13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-16, with 2,246 holding rows worth $17,797,733,000.
- Accession
- 0000720672-15-000080
- Filer
- CIK 720672
- Filed
- 2015-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 6,968 entries on the cover page, a total value of $17,797,733,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $17,797,733,000 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 managerSTIFEL NICOLAUS & CO INC \MO\028-06972
- included managerChoice Financial Partners, Inc.028-13156
- included manager1919 Investment Counsel, LLC028-11345
- included manager1919 Investment Counsel & Trust Co., N.A.028-06397
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
- included managerTRUST Co OF STERNE AGEE, INC.028-13128
- included managerSterne Agee Asset Management, Inc.028-15657
- included managerZiegler Capital Management, LLC028-10982
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 |
|---|---|---|---|---|---|---|
| CASH AMER INTL INC | 14754D100 | COM | 7,542 | $211,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 19,606 | $210,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 4,258 | $210,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 24,635 | $210,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 35,431 | $210,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 5,827 | $209,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 6,788 | $209,000 | thousands by filing date | |
| AARONS INC | 002535300 | COM PAR $0.50 | 5,785 | $209,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,119 | $209,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 6,038 | $208,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 12,681 | $208,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 17,475 | $208,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 3,554 | $207,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 8,835 | $207,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 7,772 | $206,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 8,675 | $206,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 4,261 | $206,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 14,378 | $205,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 12,220 | $205,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 8,499 | $204,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 20,554 | $203,000 | thousands by filing date | |
| DYNAGAS LNG PARTNERS LP | Y2188B108 | CMN | 15,269 | $203,000 | thousands by filing date | |
| CAESARSTONE LTD | M20598104 | ORD SHS | 6,649 | $202,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 12,513 | $202,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 15,000 | $201,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 5,583 | $201,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 4,820 | $201,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 1,751 | $201,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 22,900 | $201,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 32,650 | $201,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 17,195 | $199,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 11,850 | $199,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 17,950 | $199,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 21,644 | $198,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 48,367 | $197,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 14,700 | $195,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 21,308 | $194,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 15,100 | $193,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 15,460 | $192,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 18,330 | $191,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 11,108 | $191,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 13,998 | $190,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 27,239 | $189,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 170,832 | $188,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 10,252 | $187,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 14,255 | $187,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 35,720 | $186,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 185,925 | $186,000 | thousands by filing date | principal |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 127,359 | $186,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,910 | $184,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 10,400 | $182,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 43,953 | $180,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 16,037 | $179,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 13,615 | $178,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 15,006 | $176,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,070 | $174,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 35,801 | $172,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 10,581 | $172,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 38,675 | $172,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 12,506 | $171,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 21,525 | $170,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,000 | $168,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 15,550 | $168,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 17,096 | $167,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 12,765 | $167,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 24,883 | $167,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 16,510 | $167,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 24,265 | $166,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 25,509 | $165,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 18,855 | $165,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,201 | $164,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 35,300 | $164,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 18,754 | $163,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 10,923 | $163,000 | thousands by filing date | |
| JACKSONVILLE BANCORP INC FLA | 469249205 | COM NEW | 12,250 | $163,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 16,330 | $162,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 26,900 | $162,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $161,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 14,909 | $159,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $158,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 163,282 | $158,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 31,473 | $157,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 12,002 | $156,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 15,725 | $153,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 29,205 | $152,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 10,979 | $149,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 12,304 | $148,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,485 | $147,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 24,865 | $147,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 46,648 | $146,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 11,770 | $144,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 11,500 | $144,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 58,032 | $144,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 79,560 | $143,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 20,845 | $142,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 26,925 | $142,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 10,417 | $141,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 39,691 | $140,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 12,406 | $139,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 17,538 | $138,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 13,850 | $138,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 10,983 | $133,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 11,207 | $133,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 15,474 | $132,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 222,680 | $129,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 18,429 | $127,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 34,112 | $126,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 20,817 | $126,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 24,644 | $126,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 12,296 | $126,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 27,018 | $125,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 169,838 | $125,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 19,328 | $122,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 14,594 | $121,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 11,778 | $120,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 11,693 | $120,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 10,116 | $120,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 12,775 | $119,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 24,620 | $118,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 13,921 | $117,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 10,358 | $117,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 11,816 | $116,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 13,322 | $114,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 18,675 | $113,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 11,000 | $111,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 32,260 | $111,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 35,040 | $111,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,371 | $109,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 108,969 | $109,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624208 | COM NEW | 10,400 | $106,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,800 | $104,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 14,495 | $104,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 63,715 | $104,000 | thousands by filing date | |
| WAUSAU PAPER CORP | 943315101 | COM | 15,731 | $101,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 10,000 | $99,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 29,674 | $99,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 15,412 | $97,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 12,040 | $96,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 14,000 | $96,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 12,200 | $94,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 92,813 | $93,000 | thousands by filing date | principal |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 11,714 | $90,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 10,288 | $90,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,663 | $89,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 11,800 | $89,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 88,600 | $89,000 | thousands by filing date | principal |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 19,290 | $87,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 12,846 | $87,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 85,800 | $86,000 | thousands by filing date | principal |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 14,050 | $85,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 10,860 | $84,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 10,000 | $83,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 47,320 | $82,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 152,674 | $81,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 86,778 | $80,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 13,181 | $78,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 76,500 | $77,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M201 | COM NEW | 34,000 | $77,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 31,329 | $77,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 32,198 | $76,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 17,253 | $75,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 16,705 | $75,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 86,215 | $75,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 20,865 | $74,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 36,619 | $74,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 13,000 | $73,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 18,782 | $72,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 14,825 | $72,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 17,610 | $65,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 51,676 | $64,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 10,285 | $63,000 | thousands by filing date | |
| ABERDEEN | 003011103 | MUTUAL FUNDS EQ | 11,544 | $62,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 22,813 | $61,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 22,739 | $61,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 26,000 | $59,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 45,042 | $58,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 54,922 | $56,000 | thousands by filing date | |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 10,200 | $55,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 53,130 | $53,000 | thousands by filing date | principal |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 15,896 | $51,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 50,750 | $51,000 | thousands by filing date | principal |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 35,000 | $48,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 23,556 | $47,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 10,250 | $46,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 46,231 | $46,000 | thousands by filing date | principal |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 11,600 | $45,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 16,122 | $45,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 17,795 | $44,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 44,219 | $44,000 | thousands by filing date | principal |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 15,537 | $42,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 32,900 | $42,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,191 | $42,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 40,032 | $40,000 | thousands by filing date | principal |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 14,825 | $39,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 38,356 | $38,000 | thousands by filing date | principal |
| CODEXIS INC | 192005106 | COM | 10,000 | $34,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 10,170 | $34,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 16,615 | $34,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $34,000 | thousands by filing date | principal |
| IMMUNOMEDICS INC | 452907108 | COM | 17,000 | $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 |
| GTX INC | 40052B108 | COM | 36,900 | $28,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $27,000 | thousands by filing date | principal |
| SOLAZYME INC | 83415T101 | COM | 10,400 | $27,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 11,423 | $26,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 26,203 | $26,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 26,119 | $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 |
| CIENA CORP | 171779AE1 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 26,632 | $24,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 55,164 | $24,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 27,100 | $23,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $23,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 22,875 | $23,000 | thousands by filing date | principal |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,600 | $22,000 | thousands by filing date | |
| TCF FINANCIAL CORP-CW18 | 872275128 | WTS | 10,400 | $22,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $22,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 11,925 | $21,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $21,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $19,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $19,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 21,406 | $19,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 17,000 | $18,000 | thousands by filing date | principal |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 17,144 | $18,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $17,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 11,804 | $17,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,000 | $16,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 16,000 | $16,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 14,981 | $15,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 15,000 | $14,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $13,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $13,000 | thousands by filing date | principal |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 12,450 | $12,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 24,500 | $11,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $11,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| 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 | $9,000 | thousands by filing date | principal |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 11,000 | $7,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 13,500 | $6,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 19,000 | $6,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 11,600 | $6,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 18,310 | $5,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 10,000 | $3,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 13,415 | $3,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 12,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-15-000080 | this filing | 2015-11-16 | acceptance time not in the bulk data set |