13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-16, with 2,462 holding rows worth $23,553,569,000.
- Accession
- 0000720672-17-000035
- Filer
- CIK 720672
- Filed
- 2017-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 5,535 entries on the cover page, a total value of $23,553,569,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $23,553,569,000 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 |
|---|---|---|---|---|---|---|
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 17,697 | $324,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 9,235 | $324,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 3,501 | $323,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 5,890 | $322,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 40,823 | $322,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 24,093 | $322,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 45,550 | $321,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 4,522 | $320,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 9,186 | $319,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 25,973 | $319,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 19,756 | $319,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 13,825 | $318,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 7,591 | $317,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 16,541 | $316,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 16,109 | $316,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 3,108 | $312,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 30,095 | $312,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 7,038 | $311,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 40,919 | $311,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 220 | $311,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 4,746 | $310,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 14,508 | $310,000 | thousands by filing date | |
| APPLIED INDL TECHNOLOGIES INC COM | 03820C105 | Stock | 5,185 | $308,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 6,932 | $308,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 11,201 | $307,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 5,004 | $307,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 27,299 | $306,000 | thousands by filing date | |
| CF INDUSTRIES HOLD COM | 125269100 | Stock | 9,727 | $305,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 2,233 | $305,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 21,153 | $305,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 4,890 | $305,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 12,559 | $305,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 57,290 | $305,000 | thousands by filing date | |
| COLONY STARWOOD | 19625X102 | Common Stock | 10,480 | $305,000 | thousands by filing date | |
| MADISON SQUARE GRDN SPRT CORP CL A | 55825T103 | Stock | 1,777 | $304,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 5,889 | $304,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 22,342 | $303,000 | thousands by filing date | |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 9,037 | $303,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,137 | $302,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 23,944 | $302,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 6,524 | $302,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,261 | $301,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 24,969 | $301,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,000 | $300,000 | thousands by filing date | |
| GOLDMAN SACHS BDC INC | 38147U107 | SHS | 12,700 | $299,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 15,411 | $298,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,061 | $297,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 5,869 | $297,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,145 | $296,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 45,508 | $295,000 | thousands by filing date | |
| INTERACTIVE BROKERS GROUP INC COM CL A | 45841N107 | Stock | 8,058 | $294,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 14,790 | $294,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 14,323 | $293,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 17,328 | $293,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 10,561 | $291,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 22,267 | $291,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 7,478 | $291,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 7,537 | $290,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 6,040 | $289,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 9,548 | $289,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 3,590 | $288,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 13,271 | $288,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 8,312 | $287,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 7,488 | $287,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 288,151 | $287,000 | thousands by filing date | principal |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 3,463 | $286,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 5,667 | $285,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 8,658 | $284,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 21,165 | $282,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 32,650 | $282,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 28,499 | $282,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 20,085 | $281,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 17,917 | $280,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 17,173 | $280,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 13,892 | $280,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 19,671 | $279,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 7,950 | $279,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 4,215 | $278,000 | thousands by filing date | |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 8,000 | $278,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,417 | $278,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 18,920 | $278,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 17,526 | $278,000 | thousands by filing date | |
| LSC COMMUNICATIONS INC | 50218P107 | COM | 9,361 | $278,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 6,249 | $278,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 27,441 | $278,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 10,318 | $277,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 14,342 | $276,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 3,737 | $275,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 14,288 | $273,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 8,325 | $272,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 19,322 | $272,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 15,611 | $272,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 10,000 | $272,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 5,461 | $272,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 13,400 | $271,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 3,853 | $271,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 23,702 | $271,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 12,662 | $271,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 11,257 | $271,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,850 | $270,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 3,656 | $269,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,630 | $269,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 2,394 | $269,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 5,311 | $269,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C401 | ULTRA DIVID REV | 7,812 | $269,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 4,722 | $268,000 | thousands by filing date | |
| FIRST COMMUNITY CORP | 319835104 | COMMON STOCK | 14,960 | $268,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 22,797 | $266,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,265 | $266,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 25,781 | $265,000 | thousands by filing date | |
| FQF TR | 351680855 | OSHARS FTSE US | 9,653 | $265,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 12,790 | $264,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 28,925 | $263,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 9,543 | $262,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,647 | $261,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 11,190 | $260,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 5,560 | $260,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 17,663 | $259,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 11,021 | $259,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 22,672 | $259,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 17,044 | $258,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 10,556 | $257,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,549 | $257,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 20,494 | $257,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 19,300 | $257,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 3,003 | $256,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,403 | $256,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,088 | $255,000 | thousands by filing date | |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 1,881 | $255,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 4,247 | $254,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 9,101 | $253,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 27,630 | $253,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 18,994 | $253,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 4,250 | $252,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 17,832 | $252,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 21,292 | $252,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 16,310 | $252,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,680 | $251,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 13,319 | $251,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 9,269 | $250,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 29,544 | $250,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 3,828 | $250,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 3,087 | $250,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 11,980 | $249,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 21,804 | $248,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 5,496 | $248,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,300 | $247,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 10,028 | $247,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 3,251 | $247,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 16,395 | $247,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 11,246 | $246,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 23,725 | $246,000 | thousands by filing date | |
| SCHD | 808524797 | COM | 5,631 | $245,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 12,182 | $245,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 5,085 | $245,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 21,122 | $245,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B852 | S&P SMCP MAT P | 5,153 | $245,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 4,902 | $244,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 2,985 | $244,000 | thousands by filing date | |
| ISHARES TR | 46434V886 | CMN | 8,699 | $244,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 244,513 | $244,000 | thousands by filing date | principal |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 4,935 | $243,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,889 | $243,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 7,614 | $243,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 10,330 | $243,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 8,448 | $242,000 | thousands by filing date | |
| CLEARSIDE BIOMEDICAL INC | 185063104 | COM | 27,050 | $242,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 22,773 | $241,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 3,661 | $241,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,200 | $240,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 17,222 | $239,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 3,716 | $237,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 15,069 | $236,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 2,200 | $236,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,045 | $235,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 34,283 | $234,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,370 | $234,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 11,896 | $233,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 6,735 | $232,000 | thousands by filing date | |
| DBX ETF TR XTRACK | 233051861 | MSCI UK | 11,500 | $232,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 8,479 | $230,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 85,624 | $230,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 31,064 | $229,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 12,000 | $229,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 1,911 | $229,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 5,826 | $228,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 32,729 | $228,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,270 | $227,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 15,091 | $226,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 9,736 | $225,000 | thousands by filing date | |
| Vanguard International High Dividend Yield ETF | 921946794 | SHS | 3,955 | $224,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 2,758 | $224,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 3,784 | $223,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 32,481 | $223,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 3,969 | $223,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 11,852 | $223,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 4,215 | $222,000 | thousands by filing date | |
| FIRST COMMUNITY BANKSHARES | 31983A103 | COMMON STOCK | 7,363 | $222,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 15,963 | $222,000 | thousands by filing date | |
| SUMMIT MATERIALS INC CLASS A | 86614U100 | CL A | 9,191 | $221,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 16,981 | $221,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 2,525 | $221,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 21,300 | $221,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 23,578 | $221,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 18,291 | $220,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 5,709 | $219,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 9,303 | $219,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 2,075 | $218,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 11,287 | $218,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 10,495 | $218,000 | thousands by filing date | |
| FIRST TR SR FLOATING RATE 20 | 33740K101 | COM SHS | 21,685 | $218,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 4,551 | $217,000 | thousands by filing date | |
| CAE INC COM | 124765108 | Stock | 15,470 | $216,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 9,217 | $216,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 25,714 | $216,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 7,500 | $216,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 16,584 | $216,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $215,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 11,880 | $215,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 5,841 | $214,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 2,742 | $214,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 39,600 | $214,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 25,055 | $214,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,100 | $213,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 11,142 | $212,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $212,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 20,752 | $210,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 4,555 | $209,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 6,168 | $209,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 3,138 | $209,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 13,740 | $209,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 4,979 | $208,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 5,673 | $208,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 23,183 | $208,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 11,750 | $208,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 10,499 | $208,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 36,955 | $208,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 5,061 | $208,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,426 | $207,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 22,017 | $207,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,446 | $207,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 41,583 | $207,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 5,609 | $206,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 12,580 | $206,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 8,522 | $205,000 | thousands by filing date | |
| HOME BANCSHARES INC COM | 436893200 | Stock | 7,445 | $204,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 2,367 | $204,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 8,860 | $204,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 6,597 | $204,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 45,755 | $204,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 14,406 | $204,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 4,809 | $203,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 9,211 | $203,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 8,812 | $203,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,081 | $202,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 13,891 | $202,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 9,142 | $201,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,238 | $201,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 19,353 | $201,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 1,763 | $201,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 4,824 | $200,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 13,651 | $200,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 12,808 | $197,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 12,624 | $195,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 24,821 | $192,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 135,312 | $191,000 | thousands by filing date | |
| MTGE INVT CORP COM | 55378A105 | REIT | 11,984 | $191,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 10,025 | $190,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 23,287 | $189,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 11,464 | $188,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 11,819 | $188,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 34,820 | $188,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 14,700 | $187,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 16,481 | $187,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 20,801 | $186,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 11,154 | $186,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 15,219 | $186,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 12,577 | $186,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 14,507 | $185,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 64,000 | $182,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 182,520 | $182,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 181,206 | $180,000 | thousands by filing date | principal |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 15,896 | $179,000 | thousands by filing date | |
| SOLAREDGE TECHNOLOGIES INC | 83417M104 | COM | 14,339 | $178,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 30,258 | $178,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,500 | $177,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 41,713 | $176,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 170,000 | $175,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 14,744 | $174,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,455 | $174,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 90,908 | $174,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 35,000 | $174,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 16,371 | $172,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 14,035 | $171,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 20,882 | $170,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 19,145 | $169,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 34,683 | $169,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 10,407 | $167,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 22,190 | $166,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 14,099 | $165,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 23,645 | $163,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 10,825 | $163,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 22,104 | $163,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 13,251 | $163,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 32,226 | $162,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 29,805 | $159,000 | thousands by filing date | |
| VTV THERAPEUTICS INC CL A | 918385105 | Stock | 32,700 | $157,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 10,819 | $157,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,604 | $156,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 21,912 | $155,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 13,781 | $154,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 17,371 | $153,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 118,263 | $153,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 15,245 | $152,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 12,950 | $152,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 20,046 | $151,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 27,601 | $150,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 18,200 | $150,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 13,084 | $149,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 15,132 | $145,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 29,750 | $144,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 55,000 | $141,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 25,300 | $140,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 22,539 | $140,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 13,050 | $139,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 10,449 | $139,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 15,000 | $139,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 10,065 | $138,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 20,100 | $137,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 46,385 | $136,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 12,193 | $136,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 12,424 | $134,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 33,182 | $133,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $132,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 12,518 | $130,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 24,806 | $130,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 15,980 | $129,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 127,790 | $128,000 | thousands by filing date | principal |
| ASIA PAC FD INC | 044901106 | COM | 13,084 | $127,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 10,870 | $126,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 25,210 | $126,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 126,174 | $126,000 | thousands by filing date | principal |
| GRAMERCY PPTY TR COM | 385002100 | Stock | 13,767 | $126,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 11,813 | $125,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 11,259 | $125,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 16,331 | $122,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 122,514 | $122,000 | thousands by filing date | principal |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 16,547 | $119,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,067 | $116,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 12,839 | $116,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 13,750 | $114,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 26,000 | $114,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 34,832 | $113,000 | thousands by filing date | |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 10,381 | $113,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 17,439 | $112,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 112,198 | $112,000 | thousands by filing date | principal |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 11,721 | $111,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 110,900 | $111,000 | thousands by filing date | principal |
| CENTURY CASINOS INC | 156492100 | COM | 13,283 | $109,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 43,642 | $109,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 15,919 | $108,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 108,100 | $108,000 | thousands by filing date | principal |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 11,973 | $103,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 18,100 | $103,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 101,624 | $100,000 | thousands by filing date | principal |
| RICHMONT MINES INC | 76547T106 | COM | 14,900 | $98,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 19,859 | $98,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 11,046 | $97,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 12,800 | $96,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 10,527 | $90,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 13,380 | $88,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 33,953 | $87,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 23,565 | $87,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 10,990 | $84,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 84,094 | $84,000 | thousands by filing date | principal |
| LONG IS ICED TEA CORP | 54267E104 | COM | 20,000 | $83,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 11,049 | $82,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 15,090 | $81,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 52,500 | $81,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 56,686 | $81,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $75,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 12,611 | $75,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 76,000 | $75,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 10,327 | $74,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 19,523 | $71,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 34,261 | $71,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 10,595 | $69,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 17,280 | $67,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 49,354 | $67,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 21,354 | $67,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 12,676 | $65,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,000 | $61,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 13,960 | $60,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 14,717 | $59,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 57,558 | $58,000 | thousands by filing date | principal |
| Alcobra Ltd | M2239P109 | SHS | 27,500 | $58,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 10,014 | $57,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 11,418 | $56,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 25,536 | $56,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,813 | $55,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 11,237 | $52,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 70,805 | $52,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 52,391 | $52,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 52,698 | $51,000 | thousands by filing date | principal |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 25,543 | $48,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 48,434 | $48,000 | thousands by filing date | principal |
| CODEXIS INC | 192005106 | COM | 10,000 | $46,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 78,505 | $45,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $44,000 | thousands by filing date | principal |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 12,389 | $44,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 29,225 | $41,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 39,800 | $41,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 13,075 | $37,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,181 | $35,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 35,439 | $35,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 33,450 | $34,000 | thousands by filing date | principal |
| SEACHANGE INTL INC | 811699107 | COM | 14,280 | $33,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 10,005 | $32,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 31,000 | $32,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $30,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M201 | COM NEW | 22,050 | $30,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 26,000 | $29,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 29,475 | $29,000 | thousands by filing date | principal |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 30,000 | $28,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 25,000 | $26,000 | thousands by filing date | principal |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 25,688 | $26,000 | thousands by filing date | principal |
| ANTARES PHARMA INC | 036642106 | COM | 11,000 | $25,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 25,000 | $25,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 25,094 | $25,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 14,797 | $24,000 | thousands by filing date | |
| 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 | 24,047 | $24,000 | thousands by filing date | principal |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 20,000 | $23,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 22,931 | $23,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 20,894 | $22,000 | thousands by filing date | principal |
| CIVEO CORP CDA | 17878Y108 | COM | 10,000 | $22,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 19,713 | $20,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 18,000 | $18,000 | thousands by filing date | principal |
| HOLOGIC INC | 436440AG6 | FRNT 2.000%12/1 | 15,000 | $18,000 | thousands by filing date | principal |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 17,550 | $18,000 | thousands by filing date | principal |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 26,400 | $18,000 | 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 |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 15,000 | $16,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 13,000 | $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 |
| RAS 4 10/1/33 | 749227AB0 | Bond 30/360P2 U | 13,800 | $14,000 | thousands by filing date | principal |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 13,313 | $13,000 | thousands by filing date | principal |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 11,775 | $12,000 | thousands by filing date | principal |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 10,000 | $11,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 10,850 | $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 |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 12,000 | $10,000 | thousands by filing date | principal |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 10,194 | $10,000 | thousands by filing date | principal |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 10,000 | $9,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 10,000 | $9,000 | thousands by filing date | principal |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 20,000 | $8,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 11,000 | $6,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 10,300 | $4,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 17,160 | $4,000 | thousands by filing date | |
| IAO KUN GROUP HLDG CO LTD | G47204105 | ORD USD SHS | 13,500 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 60,122 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-17-000035 | this filing | 2017-02-16 | acceptance time not in the bulk data set |