13F-HR filed by STIFEL FINANCIAL CORP
STIFEL FINANCIAL CORP filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-10, with 2,527 holding rows worth $25,830,102,000.
- Accession
- 0000720672-17-000062
- Filer
- CIK 720672
- Filed
- 2017-05-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 6,066 entries on the cover page, a total value of $25,830,102,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $25,830,102,000 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 |
|---|---|---|---|---|---|---|
| Vanguard Materials ETF | 92204A801 | SHS | 2,990 | $357,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 7,018 | $357,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 8,705 | $356,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 14,026 | $356,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 46,670 | $354,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 17,807 | $354,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 22,381 | $353,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 7,959 | $352,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 3,299 | $351,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 24,550 | $351,000 | thousands by filing date | |
| OPPENHEIMER ETF TR | 68386C302 | S&P SMALLCAP 600 | 5,292 | $350,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 4,192 | $349,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 2,139 | $349,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 4,614 | $348,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 4,021 | $348,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 16,303 | $347,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 12,603 | $347,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 4,992 | $346,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,748 | $346,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 8,064 | $346,000 | thousands by filing date | |
| COLONY STARWOOD | 19625X102 | Common Stock | 10,160 | $346,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 20,853 | $345,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 14,627 | $345,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 27,265 | $344,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 10,652 | $343,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 18,512 | $343,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 16,161 | $343,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B621 | PWRS INT BUYBK | 11,045 | $342,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 33,441 | $341,000 | thousands by filing date | |
| ALBANY INTL CORP | 012348108 | CL A | 7,394 | $341,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742C723 | IPATH SELCT MLP | 14,220 | $340,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 332,000 | $340,000 | thousands by filing date | principal |
| KRANESHARES TRUST CSI CHI INTERNET | 500767306 | CSI CHI INTERNET | 8,000 | $339,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 8,013 | $339,000 | thousands by filing date | |
| ASHLAND INC | 044186104 | COM | 2,787 | $338,000 | thousands by filing date | |
| SUNSHINE BANCORP INC COM | 86777J108 | Stock | 16,051 | $338,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 336,600 | $337,000 | thousands by filing date | principal |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 25,564 | $335,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 4,810 | $334,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 5,200 | $334,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 10,642 | $333,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 20,730 | $333,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 25,015 | $331,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 34,449 | $330,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 4,189 | $329,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 9,221 | $329,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 7,784 | $327,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 17,593 | $327,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,906 | $326,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 32,650 | $325,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 2,255 | $324,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 14,210 | $324,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 6,417 | $324,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 21,890 | $322,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 7,332 | $322,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 11,545 | $321,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 23,903 | $321,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 4,151 | $320,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 5,062 | $320,000 | thousands by filing date | |
| SB FINL GROUP INC DEP | 78408D204 | SHS PFD 6.5 | 20,000 | $320,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 36,388 | $319,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 9,891 | $317,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,984 | $317,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 19,756 | $316,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 312,000 | $316,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 280,000 | $316,000 | thousands by filing date | principal |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 20,167 | $315,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 9,648 | $314,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,245 | $313,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 28,768 | $313,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 14,925 | $313,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 10,905 | $312,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 7,112 | $311,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 24,094 | $310,000 | thousands by filing date | |
| SALISBURY BANCORP INC | 795226109 | COM | 8,000 | $310,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 4,356 | $307,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 27,675 | $307,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 3,018 | $306,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 12,482 | $306,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 306,340 | $306,000 | thousands by filing date | principal |
| iShares MSCI Russia ETF Special | 46434G798 | Exchange Traded Fund | 9,446 | $304,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 8,874 | $304,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 303,000 | $304,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F429 | PREFERRED SECURT | 15,066 | $303,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 12,203 | $302,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 8,708 | $302,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 12,000 | $302,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 20,300 | $302,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 24,812 | $302,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 7,412 | $301,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 5,328 | $301,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 14,485 | $301,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 31,157 | $301,000 | thousands by filing date | |
| SPDR Portfolio S&P 600 Small Cap ETF | 78468R853 | SHS | 3,690 | $300,000 | thousands by filing date | |
| CATALENT INC USD 0.01 | 148806102 | COM | 10,598 | $300,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 5,224 | $300,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 3,786 | $300,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 22,809 | $300,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 2,113 | $299,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 10,194 | $299,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 11,237 | $297,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 27,279 | $297,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 21,819 | $297,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M856 | LBT VEN COM A NE | 7,341 | $297,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 10,540 | $296,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 17,345 | $294,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 8,325 | $294,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 3,696 | $293,000 | thousands by filing date | |
| FOMENTO ECONOMICO MEXICANO S A SPON ADR UNITS | 344419106 | ADR | 3,292 | $293,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 15,676 | $293,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 6,177 | $292,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 11,343 | $291,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,490 | $290,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 20,095 | $288,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 16,109 | $287,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 11,933 | $287,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,168 | $285,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,228 | $285,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 20,147 | $284,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 6,239 | $284,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 10,646 | $284,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 3,276 | $283,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 4,867 | $283,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 10,318 | $283,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 3,640 | $282,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 11,550 | $282,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,420 | $281,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 16,238 | $281,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 285,000 | $281,000 | thousands by filing date | principal |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 135,312 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRAD FD VI | 33739H101 | FST TR GLB FD | 13,685 | $279,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 28,541 | $279,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 19,099 | $279,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 38,547 | $279,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 35,071 | $279,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 3,047 | $278,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 16,474 | $278,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 3,130 | $278,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 2,927 | $278,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 34,836 | $277,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 33,837 | $277,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 5,769 | $277,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 5,317 | $277,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 4,373 | $276,000 | thousands by filing date | |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 12,797 | $276,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 15,392 | $275,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 2,328 | $275,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 13,220 | $275,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 275,550 | $275,000 | thousands by filing date | principal |
| BLOOMIN BRANDS INC | 094235108 | COM | 13,871 | $274,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 270,578 | $274,000 | thousands by filing date | principal |
| Accelerate Diagnostics | 00430H102 | COM | 11,450 | $274,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 46,606 | $274,000 | thousands by filing date | |
| SPDR SSgA Multi-Asset Real Return ETF | 78467V103 | SHS | 11,043 | $273,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 14,063 | $272,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 33,713 | $272,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 242,206 | $270,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 6,989 | $269,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 11,215 | $269,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 255,000 | $269,000 | thousands by filing date | principal |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 4,094 | $268,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 19,135 | $268,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 223,000 | $266,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044105 | COM | 3,631 | $265,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 13,500 | $265,000 | thousands by filing date | |
| ONEMAIN HLDGS INC COM | 68268W103 | Stock | 10,628 | $264,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 15,645 | $264,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 10,000 | $264,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 255,000 | $264,000 | thousands by filing date | principal |
| APC 7.5 PFD | 032511404 | Preferred Stock | 6,071 | $264,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 23,115 | $263,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 18,084 | $263,000 | thousands by filing date | |
| CORESITE RLTY CORP | 21870Q105 | COM | 2,903 | $262,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 9,453 | $262,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 15,215 | $262,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 2,025 | $261,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 11,329 | $261,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 23,300 | $261,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 5,009 | $260,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,447 | $258,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P103 | LNG/SHT EQUITY | 7,398 | $256,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 34,879 | $256,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 16,837 | $256,000 | thousands by filing date | |
| B2GOLD CORP | 11777QAB6 | NOTE 3.250%10/0 | 240,000 | $255,000 | thousands by filing date | principal |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 68,629 | $254,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 6,040 | $254,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,690 | $254,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 11,827 | $254,000 | thousands by filing date | |
| NUVEEN PREFERRED & INCOME | 67075A106 | EXCHANGE TRADED | 10,580 | $254,000 | thousands by filing date | |
| RADIUS HEALTH INC | 750469207 | COM NEW | 6,387 | $254,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 3,023 | $254,000 | thousands by filing date | |
| CAMBREX CORP | 132011107 | COM | 4,543 | $253,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 31,387 | $252,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 15,497 | $252,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 7,728 | $252,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 12,275 | $252,000 | thousands by filing date | |
| LATIN AMERN DISCOVERY FD INC | 51828C106 | COM | 24,102 | $252,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 12,460 | $251,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 7,563 | $250,000 | thousands by filing date | |
| SPEEDWAY MOTORSPORTS INC | 847788106 | COM | 13,271 | $250,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 249,691 | $250,000 | thousands by filing date | principal |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 219,000 | $250,000 | thousands by filing date | principal |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 4,218 | $249,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 21,122 | $249,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 14,869 | $248,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 45,699 | $248,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 5,963 | $247,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 16,850 | $246,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 8,266 | $245,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 2,489 | $244,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 11,550 | $244,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,205 | $243,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 3,052 | $243,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 13,227 | $243,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 243,286 | $243,000 | thousands by filing date | principal |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 9,777 | $242,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 15,555 | $242,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 18,131 | $242,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 59,000 | $242,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 12,300 | $241,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 25,539 | $241,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 10,107 | $240,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 9,915 | $238,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 15,800 | $236,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 2,075 | $235,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 18,162 | $235,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 5,484 | $235,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 212,000 | $235,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 28,775 | $234,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 2,950 | $234,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 26,620 | $234,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 433,018 | $234,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 221,294 | $234,000 | thousands by filing date | principal |
| AMERICAN TOWER CORP NEW | 03027X407 | DEP PFD CONV SE | 2,100 | $234,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 3,960 | $233,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 2,293 | $233,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 6,555 | $233,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 229,388 | $233,000 | thousands by filing date | principal |
| LAKELAND BANCORP INC | 511637100 | COM | 11,800 | $232,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 2,525 | $232,000 | thousands by filing date | |
| FIRSTCASH HOLDINGS INC. | 33767D105 | Common Stock | 4,722 | $232,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 235,000 | $232,000 | thousands by filing date | principal |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 11,322 | $231,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,850 | $230,000 | thousands by filing date | |
| Blackrock 2022 Global In | 09258P104 | ETF | 23,000 | $230,000 | thousands by filing date | |
| NUVEEN PFD & INCOME 2022 TER | 67075T105 | COM | 9,150 | $230,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 14,100 | $229,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,051 | $229,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 11,940 | $228,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 3,315 | $228,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 16,403 | $228,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 11,896 | $228,000 | thousands by filing date | |
| GGP INC | 36174X101 | COM | 9,892 | $228,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X426 | ST STR MSCI EM | 4,041 | $227,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102X105 | COMMON STOCK | 17,322 | $227,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 11,630 | $226,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 5,805 | $226,000 | thousands by filing date | |
| BLACKROCK MUNI 2018 TERM TR | 09248C106 | COM | 15,027 | $226,000 | thousands by filing date | |
| SABRA HEALTH CARE REIT INC COM | 78573L106 | REIT | 8,022 | $225,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 2,250 | $225,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 14,740 | $225,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 9,321 | $225,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 4,006 | $225,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 9,514 | $225,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 4,000 | $224,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 36,125 | $223,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G202 | VIRTUS LIFESC BT | 5,825 | $223,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 13,675 | $222,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 27,526 | $222,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 17,500 | $222,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 84,087 | $222,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 9,919 | $221,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 7,419 | $221,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 4,964 | $221,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 196,000 | $221,000 | thousands by filing date | principal |
| ALLY FINL INC COM | 02005N100 | Stock | 10,778 | $219,000 | thousands by filing date | |
| BOISE CASCADE CO DEL | 09739D100 | COM | 8,171 | $218,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 213,000 | $218,000 | thousands by filing date | principal |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 214,000 | $218,000 | thousands by filing date | principal |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 4,821 | $217,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 15,406 | $217,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 217,000 | $217,000 | thousands by filing date | principal |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 12,154 | $215,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 27,840 | $214,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 5,135 | $214,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 235,000 | $214,000 | thousands by filing date | principal |
| HOME BANCSHARES INC COM | 436893200 | Stock | 7,930 | $213,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 23,498 | $213,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 195,000 | $213,000 | thousands by filing date | principal |
| MANITOWOC COMPANY INC | 563571108 | COM | 36,739 | $213,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 20,200 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 17,100 | $211,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 224,000 | $211,000 | thousands by filing date | principal |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 19,131 | $210,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 26,027 | $210,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 5,811 | $209,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 5,842 | $209,000 | thousands by filing date | |
| SCIENCE APPLICATIONS INTL CORP COM | 808625107 | Stock | 2,799 | $208,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 13,804 | $208,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 12,650 | $208,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 25,363 | $208,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A771 | ST STR SP CAPMKT | 4,452 | $208,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W812 | INT RT HD LONG | 8,233 | $208,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 17,068 | $207,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 13,125 | $207,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 33,736 | $207,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 13,680 | $207,000 | thousands by filing date | |
| HORACE MANN EDUCATORS CORP NEW COM | 440327104 | Stock | 5,032 | $206,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 5,115 | $206,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 7,342 | $206,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 9,920 | $206,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 3,956 | $205,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 15,778 | $205,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 3,315 | $204,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 21,233 | $204,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 8,304 | $204,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 13,651 | $203,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 11,311 | $203,000 | thousands by filing date | |
| INSIGHT SELECT INCOME FD | 45781W109 | COM | 10,721 | $203,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 4,693 | $202,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 5,852 | $202,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 32,228 | $202,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 23,889 | $201,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 16,913 | $201,000 | thousands by filing date | |
| TIVO CORP | 88870P106 | COM | 10,736 | $201,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 4,219 | $201,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 11,852 | $201,000 | thousands by filing date | |
| CUSHING ENERGY INCOME | 23162T102 | COM SH BEN INT | 20,844 | $200,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 23,902 | $199,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 12,011 | $199,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,700 | $198,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 19,477 | $197,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 16,981 | $197,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 17,163 | $197,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 18,206 | $196,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 45,755 | $195,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 95,921 | $195,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 14,532 | $194,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 47,963 | $194,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 14,513 | $190,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 20,176 | $188,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 10,026 | $188,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 55,291 | $188,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 14,600 | $187,000 | thousands by filing date | |
| MANDIANT INC | 31816QAD3 | NOTE 1.625% 6/0 | 209,000 | $187,000 | thousands by filing date | principal |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 186,638 | $187,000 | thousands by filing date | principal |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 14,658 | $186,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 15,979 | $186,000 | thousands by filing date | |
| ALBANY MOLECULAR RESH | 012423109 | COMMON STOCK | 13,300 | $185,000 | thousands by filing date | |
| MCCLATCHY CO | 579489303 | CL A NEW | 18,119 | $181,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 12,444 | $180,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 10,825 | $180,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 170,000 | $180,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 10,285 | $178,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 17,432 | $178,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 174,462 | $176,000 | thousands by filing date | principal |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 32,081 | $173,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 14,689 | $172,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 10,208 | $171,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 30,320 | $171,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 11,770 | $169,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 12,630 | $167,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 10,584 | $166,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 23,795 | $161,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 14,305 | $161,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 12,950 | $160,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,793 | $160,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 160,731 | $160,000 | thousands by filing date | principal |
| EHEALTH INC | 28238P109 | COM | 13,050 | $157,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 27,598 | $156,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 10,525 | $156,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 158,000 | $156,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 28,401 | $155,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 10,407 | $154,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 12,771 | $154,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 12,698 | $152,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 38,600 | $152,000 | thousands by filing date | |
| ARC GROUP WORLDWIDE INC | 00213H105 | COM | 35,845 | $151,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 19,287 | $149,000 | thousands by filing date | |
| LAUREATE ED INC COMMON STOCK | 518613203 | Stock | 10,252 | $147,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 18,400 | $147,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 30,289 | $144,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 10,000 | $143,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 10,449 | $141,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 17,170 | $140,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 23,742 | $140,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 10,114 | $140,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 11,107 | $139,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 25,705 | $138,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 11,231 | $137,000 | thousands by filing date | |
| NUVEEN N Y SELECT TAX FREE I | 67063V104 | SH BEN INT | 10,000 | $137,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 45,125 | $137,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 15,396 | $134,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 11,815 | $134,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 15,446 | $133,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 36,500 | $133,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 11,358 | $132,000 | thousands by filing date | |
| SOTHERLY HOTELS INC | 83600C103 | COM | 20,600 | $131,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 13,895 | $131,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,417 | $130,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 13,000 | $130,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 11,503 | $130,000 | thousands by filing date | |
| COLONY NORTHSTAR INC | 19625W104 | CL A COM | 10,129 | $130,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 12,780 | $129,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,521 | $125,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 10,050 | $124,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 121,675 | $121,000 | thousands by filing date | principal |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 15,267 | $120,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 11,363 | $119,000 | thousands by filing date | |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 11,606 | $119,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,813 | $118,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 11,081 | $115,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 21,200 | $115,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 20,000 | $114,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 22,290 | $113,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 30,200 | $113,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 20,498 | $112,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 45,353 | $112,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 13,980 | $111,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 98,185 | $111,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 111,926 | $111,000 | thousands by filing date | principal |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,413 | $110,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 10,773 | $109,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 10,000 | $107,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 35,332 | $106,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 13,836 | $105,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 12,247 | $104,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 11,905 | $104,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 45,490 | $101,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 11,000 | $101,000 | thousands by filing date | |
| NUVEEN CR OPPORTUNITIES 2022 | 67075U102 | COM | 10,000 | $100,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 28,050 | $100,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 20,555 | $99,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 10,299 | $98,000 | thousands by filing date | |
| LONG IS ICED TEA CORP | 54267E104 | COM | 25,000 | $98,000 | thousands by filing date | |
| CRYOPORT INC COM PAR $0.001 | 229050307 | Stock | 40,811 | $97,000 | thousands by filing date | |
| PEAK RESORTS INC | 70469L100 | COM | 16,800 | $96,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 19,976 | $94,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 10,379 | $93,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 15,697 | $93,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 18,090 | $92,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 27,552 | $91,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 14,620 | $91,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 12,900 | $91,000 | thousands by filing date | |
| TWO HARBORS INVENTMENT CORPO | 90187BAA9 | NOTE 6.250% 1/1 | 89,339 | $89,000 | thousands by filing date | principal |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 12,611 | $88,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 20,936 | $86,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 52,500 | $81,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 36,075 | $81,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 60,000 | $81,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 21,226 | $78,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 14,300 | $76,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 18,620 | $74,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 11,325 | $73,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 71,820 | $72,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 70,787 | $70,000 | thousands by filing date | principal |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 12,920 | $69,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 11,550 | $69,000 | thousands by filing date | |
| INNOCOLL HLDGS PLC | G4783X105 | SHS | 56,200 | $63,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 13,200 | $62,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 18,637 | $62,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 61,209 | $61,000 | thousands by filing date | principal |
| TRANSALTA CORP | 89346D107 | COM | 10,300 | $60,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 13,960 | $58,000 | thousands by filing date | |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 58,726 | $58,000 | thousands by filing date | principal |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 13,860 | $54,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 11,237 | $52,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 19,000 | $52,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 70,805 | $52,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 12,000 | $49,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 10,000 | $48,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 12,076 | $48,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 47,920 | $48,000 | thousands by filing date | principal |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 10,187 | $47,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 20,424 | $47,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 11,998 | $44,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 43,600 | $44,000 | thousands by filing date | principal |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 12,782 | $42,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 42,420 | $42,000 | thousands by filing date | principal |
| AGENUS INC | 00847G705 | COM NEW | 10,666 | $40,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 12,440 | $37,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 35,984 | $36,000 | thousands by filing date | principal |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 29,952 | $31,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 11,334 | $31,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,000 | $31,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 27,500 | $31,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 29,750 | $30,000 | thousands by filing date | principal |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 22,274 | $30,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 49,404 | $29,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 30,000 | $29,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 28,641 | $29,000 | thousands by filing date | principal |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 18,924 | $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 |
| TRANSENTERIX INC | 89366M201 | COM NEW | 23,900 | $28,000 | thousands by filing date | |
| 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 |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 24,900 | $24,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 20,919 | $22,000 | thousands by filing date | principal |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 14,372 | $20,000 | thousands by filing date | |
| NAVISTAR INTL CORP NEW | 63934EAQ1 | NOTE 4.500%10/1 | 19,663 | $20,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000720672-17-000062 | this filing | 2017-05-10 | acceptance time not in the bulk data set |