13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-16, with 2,234 holding rows worth $18,766,068,000.
- Accession
- 0000720672-16-000144
- Filer
- CIK 720672
- Filed
- 2016-05-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 7,720 entries on the cover page, a total value of $18,766,068,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,766,068,000 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 managerCentury Securities Associates, Inc.028-13699
- 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 |
|---|---|---|---|---|---|---|
| TCW CONV SECS FD INC | 872340104 | COM | 39,109 | $204,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 14,095 | $203,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 9,276 | $203,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 11,354 | $203,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 5,214 | $202,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 6,655 | $201,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 3,215 | $201,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 8,700 | $201,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 18,944 | $200,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,860 | $200,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 52,000 | $198,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 31,195 | $195,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 18,502 | $194,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 17,649 | $194,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 12,224 | $194,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 17,275 | $193,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 10,427 | $193,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 77,250 | $193,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 19,107 | $189,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 16,180 | $187,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 25,001 | $186,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 13,885 | $185,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 14,480 | $182,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 60,800 | $179,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 31,916 | $179,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 17,807 | $178,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 17,063 | $178,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 31,403 | $177,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 12,960 | $176,000 | thousands by filing date | |
| AMERICAN EQUITY INVT LIFE | 025676206 | COMMON STOCK | 10,427 | $175,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 33,320 | $175,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 46,200 | $175,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 14,785 | $174,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 23,729 | $174,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 17,593 | $173,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 11,326 | $172,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 12,490 | $171,000 | thousands by filing date | |
| CAROLINA BK HLDGS INC GREENS | 143785103 | COM | 10,145 | $170,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 169,800 | $170,000 | thousands by filing date | principal |
| MCCLATCHY CO | 579489105 | CL A | 160,908 | $169,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 16,680 | $167,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 12,000 | $164,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 29,748 | $162,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 10,572 | $162,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 23,229 | $162,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 20,000 | $161,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 21,477 | $160,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 10,825 | $160,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 14,037 | $159,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 13,763 | $157,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 17,444 | $157,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 83,365 | $157,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 19,085 | $154,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 17,308 | $153,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,485 | $153,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 10,827 | $153,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 152,585 | $153,000 | thousands by filing date | principal |
| BRF SA | 10552T107 | SPONSORED ADR | 10,693 | $152,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $152,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 10,417 | $151,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 76,334 | $149,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 10,444 | $146,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 99,883 | $146,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 10,000 | $142,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 13,980 | $142,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 11,794 | $141,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 10,780 | $141,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 26,700 | $139,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 17,890 | $139,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 18,008 | $138,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 12,338 | $136,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 14,109 | $136,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 17,412 | $133,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 11,971 | $132,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 67,909 | $132,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 23,611 | $132,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 21,400 | $127,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 18,939 | $126,000 | thousands by filing date | |
| HARVEST CAP CR CORP | 41753F109 | COM | 10,275 | $125,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 13,050 | $123,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 19,000 | $123,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 16,073 | $122,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 11,313 | $122,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 19,611 | $121,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 12,424 | $120,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 20,371 | $119,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 48,200 | $119,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 25,300 | $118,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 23,457 | $118,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 20,292 | $115,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 115,000 | $115,000 | thousands by filing date | principal |
| CALLAWAY GOLF CO | 131193104 | COM | 12,313 | $112,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 11,391 | $112,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 11,825 | $112,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 21,590 | $112,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 49,089 | $111,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 10,240 | $111,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 15,474 | $110,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,371 | $108,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 16,571 | $107,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 28,090 | $107,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 83,765 | $106,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,849 | $104,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 60,000 | $100,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 18,093 | $100,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 10,170 | $100,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 10,735 | $99,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 14,521 | $99,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 17,293 | $99,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 11,425 | $99,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 12,575 | $98,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 10,900 | $98,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 10,208 | $97,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 21,065 | $97,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 32,715 | $96,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 12,891 | $95,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 94,488 | $93,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 13,500 | $91,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 27,200 | $91,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 42,220 | $90,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 12,727 | $89,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 21,979 | $89,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 64,115 | $89,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 86,806 | $87,000 | thousands by filing date | principal |
| CYPRESS ENVIRONMENTL PARTNR | 232751107 | LTD PARTNER INT | 10,540 | $87,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 26,330 | $86,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 15,292 | $86,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 14,526 | $85,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,066 | $84,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 23,900 | $83,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 12,300 | $82,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 45,791 | $82,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 24,717 | $82,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 16,233 | $80,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 13,193 | $79,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 19,575 | $77,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 19,900 | $75,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 13,800 | $74,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 39,800 | $72,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 13,029 | $71,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 44,819 | $71,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 23,248 | $69,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 11,909 | $66,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 18,165 | $65,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 62,823 | $64,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 11,193 | $62,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 11,545 | $62,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 10,000 | $61,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,823 | $61,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 21,836 | $61,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 12,725 | $61,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 26,000 | $61,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 11,995 | $60,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 10,015 | $59,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 13,115 | $58,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 56,983 | $57,000 | thousands by filing date | principal |
| EXELIXIS INC COM | 30161Q104 | Stock | 14,000 | $56,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 11,000 | $56,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 19,215 | $56,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 50,153 | $53,000 | thousands by filing date | |
| CENCORA INC | 03073E905 | CALL | 564 | $49,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 16,172 | $49,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 50,000 | $47,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 11,436 | $43,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 41,359 | $41,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 39,100 | $39,000 | thousands by filing date | principal |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 67,182 | $38,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 38,095 | $38,000 | thousands by filing date | principal |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 28,000 | $37,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 32,500 | $36,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 34,825 | $35,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $34,000 | thousands by filing date | principal |
| ICONIX BRAND GROUP INC | 451055AE7 | NOTE | 33,660 | $34,000 | thousands by filing date | principal |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 56,700 | $33,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 16,300 | $32,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,000 | $31,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 30,000 | $31,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $30,000 | thousands by filing date | principal |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 12,550 | $30,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,933 | $29,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 25,000 | $29,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 29,225 | $29,000 | thousands by filing date | principal |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $27,000 | thousands by filing date | principal |
| BIOLASE INC | 090911108 | COMMON STOCK | 19,526 | $26,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 26,094 | $26,000 | thousands by filing date | principal |
| CIENA CORP | 171779AE1 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| GTX INC | 40052B108 | COM | 50,000 | $25,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 25,360 | $25,000 | thousands by filing date | principal |
| BIND THERAPEUTICS INC | 05548N107 | Cmn | 11,260 | $25,000 | 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 | 14,100 | $23,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 24,853 | $23,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 22,938 | $23,000 | thousands by filing date | principal |
| SOLAZYME INC | 83415T101 | COM | 10,800 | $22,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $22,000 | thousands by filing date | principal |
| GOODRICH PETE CORP | 382410405 | COM NEW | 211,780 | $21,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 35,000 | $21,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 20,025 | $20,000 | thousands by filing date | principal |
| VOLCANO CORP | 928645AB6 | CORPORATE OBLIG | 20,000 | $20,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 12,925 | $20,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 25,515 | $19,000 | thousands by filing date | |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $19,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| INTREPID POTASH INC | 46121Y102 | COM | 15,212 | $17,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 17,000 | $17,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 16,000 | $17,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 19,813 | $16,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $15,000 | thousands by filing date | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 16,000 | $15,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 14,963 | $15,000 | thousands by filing date | principal |
| DURECT CORP | 266605104 | COM | 11,335 | $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 |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 172,241 | $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 |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 13,500 | $14,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 37,989 | $13,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 53,727 | $13,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $12,000 | thousands by filing date | principal |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 21,262 | $12,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 12,047 | $12,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,000 | $11,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $11,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 11,000 | $11,000 | thousands by filing date | principal |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 10,000 | $10,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 10,375 | $10,000 | thousands by filing date | principal |
| ONCOLYTICS BIOTECH INC | 682310107 | COM | 24,500 | $8,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 17,160 | $7,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 10,000 | $7,000 | thousands by filing date | principal |
| LinnCo, LLC | 535782106 | LTD | 13,574 | $5,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 10,500 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 58,628 | $2,000 | thousands by filing date | |
| LPATH INC-CLASS A | 548910306 | CMN | 13,415 | $2,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 18,310 | $1,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 12,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-16-000144 | this filing | 2016-05-16 | acceptance time not in the bulk data set |