13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-15, with 2,382 holding rows worth $22,235,845,000.
- Accession
- 0000720672-16-000165
- Filer
- CIK 720672
- Filed
- 2016-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 5,777 entries on the cover page, a total value of $22,235,845,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $22,235,845,000 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 managerBarclays Wealth Trustees (U.S.), N.A.028-16086
- included managerJACKSON NATIONAL ASSET MANAGEMENT LLC028-06761
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 |
|---|---|---|---|---|---|---|
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 19,715 | $291,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 20,494 | $290,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 4,685 | $289,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 3,633 | $289,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 15,747 | $289,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 12,582 | $288,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 19,984 | $286,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 8,325 | $285,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 4,800 | $285,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 5,204 | $284,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 16,479 | $284,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 41,713 | $283,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 33,962 | $282,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 13,615 | $282,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 10,122 | $282,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 9,559 | $281,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 7,368 | $281,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 17,767 | $280,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 15,934 | $280,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 3,470 | $280,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 4,698 | $279,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 2,791 | $278,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 12,233 | $276,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 9,860 | $275,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,100 | $274,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 17,873 | $274,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 22,580 | $274,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 4,325 | $274,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 12,170 | $273,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 14,012 | $273,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 6,178 | $271,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 5,101 | $271,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 11,775 | $270,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 10,895 | $269,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 22,172 | $269,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 10,000 | $269,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 16,434 | $268,000 | thousands by filing date | |
| LINE CORP | 53567X101 | SPONSORED ADR | 5,550 | $268,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 2,931 | $267,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 16,737 | $267,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 31,968 | $267,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 9,698 | $267,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 3,590 | $266,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 2,188 | $266,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 18,930 | $266,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 10,686 | $266,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 6,492 | $266,000 | thousands by filing date | |
| POWERSHARES ETF TR II EURO CUR HDG | 73937B514 | ETF | 10,931 | $266,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,936 | $265,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 816 | $265,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 13,138 | $265,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 21,793 | $265,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 18,499 | $264,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 5,672 | $264,000 | thousands by filing date | |
| VIRTUS GLOBAL MULTI-SECTOR I | 92829B101 | COM | 16,638 | $263,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 30,359 | $263,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 5,603 | $262,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 12,807 | $262,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 21,717 | $262,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 16,202 | $262,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 1,901 | $261,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 32,017 | $260,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 9,343 | $259,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 1,869 | $258,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,088 | $255,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 4,300 | $255,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 7,734 | $253,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 36,178 | $253,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 4,351 | $252,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 22,762 | $252,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 6,641 | $251,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 21,255 | $249,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 5,270 | $248,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 3,572 | $247,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 14,339 | $247,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,000 | $247,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 29,275 | $246,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 31,627 | $246,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 10,318 | $246,000 | thousands by filing date | |
| MGP INGREDIENTS INC NEW | 55303J106 | COM | 6,052 | $245,000 | thousands by filing date | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 7,829 | $245,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 15,151 | $242,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 13,566 | $242,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 38,085 | $241,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 17,310 | $241,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 8,072 | $240,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 7,983 | $240,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 23,583 | $240,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 14,870 | $240,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 16,024 | $240,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 5,274 | $240,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 27,441 | $240,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 17,460 | $239,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 16,730 | $238,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 10,165 | $237,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 13,740 | $236,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 19,907 | $236,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 22,997 | $236,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 26,969 | $235,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 2,067 | $235,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 32,650 | $235,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 23,533 | $235,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 64,398 | $235,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 7,122 | $234,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 8,794 | $233,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 5,950 | $233,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,250 | $231,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 3,704 | $230,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 15,154 | $230,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 12,774 | $229,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,047 | $229,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 5,810 | $229,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 1,815 | $228,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 5,465 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,740 | $226,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 11,220 | $226,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 8,515 | $226,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 28,380 | $226,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 10,395 | $226,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 21,040 | $225,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 3,376 | $224,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 17,900 | $223,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 11,756 | $222,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 11,865 | $222,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 10,204 | $222,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,051 | $221,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 3,867 | $221,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 4,413 | $221,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 7,475 | $221,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 11,894 | $221,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 12,051 | $221,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 5,309 | $221,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 8,548 | $219,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 3,023 | $219,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 6,181 | $219,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 19,495 | $219,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 12,000 | $219,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 10,195 | $219,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,850 | $217,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,868 | $217,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 25,754 | $217,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,622 | $216,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,100 | $215,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 14,700 | $214,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,352 | $213,000 | thousands by filing date | |
| KNOWLES CORP COM | 49926D109 | Stock | 15,197 | $213,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,547 | $213,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 1,906 | $213,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,300 | $212,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 1,231 | $211,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 5,237 | $211,000 | thousands by filing date | |
| OCEAN SHORE HLDG CO NEW | 67501R103 | COM | 9,336 | $211,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 10,361 | $210,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,522 | $210,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,286 | $210,000 | thousands by filing date | |
| GUGGENHEIM RUSSELL MCAP | 78355W577 | ETF | 3,938 | $210,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 4,227 | $209,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 5,520 | $209,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 5,775 | $208,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 6,004 | $208,000 | thousands by filing date | |
| Powershs Db Multi Sector | 73936B309 | DB SILVER FUND | 6,897 | $208,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 21,122 | $207,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 3,515 | $207,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 9,014 | $207,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 2,350 | $207,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 8,399 | $207,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 11,443 | $207,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 38,286 | $205,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 6,014 | $205,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 30,165 | $205,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 9,237 | $205,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 6,371 | $204,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 14,546 | $204,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 27,770 | $204,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 45,065 | $203,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 13,829 | $203,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 18,300 | $203,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 14,650 | $203,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 4,777 | $202,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 9,500 | $202,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W882 | CONSUMR DISCRT | 2,326 | $202,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 8,451 | $201,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 31,908 | $201,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 29,900 | $201,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 2,568 | $200,000 | thousands by filing date | |
| POWERSHARES DWA TACTICAL SECTOR ROTATION PORTFOLIO | 73937B498 | ETF | 7,900 | $200,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 11,395 | $198,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 14,960 | $197,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 29,605 | $197,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 13,834 | $196,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 32,877 | $196,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 20,047 | $195,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 33,182 | $195,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 20,652 | $194,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 15,390 | $193,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 34,559 | $193,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 11,203 | $193,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 12,325 | $193,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 15,717 | $193,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 22,971 | $193,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 193,550 | $193,000 | thousands by filing date | principal |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 12,200 | $191,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 14,499 | $190,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 22,255 | $190,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 14,214 | $189,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 10,876 | $188,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 23,780 | $186,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 13,190 | $185,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 17,832 | $180,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 12,327 | $180,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 17,871 | $179,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 30,320 | $179,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 10,825 | $179,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 16,459 | $178,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 24,262 | $177,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 17,643 | $176,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 26,377 | $174,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 10,984 | $173,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 27,029 | $172,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 14,682 | $171,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 46,385 | $171,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 31,905 | $170,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 11,262 | $170,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 16,639 | $169,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 13,400 | $169,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $169,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 34,201 | $169,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 14,195 | $168,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 20,277 | $167,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 11,310 | $167,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 11,800 | $165,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 11,577 | $165,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 29,285 | $164,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 13,842 | $164,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 23,000 | $162,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 27,220 | $161,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 13,485 | $159,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 12,950 | $159,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 12,010 | $158,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,050 | $157,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 10,594 | $157,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 24,956 | $157,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 59,359 | $154,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 42,100 | $154,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 25,375 | $153,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 10,417 | $152,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 18,533 | $151,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 12,378 | $151,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 151,410 | $151,000 | thousands by filing date | principal |
| TUBEMOGUL INC COM | 898570106 | Stock | 15,900 | $151,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 19,676 | $150,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 11,458 | $150,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 11,308 | $150,000 | thousands by filing date | |
| BROOKFIELD MTG OPP INC FD IN | 112792106 | COM | 10,050 | $150,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 38,158 | $148,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 13,188 | $147,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 13,050 | $147,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 16,737 | $140,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 45,912 | $140,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 10,324 | $138,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 11,210 | $138,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 29,300 | $137,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 19,630 | $137,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 83,765 | $137,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 134,227 | $135,000 | thousands by filing date | principal |
| CALLAWAY GOLF CO | 131193104 | COM | 11,813 | $134,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 11,579 | $134,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 23,505 | $131,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 16,020 | $129,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 11,049 | $129,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 23,928 | $129,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 10,984 | $127,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 125,345 | $125,000 | thousands by filing date | principal |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,321 | $119,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 18,436 | $118,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 25,300 | $113,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 113,303 | $113,000 | thousands by filing date | principal |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,994 | $112,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 27,185 | $112,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 13,126 | $111,000 | thousands by filing date | |
| FIVE OAKS INVESTMENT CORP | 33830W106 | CMN | 19,511 | $110,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 108,970 | $109,000 | thousands by filing date | principal |
| SOTHERLY HOTELS INC | 83600C103 | COM | 20,434 | $108,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,512 | $106,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 11,319 | $106,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 18,284 | $105,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 42,900 | $105,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 25,000 | $104,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 103,276 | $103,000 | thousands by filing date | principal |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 12,372 | $102,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 11,346 | $99,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 55,000 | $93,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 16,350 | $92,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 12,000 | $90,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 88,931 | $90,000 | thousands by filing date | principal |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 10,301 | $88,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 32,548 | $88,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,000 | $87,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 40,000 | $87,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 18,414 | $87,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 51,428 | $87,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 57,098 | $87,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 23,627 | $85,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 72,484 | $84,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 15,004 | $82,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 81,188 | $81,000 | thousands by filing date | principal |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,850 | $79,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 77,250 | $78,000 | thousands by filing date | principal |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 12,708 | $77,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 11,193 | $76,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 11,820 | $75,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 89,006 | $73,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 34,832 | $71,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,237 | $71,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 31,490 | $71,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 36,394 | $68,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 13,000 | $67,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 67,276 | $67,000 | thousands by filing date | principal |
| GENWORTH FINL INC | 37247D106 | COM SHS | 13,900 | $65,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 61,425 | $61,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M201 | COM NEW | 34,750 | $58,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 10,000 | $57,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 55,229 | $56,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 53,900 | $55,000 | thousands by filing date | principal |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 42,397 | $53,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 14,350 | $53,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 22,525 | $52,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 51,000 | $52,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 26,730 | $51,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 50,000 | $49,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 15,400 | $47,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 28,875 | $45,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 26,000 | $45,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,000 | $44,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 52,500 | $44,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 40,500 | $41,000 | thousands by filing date | principal |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 39,800 | $40,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $40,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 38,776 | $40,000 | thousands by filing date | principal |
| GTX INC | 40052B108 | COM | 50,000 | $39,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 36,000 | $37,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,164 | $35,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 32,944 | $33,000 | thousands by filing date | principal |
| RADIANT LOGISTICS INC | 75025X100 | COM | 10,763 | $31,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $31,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 30,337 | $30,000 | thousands by filing date | principal |
| TIDEWATER INC | 886423102 | COM | 10,574 | $28,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $28,000 | thousands by filing date | principal |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 35,000 | $28,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $28,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 27,469 | $27,000 | thousands by filing date | principal |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 22,000 | $27,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 25,000 | $26,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $26,000 | thousands by filing date | principal |
| CIENA CORP | 171779AE1 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $24,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 23,735 | $24,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 12,725 | $23,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 20,963 | $22,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 21,888 | $21,000 | thousands by filing date | principal |
| ANTARES PHARMA INC | 036642106 | COM | 11,000 | $19,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 17,000 | $18,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $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 |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 15,000 | $17,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $16,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 15,263 | $15,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 13,000 | $15,000 | thousands by filing date | principal |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 13,022 | $13,000 | thousands by filing date | principal |
| MAGNEGAS CORP | 55939L202 | COM NEW | 21,000 | $13,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $12,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 15,050 | $11,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 10,900 | $11,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 10,000 | $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 |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $10,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 10,000 | $10,000 | thousands by filing date | principal |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 17,160 | $7,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 10,150 | $5,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 13,500 | $5,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 58,980 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-16-000165 | this filing | 2016-11-15 | acceptance time not in the bulk data set |