13F-HR/A filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR/A for the quarter ended 2015-12-31, filed 2016-02-26, with 2,326 holding rows worth $19,124,448,000.
- Accession
- 0000720672-16-000116
- Filer
- CIK 720672
- Filed
- 2016-02-26
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, amendment of type restatement, 7,586 entries on the cover page, a total value of $19,124,448,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $19,124,448,000 with VALUE read as thousands by filing date, 13F file number 028-04621. A later restatement replaced it, so the quarter does not use it. 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 manager1919 Investment Counsel, LLC028-11345
- included managerStifel Trust Company, N.A.028-06397
- included managerCURIAN CAPITAL LLC028-10624
- included managerSterne Agee Asset Management, Inc.028-15657
- included managerBarclays Wealth Trustees (U.S.), N.A.028-16086
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 |
|---|---|---|---|---|---|---|
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 11,309 | $252,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 9,500 | $252,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 49,667 | $251,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 15,442 | $251,000 | thousands by filing date | |
| Powershares ETF KBW Insurance | 73936q777 | COM | 5,222 | $251,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 21,760 | $250,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 63,925 | $250,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 11,942 | $249,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 13,983 | $248,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 8,792 | $248,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 7,161 | $247,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 55,374 | $247,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 66,556 | $247,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 11,661 | $245,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 9,499 | $243,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 13,386 | $242,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 11,050 | $242,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 2,875 | $241,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 2,145 | $241,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 4,194 | $241,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 3,462 | $240,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 3,540 | $239,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 23,888 | $239,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 8,610 | $239,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 26,295 | $239,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 13,216 | $238,000 | thousands by filing date | |
| BIO-TECHNE CORP | 09073M104 | COM | 2,649 | $238,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 3,059 | $238,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 84,791 | $238,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 14,362 | $238,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 13,545 | $236,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 11,312 | $235,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 5,863 | $235,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 15,781 | $235,000 | thousands by filing date | |
| HORIZON BANCORP IND | 440407104 | COM | 8,375 | $234,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 11,343 | $233,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 6,435 | $233,000 | thousands by filing date | |
| AUTONATION INC COM | 05329W102 | Stock | 3,896 | $232,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 4,104 | $232,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 28,973 | $231,000 | thousands by filing date | |
| PATHWARD FINANCIAL INC | 59100U108 | COM | 5,032 | $231,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 12,220 | $231,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 15,400 | $230,000 | thousands by filing date | |
| CRITEO S A SPONS ADS | 226718104 | ADR | 5,771 | $229,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 2,462 | $229,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 6,595 | $229,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 15,167 | $228,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 10,950 | $228,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 16,982 | $228,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 9,592 | $227,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 9,720 | $227,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 5,886 | $227,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 8,834 | $226,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 7,833 | $226,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 13,740 | $225,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 15,208 | $225,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,373 | $224,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 16,200 | $224,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 11,052 | $223,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 7,144 | $223,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 23,320 | $222,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 4,480 | $220,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 41,725 | $219,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 9,544 | $219,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 8,440 | $219,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 11,434 | $218,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 43,096 | $218,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 25,447 | $218,000 | thousands by filing date | |
| SHYD | 57061R486 | ETF | 8,830 | $217,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 15,956 | $217,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 3,372 | $216,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 3,347 | $216,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 2,573 | $215,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 2,160 | $215,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 16,870 | $215,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 4,450 | $214,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 9,350 | $214,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 7,442 | $213,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 17,807 | $213,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,360 | $212,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 6,064 | $212,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 9,303 | $212,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 10,318 | $212,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 7,940 | $211,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 3,877 | $211,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 21,426 | $211,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,113 | $211,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 6,244 | $211,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 9,511 | $211,000 | thousands by filing date | |
| REXFORD INDL RLTY INC COM | 76169C100 | REIT | 12,825 | $210,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 21,507 | $210,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 16,884 | $210,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 13,224 | $210,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,112 | $210,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 2,238 | $209,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 6,484 | $209,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 112,295 | $209,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 6,650 | $209,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 2,403 | $208,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 6,897 | $207,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 37,481 | $207,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 6,782 | $204,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 8,331 | $204,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 32,650 | $204,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 149 | $203,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 26,410 | $203,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 26,454 | $202,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 5,010 | $202,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 9,450 | $201,000 | thousands by filing date | |
| EMPLOYERS HOLDINGS INC | 292218104 | COMMON STOCK | 7,323 | $200,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 12,210 | $199,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 10,800 | $199,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 12,934 | $198,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 24,982 | $198,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 17,500 | $197,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 22,282 | $196,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 13,742 | $195,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 22,400 | $195,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 14,570 | $194,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 14,479 | $194,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 24,201 | $193,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 11,507 | $192,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 15,195 | $192,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 159,027 | $192,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 14,518 | $191,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 12,288 | $191,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 12,000 | $191,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 12,303 | $191,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 70,000 | $190,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 28,911 | $189,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 28,900 | $188,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 15,470 | $188,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 13,006 | $188,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,606 | $186,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 83,765 | $186,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 25,031 | $186,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 23,973 | $185,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 184,538 | $185,000 | thousands by filing date | principal |
| INVESCO SR INCOME TR | 46131H107 | COM | 45,319 | $183,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 13,508 | $181,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 21,590 | $181,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 14,560 | $180,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 16,180 | $179,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 10,340 | $178,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,794 | $177,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 10,583 | $177,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 13,522 | $177,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $175,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,000 | $174,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 19,085 | $174,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 28,056 | $173,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 47,253 | $173,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 33,320 | $169,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 11,671 | $169,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 17,940 | $168,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 10,825 | $168,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 96,017 | $168,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 11,085 | $166,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $166,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 11,592 | $165,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 11,899 | $164,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 12,333 | $163,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 33,850 | $161,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 11,164 | $159,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 17,308 | $157,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 14,915 | $157,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 18,440 | $157,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 29,205 | $155,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 23,040 | $155,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 19,200 | $154,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 152,200 | $152,000 | thousands by filing date | principal |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 17,790 | $151,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 12,814 | $151,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 19,600 | $151,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 11,988 | $151,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 59,500 | $148,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 13,015 | $147,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 33,182 | $147,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 11,497 | $146,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 19,000 | $146,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,485 | $145,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 19,220 | $143,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 16,364 | $142,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 10,417 | $142,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 15,602 | $140,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 11,971 | $138,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 12,247 | $138,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 40,125 | $137,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 10,000 | $136,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 13,875 | $136,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 38,260 | $136,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 11,575 | $136,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 11,558 | $136,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 10,000 | $135,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 10,661 | $132,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 79,260 | $131,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 13,050 | $130,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 13,397 | $128,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 30,501 | $128,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 12,177 | $125,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 170,832 | $125,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 12,638 | $125,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 19,428 | $124,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 28,661 | $123,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 22,331 | $122,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 10,717 | $122,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 19,000 | $121,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 27,800 | $119,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 12,226 | $118,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 23,584 | $118,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 32,730 | $118,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 11,969 | $118,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 34,681 | $117,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 124,200 | $117,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 11,800 | $115,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,965 | $112,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 33,945 | $112,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 69,000 | $111,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 18,492 | $111,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 10,233 | $110,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 84,641 | $109,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 13,047 | $109,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,371 | $108,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 16,635 | $108,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 12,775 | $107,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 10,600 | $107,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 19,092 | $106,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 11,412 | $105,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 33,040 | $103,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 92,076 | $101,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 10,160 | $101,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 47,089 | $99,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 15,070 | $98,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 12,350 | $95,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 91,960 | $92,000 | thousands by filing date | principal |
| TRANSALTA CORP | 89346D107 | COM | 25,300 | $90,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 19,565 | $89,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 22,030 | $89,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 83,015 | $88,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 11,544 | $86,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 16,078 | $86,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 15,300 | $86,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 12,328 | $85,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 10,000 | $85,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 24,791 | $84,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 14,500 | $82,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 19,140 | $80,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 12,186 | $79,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 10,860 | $79,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 16,260 | $76,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 29,600 | $70,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 17,884 | $69,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 13,983 | $69,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 16,733 | $68,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 32,198 | $65,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 24,321 | $65,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 59,861 | $64,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 54,922 | $64,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 24,313 | $63,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 13,350 | $63,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 16,841 | $63,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 60,638 | $61,000 | thousands by filing date | principal |
| SUNEDISON INC | 86732Y109 | COM | 11,945 | $61,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 58,026 | $61,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 26,000 | $60,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 12,943 | $59,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 220,680 | $59,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 58,248 | $58,000 | thousands by filing date | principal |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,875 | $57,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 16,996 | $56,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 40,241 | $55,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 21,042 | $52,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 13,617 | $52,000 | thousands by filing date | |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 22,823 | $52,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 13,765 | $51,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 51,344 | $51,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 49,969 | $50,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 50,125 | $50,000 | thousands by filing date | principal |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 10,502 | $49,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 47,654 | $48,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 50,000 | $48,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 11,926 | $47,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 15,070 | $47,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 67,086 | $45,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 14,136 | $44,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,000 | $42,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 10,013 | $40,000 | thousands by filing date | |
| GOLDEN OCEAN GRP LTD | G39637106 | Equities | 37,829 | $40,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 39,450 | $39,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 37,953 | $38,000 | thousands by filing date | principal |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 37,875 | $38,000 | thousands by filing date | principal |
| HALCON RES CORP COM PAR | 40537Q506 | Stock | 30,534 | $38,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 50,000 | $35,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 34,082 | $34,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 17,500 | $31,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,054 | $30,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 12,465 | $27,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 10,800 | $27,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 12,400 | $26,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 30,188 | $25,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 11,435 | $25,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 25,438 | $25,000 | thousands by filing date | principal |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 15,370 | $24,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 37,000 | $24,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 25,000 | $24,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 15,700 | $23,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,235 | $23,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 11,925 | $22,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 28,600 | $21,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 10,213 | $21,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 17,794 | $19,000 | thousands by filing date | principal |
| LinnCo, LLC | 535782106 | LTD | 16,013 | $17,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 35,000 | $15,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 25,115 | $15,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 10,687 | $15,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 13,500 | $15,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 10,000 | $14,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 13,744 | $14,000 | thousands by filing date | principal |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 13,022 | $13,000 | thousands by filing date | principal |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 55,164 | $11,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,125 | $8,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 18,310 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 74,670 | $4,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 17,000 | $4,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 13,415 | $3,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 17,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-16-000114 | superseded | 2016-02-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000720672-16-000116 | this filing | 2016-02-26 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000720672-16-000143 | base | 2016-03-21 | acceptance time not in the bulk data set |