13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-14, with 2,301 holding rows worth $18,270,053,000.
- Accession
- 0000720672-15-000057
- Filer
- CIK 720672
- Filed
- 2015-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 5,364 entries on the cover page, a total value of $18,270,053,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,270,053,000 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 |
|---|---|---|---|---|---|---|
| ISHARES INC | 464286624 | MSCI THAILND ETF | 3,105 | $247,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 9,277 | $247,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 5,204 | $247,000 | thousands by filing date | |
| PORTLAND GEN ELEC CO | 736508847 | COM NEW | 6,629 | $246,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 3,011 | $246,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 1,918 | $246,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 43,953 | $246,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 27,624 | $245,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 19,957 | $245,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 15,977 | $245,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 8,793 | $245,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 16,852 | $245,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 9,350 | $245,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 34,955 | $243,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 31,874 | $243,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 241,297 | $241,000 | thousands by filing date | principal |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 13,979 | $241,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,892 | $240,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 15,781 | $240,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 15,150 | $240,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 59,150 | $240,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 3,725 | $239,000 | thousands by filing date | |
| SYMETRA FINANCIAL CORP | 87151Q106 | COMMON STOCK | 10,156 | $238,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 32,650 | $238,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,000 | $237,000 | thousands by filing date | |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 5,014 | $236,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 10,833 | $236,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 2,054 | $235,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 18,070 | $235,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 4,661 | $235,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 14,932 | $235,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 19,676 | $234,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 10,879 | $234,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 10,450 | $234,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 14,841 | $233,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 9,360 | $233,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 35,992 | $233,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 15,617 | $232,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 16,839 | $232,000 | thousands by filing date | |
| MACKINAC FINL CORP | 554571109 | COM | 20,356 | $232,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 3,840 | $231,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 8,200 | $231,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 4,190 | $231,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 4,395 | $231,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 9,486 | $229,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 6,546 | $228,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 16,481 | $228,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 7,386 | $228,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 9,472 | $228,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,981 | $228,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 7,000 | $227,000 | thousands by filing date | |
| MARKET VECTORS PRE-REFUND MUNI ETF(PRB) | 57060U738 | ETF | 9,278 | $227,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 47,671 | $226,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 16,243 | $226,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 13,371 | $225,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PL | 780097770 | ADR PREF SER N | 9,010 | $225,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 13,780 | $224,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 10,617 | $223,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 18,119 | $222,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 40,431 | $222,000 | thousands by filing date | |
| ISHARES TR MSCI CHINA ETF | 46429B671 | MSCI CHINA ETF | 4,050 | $221,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 24,608 | $221,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 3,510 | $221,000 | thousands by filing date | |
| PARTNERRE LTD | G6852T105 | COM | 1,937 | $221,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 39,300 | $221,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 4,447 | $219,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,449 | $219,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 2,119 | $219,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 4,450 | $218,000 | thousands by filing date | |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 8,441 | $218,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 4,299 | $218,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 3,543 | $217,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 3,132 | $217,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 4,339 | $217,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 524 | $217,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 9,215 | $216,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 22,563 | $215,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 6,075 | $215,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 120,897 | $215,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 6,958 | $214,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 16,486 | $213,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 1,665 | $213,000 | thousands by filing date | |
| PRESTIGE CONSMR HEALTHCARE I | 74112D101 | COM | 4,952 | $212,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 18,310 | $212,000 | thousands by filing date | |
| WHITEHORSE FINANCE INC | 96524V106 | COM | 17,091 | $212,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 5,430 | $212,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 10,000 | $212,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 3,255 | $212,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 7,200 | $211,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 4,463 | $210,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 16,934 | $210,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 8,464 | $210,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 4,293 | $210,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 306 | $209,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 4,728 | $209,000 | thousands by filing date | |
| ENPRO INC | 29355X107 | COM | 3,170 | $209,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 2,287 | $209,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 4,028 | $209,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 2,396 | $208,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 4,228 | $208,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 6,214 | $207,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,070 | $206,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 14,349 | $206,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 3,189 | $205,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 6,557 | $204,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 10,349 | $204,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F291 | IPMS INDIA ETN | 2,756 | $204,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 5,209 | $203,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 4,085 | $203,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 162,000 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 17,342 | $203,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 14,075 | $202,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 7,691 | $201,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 7,455 | $201,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 5,203 | $201,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 15,475 | $201,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 6,702 | $201,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 3,386 | $200,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 12,821 | $200,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 32,133 | $200,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 18,855 | $200,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 15,481 | $199,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 21,071 | $199,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 24,480 | $198,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 12,125 | $197,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 14,598 | $194,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 17,700 | $194,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 34,720 | $193,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 16,276 | $191,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 13,615 | $190,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 57,683 | $187,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 185,265 | $185,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 12,172 | $185,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 24,892 | $182,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 44,524 | $182,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 16,910 | $180,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 47,100 | $178,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 11,725 | $174,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 61,922 | $172,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 40,590 | $170,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 26,925 | $170,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 12,300 | $169,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,000 | $169,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 15,099 | $169,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 24,615 | $168,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 10,150 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 12,321 | $165,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 10,500 | $160,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 33,839 | $159,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,031 | $157,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 14,113 | $157,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 63,727 | $156,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 28,327 | $156,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 35,000 | $152,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 11,300 | $152,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 15,199 | $152,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 16,098 | $151,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 15,977 | $150,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 20,949 | $149,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 10,300 | $149,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 19,138 | $148,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 29,086 | $143,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 10,417 | $142,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 16,549 | $141,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 13,971 | $140,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 15,300 | $140,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 14,177 | $140,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 12,526 | $140,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 17,740 | $138,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 83,765 | $137,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 10,000 | $136,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 11,364 | $134,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,598 | $134,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,361 | $133,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 12,946 | $131,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 10,000 | $130,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 18,743 | $130,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 26,547 | $129,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 13,775 | $128,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 11,000 | $127,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 11,486 | $125,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 19,328 | $124,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 15,998 | $124,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 16,791 | $120,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 13,270 | $119,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 11,778 | $118,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 24,265 | $116,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 11,524 | $114,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 14,300 | $114,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 15,156 | $114,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,560 | $113,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,800 | $110,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 12,042 | $108,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 10,013 | $108,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 28,968 | $108,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 18,100 | $105,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 21,948 | $104,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 10,000 | $103,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 51,676 | $103,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 97,650 | $98,000 | thousands by filing date | principal |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 10,807 | $97,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 27,331 | $97,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 14,700 | $96,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 14,564 | $94,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 17,131 | $93,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 87,352 | $89,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 12,000 | $88,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 24,479 | $87,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 64,706 | $85,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 11,544 | $83,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 27,100 | $81,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 12,400 | $81,000 | thousands by filing date | |
| ENZYMOTEC LTD | M4059L101 | SHS | 10,768 | $78,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 10,700 | $77,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 16,152 | $76,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 11,600 | $74,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 47,612 | $73,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 72,975 | $73,000 | thousands by filing date | principal |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 19,010 | $71,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 10,390 | $70,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 19,115 | $69,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 10,250 | $67,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 49,861 | $67,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,859 | $65,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 63,550 | $64,000 | thousands by filing date | principal |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 34,739 | $63,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 12,100 | $63,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 13,500 | $63,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 10,753 | $63,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 11,477 | $61,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 12,645 | $61,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 16,002 | $60,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 60,180 | $60,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 63,613 | $59,000 | thousands by filing date | principal |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 10,630 | $58,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 14,625 | $57,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 33,516 | $56,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 55,290 | $55,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 25,188 | $51,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 50,063 | $51,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 51,000 | $51,000 | thousands by filing date | principal |
| TEARLAB CORP | 878193101 | COM | 23,034 | $46,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 12,245 | $46,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 21,000 | $46,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 18,430 | $46,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 11,000 | $43,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 41,963 | $42,000 | thousands by filing date | principal |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 17,000 | $40,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 39,306 | $39,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $39,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,525 | $37,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,600 | $37,000 | thousands by filing date | |
| Nuverra Environmental Solutions Inc | 67091K203 | common | 10,438 | $37,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 10,000 | $29,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $29,000 | thousands by filing date | principal |
| METABOLIX INC | 591018809 | COM | 42,900 | $27,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $27,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 25,000 | $26,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $26,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $25,000 | thousands by filing date | principal |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 23,000 | $25,000 | thousands by filing date | principal |
| ZOGENIX INC | 98978L105 | COM | 18,400 | $25,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,955 | $24,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 24,563 | $23,000 | thousands by filing date | principal |
| MEI PHARMA INC | 55279B202 | COM NEW | 12,700 | $23,000 | thousands by filing date | |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 22,144 | $22,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $21,000 | thousands by filing date | principal |
| DENISON MINES CORP | 91688T104 | COM | 18,325 | $20,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 12,050 | $20,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,000 | $19,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $19,000 | thousands by filing date | principal |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 13,000 | $19,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 14,800 | $18,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 12,000 | $18,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 17,000 | $18,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 24,500 | $18,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $18,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 17,000 | $17,000 | thousands by filing date | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 16,000 | $16,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 13,000 | $15,000 | thousands by filing date | principal |
| 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 |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 32,000 | $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 |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 12,196 | $13,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $13,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 14,000 | $13,000 | thousands by filing date | principal |
| Walter Energy Inc | 93317Q105 | COM | 18,198 | $11,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| VRINGO INC | 92911N104 | COM | 15,000 | $10,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 13,000 | $10,000 | thousands by filing date | principal |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 10,825 | $10,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GOODRICH | 382410AG3 | NOTE5 | 16,000 | $9,000 | thousands by filing date | principal |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 10,000 | $7,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 18,907 | $7,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,000 | $7,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 10,000 | $6,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,670 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-15-000057 | this filing | 2015-05-14 | acceptance time not in the bulk data set |