13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 2,317 holding rows worth $17,998,081,000.
- Accession
- 0000720672-15-000026
- Filer
- CIK 720672
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 5,076 entries on the cover page, a total value of $17,998,081,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $17,998,081,000 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 managerChoice Financial Partners, Inc.028-13156
- included managerMontibus Capital Management LLC028-15069
- included manager1919 Investment Counsel, LLC028-11345
- included manager1919 Investment Counsel & Trust Co., N.A.028-06397
- included managerSEI INVESTMENTS MANAGEMENT CORP028-16475
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 |
|---|---|---|---|---|---|---|
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 4,231 | $233,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 32,650 | $233,000 | thousands by filing date | |
| Knight Capital Group, Inc. | 48244B100 | common stock | 20,000 | $233,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 16,735 | $232,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 4,132 | $231,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 11,461 | $231,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 14,311 | $229,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 10,318 | $229,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 18,304 | $229,000 | thousands by filing date | |
| HIGHWOODS PPTYS INC COM | 431284108 | REIT | 5,152 | $228,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 147,752 | $228,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 2,011 | $227,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 5,530 | $227,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 21,904 | $227,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 15,775 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 1,567 | $226,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 49,531 | $226,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 6,954 | $226,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 5,174 | $226,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 4,250 | $225,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 9,535 | $225,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 30,817 | $225,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 18,296 | $225,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 24,099 | $224,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 13,381 | $224,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 2,968 | $224,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 6,586 | $223,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 3,225 | $222,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 7,625 | $222,000 | thousands by filing date | |
| FEDERATED NATIONAL HOLDING C | 31422T101 | COM | 9,170 | $222,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 1,418 | $221,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 21,013 | $221,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 37,130 | $221,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 7,534 | $220,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 23,908 | $220,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 15,310 | $220,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 13,117 | $220,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 4,354 | $219,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 14,104 | $219,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 3,298 | $219,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 7,361 | $219,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 6,293 | $218,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 35,800 | $218,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 12,300 | $218,000 | thousands by filing date | |
| PROTECTIVE LIFE CORP | 743674103 | COM | 3,132 | $218,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 24,007 | $217,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 4,527 | $217,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 66,115 | $217,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 17,090 | $217,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 5,095 | $217,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 14,948 | $216,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 25,157 | $216,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 3,333 | $216,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 3,265 | $216,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 18,560 | $216,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y503 | PERITUS HG YLD | 5,250 | $216,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 15,830 | $216,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 2,439 | $216,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 11,081 | $215,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 5,774 | $215,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,056 | $215,000 | thousands by filing date | |
| PROSHARES TR | 74348A541 | HGH YLD INT RATE | 2,924 | $214,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 3,854 | $213,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 5,495 | $213,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 19,989 | $213,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 7,100 | $212,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 6,532 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 5,669 | $211,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 1,768 | $211,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 23,019 | $210,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 11,992 | $210,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 10,383 | $210,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 4,338 | $209,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 5,988 | $209,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 18,310 | $209,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 3,223 | $209,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 524 | $209,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,070 | $208,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 10,908 | $208,000 | thousands by filing date | |
| HANDY & HARMAN LTD | 410315105 | COMMON STOCK | 4,510 | $208,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 8,907 | $207,000 | thousands by filing date | |
| RAMCO-GERSHENSON PPTYS TR | 751452608 | PERP PFD-D CV | 3,092 | $207,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 4,736 | $206,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 6,830 | $206,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 30,629 | $206,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 5,387 | $206,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 9,318 | $206,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 9,011 | $205,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 18,605 | $205,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 4,424 | $205,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 18,273 | $205,000 | thousands by filing date | |
| ENGILITY HLDGS INC | 29285W104 | COM | 4,800 | $205,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,700 | $205,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 2,245 | $204,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 3,950 | $204,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 6,910 | $203,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 3,253 | $202,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 1,665 | $201,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 15,803 | $201,000 | thousands by filing date | |
| FRANKLIN FINANCIAL CORP/VA | 35353C102 | COM | 9,540 | $201,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 14,496 | $200,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 3,230 | $200,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 7,725 | $200,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 15,080 | $198,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 12,182 | $198,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 10,000 | $194,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 16,921 | $193,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 18,855 | $193,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 29,472 | $192,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 13,687 | $192,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 34,757 | $190,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 20,800 | $190,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 14,386 | $189,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 59,350 | $189,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 12,625 | $188,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 12,625 | $188,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 35,220 | $185,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 16,613 | $184,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 11,852 | $183,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 12,850 | $181,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 15,300 | $180,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 15,042 | $175,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 12,643 | $174,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 10,000 | $173,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 11,106 | $172,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 13,226 | $171,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,000 | $169,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 20,000 | $169,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 22,611 | $168,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 12,662 | $168,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 35,000 | $168,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 10,076 | $167,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 11,172 | $167,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 30,511 | $165,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 24,215 | $165,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 24,372 | $165,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 30,614 | $164,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,693 | $162,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,923 | $161,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 48,375 | $160,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 14,485 | $160,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 83,765 | $159,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 15,600 | $158,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,848 | $158,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 26,925 | $157,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 18,400 | $156,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 19,231 | $154,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 10,320 | $153,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 152,911 | $153,000 | thousands by filing date | principal |
| READING INTL INC | 755408101 | CL A | 11,300 | $150,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 50,801 | $149,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED | 67074P104 | COM UT BEN INT | 11,508 | $148,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 34,939 | $144,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 19,999 | $143,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 16,806 | $140,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 14,171 | $139,000 | thousands by filing date | |
| INFUSYSTEM HOLDINGS INC | 45685K102 | COMMON STOCK | 43,400 | $137,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 10,417 | $136,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 11,336 | $136,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 10,733 | $135,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 14,750 | $133,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 10,000 | $130,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,300 | $129,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 26,547 | $128,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 11,656 | $128,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 19,661 | $126,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 74,925 | $125,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 11,913 | $122,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,096 | $122,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,721 | $121,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 33,700 | $121,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 10,100 | $119,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 51,475 | $119,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 11,778 | $118,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,995 | $117,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 65,519 | $110,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 21,265 | $110,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 12,189 | $108,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 28,968 | $108,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,800 | $107,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 23,400 | $106,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,290 | $105,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 13,400 | $105,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 15,000 | $104,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 13,931 | $104,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,025 | $102,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 10,775 | $100,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 18,265 | $99,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 87,389 | $97,000 | thousands by filing date | |
| PACIFIC MERCANTILE BANCORP | 694552100 | COM | 14,003 | $97,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 10,717 | $96,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 95,625 | $96,000 | thousands by filing date | principal |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 50,876 | $95,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 12,000 | $93,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 14,664 | $93,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD | 008474958 | COM | 2,700 | $91,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 21,812 | $90,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 12,250 | $89,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 10,700 | $88,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 13,600 | $88,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 95,469 | $87,000 | thousands by filing date | principal |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 12,900 | $86,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 27,100 | $84,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 11,600 | $80,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 57,582 | $80,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 50,000 | $80,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 23,146 | $79,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 14,702 | $75,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 34,938 | $75,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 68,032 | $72,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 18,315 | $72,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 13,371 | $70,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 26,051 | $69,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 11,053 | $69,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 10,408 | $67,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 15,300 | $65,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 12,360 | $63,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 12,191 | $61,000 | thousands by filing date | |
| TRINITY INDS INC | 896522959 | PUT | 2,300 | $61,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 23,034 | $61,000 | thousands by filing date | |
| STEWARDSHIP FINL CORP | 860326107 | COM | 12,915 | $61,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 11,000 | $58,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 32,000 | $58,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 56,779 | $57,000 | thousands by filing date | principal |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 15,793 | $56,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 54,720 | $55,000 | thousands by filing date | principal |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 14,000 | $51,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 50,125 | $50,000 | thousands by filing date | principal |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 11,000 | $50,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102905 | CALL | 500 | $49,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 33,516 | $44,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 41,119 | $41,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 38,903 | $39,000 | thousands by filing date | principal |
| ABBVIE INC | 00287Y959 | COM | 600 | $36,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 13,000 | $33,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 11,000 | $32,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558953 | PUT | 300 | $31,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $31,000 | thousands by filing date | principal |
| FORD MTR CO | 345370950 | PUT | 2,000 | $29,000 | thousands by filing date | |
| BOEING CO | 097023955 | PUT | 200 | $29,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 11,350 | $29,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 20,000 | $29,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $28,000 | thousands by filing date | principal |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 25,000 | $28,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $27,000 | thousands by filing date | principal |
| INTERPHASE CORP | 460593106 | COM | 12,000 | $27,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AF6 | NOTE 6.000% 9/0 | 27,300 | $27,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $27,000 | thousands by filing date | principal |
| Walter Energy Inc | 93317Q105 | COM | 18,898 | $26,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 12,300 | $26,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 22,800 | $26,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 25,528 | $25,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 25,000 | $25,000 | thousands by filing date | principal |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 23,000 | $25,000 | thousands by filing date | principal |
| CIENA CORP | 171779AE1 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $25,000 | thousands by filing date | principal |
| CATERPILLAR INC | 149123951 | PUT | 300 | $24,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,455 | $24,000 | thousands by filing date | |
| EMERSON ELEC CO | 291011954 | PUT | 400 | $23,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 16,000 | $22,000 | thousands by filing date | |
| TRINITY INDS INC | 896522909 | COM | 800 | $21,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 18,325 | $21,000 | thousands by filing date | |
| AGRIUM INC | 008916958 | COM | 200 | $21,000 | thousands by filing date | |
| CVS HEALTH CORP | 126650950 | PUT | 200 | $20,000 | thousands by filing date | |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $20,000 | thousands by filing date | principal |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 20,156 | $20,000 | thousands by filing date | principal |
| DISNEY WALT CO | 254687956 | PUT | 200 | $18,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 17,000 | $18,000 | thousands by filing date | principal |
| ROYAL GOLD INC | 780287AA6 | NOTE | 17,000 | $18,000 | thousands by filing date | principal |
| EVERYWARE GLOBAL INC | 300439106 | COM | 25,000 | $18,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 16,725 | $18,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L953 | COM | 1,000 | $17,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 42,500 | $17,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X955 | COM | 800 | $17,000 | thousands by filing date | |
| GOODRICH PETE CORP CMN STK | 382410955 | Cmn | 6,900 | $17,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 13,000 | $17,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $16,000 | thousands by filing date | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 16,000 | $16,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $16,000 | thousands by filing date | principal |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 13,990 | $15,000 | thousands by filing date | |
| BLACKSTONE GROUP LP/THE | 09253U958 | COM | 400 | $15,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 15,000 | $15,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $14,000 | thousands by filing date | principal |
| DOW CHEMICAL CO/THE | 260543953 | COM | 300 | $14,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $14,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 14,000 | $14,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 24,500 | $13,000 | thousands by filing date | |
| STURM RUGER & CO INC | 864159958 | COM | 300 | $12,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $12,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 10,000 | $11,000 | thousands by filing date | principal |
| DISCOVER FINANCIAL SERVICES | 254709958 | COM | 200 | $11,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017959 | COM | 100 | $11,000 | thousands by filing date | |
| CHEVRON CORPORATION | 166764950 | CALL | 100 | $10,000 | thousands by filing date | |
| WASTE MGMT INC DEL | 94106L959 | COM | 200 | $10,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 13,000 | $10,000 | thousands by filing date | principal |
| DRAGONWAVE INC | 26144M103 | COM | 10,000 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 11,000 | $10,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| MARKET VECTORS GOLD MINERS | 57060U950 | COM | 400 | $9,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 16,000 | $9,000 | thousands by filing date | principal |
| VRINGO INC | 92911N104 | COM | 15,000 | $8,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 10,000 | $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 | $7,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TER | 136385951 | COM | 200 | $6,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,670 | $6,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T957 | COM | 100 | $6,000 | thousands by filing date | |
| SOUTHWEST AIRLS CO | 844741958 | PUT | 100 | $5,000 | thousands by filing date | |
| CABELA'S INC | 126804951 | COM | 100 | $5,000 | thousands by filing date | |
| EMC CORP/MA | 268648952 | COM | 200 | $5,000 | thousands by filing date | |
| CONN'S INC COMMON STOCK | 208242957 | Cmn | 300 | $5,000 | thousands by filing date | |
| YAHOO! INC | 984332956 | COM | 100 | $4,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781955 | COM | 100 | $3,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U956 | OPT | 100 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-15-000026 | this filing | 2015-02-13 | acceptance time not in the bulk data set |