740 | COM | 10,498 | $163,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,227 | $161,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 11,512 | $158,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 11,528 | $156,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 12,017 | $155,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 14,150 | $155,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 10,000 | $155,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,923 | $152,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 106,000 | $152,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 10,382 | $152,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 12,300 | $148,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 17,823 | $146,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 24,220 | $145,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 25,666 | $143,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 143,000 | $143,000 | thousands by filing date | principal |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 13,568 | $141,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 11,172 | $140,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 4,572 | $138,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 17,020 | $137,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,300 | $137,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 10,545 | $136,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 12,775 | $132,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,160 | $131,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 20,710 | $131,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 13,447 | $129,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 15,400 | $129,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 17,255 | $128,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 45,090 | $128,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,416 | $127,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 11,114 | $126,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 16,773 | $126,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 81,281 | $124,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 75,000 | $122,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 14,158 | $120,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 10,000 | $119,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 60,966 | $119,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 12,383 | $116,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,652 | $115,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 18,000 | $114,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 10,300 | $114,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 15,925 | $111,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 28,968 | $111,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 11,076 | $109,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,836 | $108,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 11,360 | $106,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 15,992 | $105,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 23,400 | $105,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,800 | $104,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 15,400 | $104,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 103,516 | $104,000 | thousands by filing date | principal |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 17,800 | $104,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,475 | $103,000 | thousands by filing date | |
| CONN'S INC COMMON STOCK | 208242957 | Cmn | 3,300 | $102,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 16,625 | $100,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 98,750 | $99,000 | thousands by filing date | principal |
| PARK STERLING CORP | 70086Y105 | COM | 14,945 | $99,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 10,521 | $99,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 98,333 | $98,000 | thousands by filing date | principal |
| CASCADE BANCORP | 147154207 | COM | 19,265 | $97,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,300 | $95,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 94,725 | $95,000 | thousands by filing date | principal |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 12,700 | $95,000 | thousands by filing date | |
| MATTEL INC | 577081952 | PUT | 3,000 | $93,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,464 | $92,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 18,322 | $92,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 12,225 | $92,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,125 | $90,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 13,340 | $89,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 20,000 | $88,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 10,458 | $87,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 18,695 | $87,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 12,900 | $86,000 | thousands by filing date | |
| JAKKS PAC INC | 47012EAD8 | NOTE 4.500%11/0 | 86,430 | $86,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 23,568 | $84,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 28,000 | $83,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 10,900 | $82,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 14,420 | $81,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 80,944 | $81,000 | thousands by filing date | principal |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,300 | $80,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 59,058 | $80,000 | thousands by filing date | |
| GOLDCORP INC | 380956959 | COM | 3,700 | $69,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 24,886 | $67,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 50,300 | $66,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 25,000 | $66,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888955 | COM | 3,600 | $66,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 17,125 | $65,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V950 | PUT | 2,000 | $63,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD | 008474958 | COM | 2,700 | $63,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 10,475 | $60,000 | thousands by filing date | |
| GOODRICH PETE CORP CMN STK | 382410955 | Cmn | 7,200 | $59,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 10,290 | $57,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 11,969 | $57,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 18,678 | $57,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y955 | COM | 3,100 | $53,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 10,199 | $51,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 11,900 | $51,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 21,972 | $51,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 14,401 | $49,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 48,694 | $49,000 | thousands by filing date | principal |
| MARKET VECTORS ETF TR | 57060U956 | OPT | 2,200 | $48,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 10,900 | $48,000 | thousands by filing date | |
| ISHARES SILVER TR | 46428Q959 | PUT | 3,000 | $47,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 18,751 | $47,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 22,350 | $47,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 19,198 | $45,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 25,000 | $43,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 17,110 | $42,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 45,500 | $41,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 39,663 | $40,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 14,455 | $39,000 | thousands by filing date | |
| ABBVIE INC | 00287Y959 | COM | 600 | $38,000 | thousands by filing date | |
| EXPRESS SCRIPTS HOLDING CO | 30219G958 | COM | 500 | $38,000 | thousands by filing date | |
| CABELA'S INC | 126804951 | COM | 800 | $38,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 12,000 | $37,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 20,000 | $36,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558953 | PUT | 300 | $34,000 | thousands by filing date | |
| CONTINENTAL RESOURCES INC/OK | 212015901 | COM | 600 | $34,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 17,300 | $32,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 31,850 | $32,000 | thousands by filing date | principal |
| LAS VEGAS SANDS CORP | 517834957 | PUT | 500 | $31,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 30,640 | $31,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 49,000 | $28,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 26,813 | $27,000 | thousands by filing date | principal |
| BOEING CO | 097023955 | PUT | 200 | $25,000 | thousands by filing date | |
| STURM RUGER & CO INC | 864159958 | COM | 600 | $25,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 11,500 | $25,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 25,250 | $25,000 | thousands by filing date | principal |
| JPMORGAN CHASE & CO | 46625H950 | PUT | 400 | $24,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 12,500 | $24,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 23,750 | $24,000 | thousands by filing date | principal |
| GOPRO INC | 38268T953 | CL A | 300 | $23,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 22,000 | $21,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 18,325 | $20,000 | thousands by filing date | |
| DISNEY WALT CO | 254687956 | PUT | 200 | $18,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 16,000 | $18,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X955 | COM | 800 | $18,000 | thousands by filing date | |
| CVS HEALTH CORP | 126650950 | PUT | 200 | $17,000 | thousands by filing date | |
| PHILLIPS 66 | 718546954 | PUT | 200 | $16,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y950 | COM | 4,000 | $16,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 13,204 | $15,000 | thousands by filing date | |
| RANGE RES CORP | 75281A959 | COM | 200 | $14,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 15,000 | $14,000 | thousands by filing date | |
| WALTER ENERGY INC | 93317Q955 | COM | 6,000 | $14,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R951 | COM | 500 | $14,000 | thousands by filing date | |
| DISCOVER FINANCIAL SERVICES | 254709958 | COM | 200 | $13,000 | thousands by filing date | |
| STERICYCLE INC | 858912958 | COM | 100 | $13,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736L959 | COM | 800 | $12,000 | thousands by filing date | |
| VALE S A | 91912E955 | SPONSORED ADS | 1,200 | $12,000 | thousands by filing date | |
| STRATASYS LTD | M85548951 | SHS | 100 | $12,000 | thousands by filing date | |
| BLACKSTONE GROUP LP/THE | 09253U958 | COM | 400 | $12,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 10,000 | $12,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV | 03524A958 | PUT | 100 | $11,000 | thousands by filing date | |
| APPLIED MATLS INC | 038222955 | PUT | 500 | $11,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 10,000 | $11,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017959 | COM | 100 | $11,000 | thousands by filing date | |
| AMERICAN TOWER CORP | 03027X950 | COM | 100 | $10,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599955 | PUT | 100 | $9,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,670 | $8,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TER | 136385951 | COM | 200 | $7,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,000 | $7,000 | thousands by filing date | |
| ASTRAZENECA PLC-SPONS ADR | 046353958 | COM | 100 | $7,000 | thousands by filing date | |
| CREE INC | 225447951 | COM | 200 | $6,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106958 | COM | 100 | $5,000 | thousands by filing date | |
| MARKET VECTORS GOLD MINERS | 57060U950 | COM | 300 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-14-000065 | this filing | 2014-11-13 | acceptance time not in the bulk data set |