13F-HR filed by MORGAN STANLEY
MORGAN STANLEY filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-13, with 5,319 holding rows worth $211,554,953,000.
- Accession
- 0000895421-13-000483
- Filer
- CIK 895421
- Filed
- 2013-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 25,861 entries on the cover page, a total value of $211,554,953,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $211,554,965,000 with VALUE read as thousands by filing date, 13F file number 028-03432. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerBANK MORGAN STANLEY AG028-11352
- included managerMORGAN STANLEY & CO INTERNATIONAL PLC028-04312
- included managerMORGAN STANLEY & CO. LLC028-11873
- included managerMorgan Stanley Canada LTD028-13197
- included managerMorgan Stanley Capital Services LLC028-11865
- included managerMorgan Stanley Equity Services INC028-12963
- included managerMorgan Stanley Hedging Co. Ltd028-11350
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT CO028-11366
- included managerMORGAN STANLEY INVESTMENT MANAGEMENT INC028-11866
- included managerMorgan Stanley Investment Management LTD028-11867
- included managerMorgan Stanley Principal Investments, Inc.028-14305
- included managerMorgan Stanley Private Bank, National Association028-14586
- included managerMORGAN STANLEY SMITH BARNEY LLC028-13935
- included managerMorgan Stanley Strategic Investments, Inc028-12509
- included managerMorgan Stanley Uruguay Ltda.028-11533
- included managerMORGAN STANLEY PRIVATE WEALTH MANAGEMENT Ltd028-14364
- included managerMSDW Equity Financing Services (Luxembourg) S.a.r.l.028-11347
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 |
|---|---|---|---|---|---|---|
| GROUP 1 AUTOMOTIVE INC | 398905AE9 | FRNT | 109,000 | $143,000 | thousands by filing date | |
| IMMUCELL CORP | 452525306 | COM PAR | 30,086 | $142,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 28,058 | $142,000 | thousands by filing date | |
| MOUNTAIN PROV DIAMONDS INC COM NEW ISIN #CA62426E4022 SEDOL #2607948 | 62426E402 | Equities | 26,750 | $141,000 | thousands by filing date | |
| ELECSYS CORP | 28473M100 | COM | 17,646 | $141,000 | thousands by filing date | |
| CLIFTON SAVINGS BANCORP INC | 18712Q103 | COM | 11,315 | $140,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 107,000 | $140,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 56,531 | $139,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 16,214 | $139,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 34,120 | $138,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 26,188 | $138,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 11,084 | $137,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 219,110 | $137,000 | thousands by filing date | |
| EATON VANCE PA MUNI INCOME T | 27826T101 | SH BEN INT | 11,992 | $137,000 | thousands by filing date | |
| NEW HAMPSHIRE THRIFT BANCSHS | 644722100 | COM | 10,032 | $135,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 140,000 | $135,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 18,858 | $135,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 17,448 | $134,000 | thousands by filing date | |
| MICREL INC | 594793101 | COM | 14,566 | $133,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 13,590 | $132,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 31,322 | $132,000 | thousands by filing date | |
| NUVEEN MA DIV AD MUNI FD | 67069P101 | cs | 10,095 | $132,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 17,678 | $131,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 86,121 | $131,000 | thousands by filing date | |
| PARAGON SHIPPING INC | 69913R408 | CL A NEW | 22,665 | $131,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 11,000 | $130,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 11,414 | $130,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 24,560 | $129,000 | thousands by filing date | |
| GSE HOLDING INC | 36191X100 | COM | 61,925 | $129,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 42,373 | $128,000 | thousands by filing date | |
| RENESOLA LTD | 75971T103 | SPONS ADS | 25,707 | $128,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 35,000 | $128,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 17,843 | $127,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 16,609 | $126,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 72,672 | $126,000 | thousands by filing date | |
| MATERIAL SCIENCES CORP | 576674105 | COM | 13,399 | $126,000 | thousands by filing date | |
| PARTNER COMMUNICATIONS CO LT | 70211M109 | ADR | 15,904 | $125,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 172,000 | $124,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 13,227 | $123,000 | thousands by filing date | |
| CHINA CORD BLOOD CORP | G21107100 | COM | 32,348 | $123,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 29,137 | $122,000 | thousands by filing date | |
| LCA-VISION INC | 501803308 | COM | 34,004 | $122,000 | thousands by filing date | |
| SYNTROLEUM CORP | 871630208 | COM | 26,444 | $122,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 50,166 | $121,000 | thousands by filing date | |
| SIMS LTD SPON ADR EA | 829160100 | Common Stock | 13,794 | $121,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 62,317 | $121,000 | thousands by filing date | |
| ISOFTSTONE HLDGS LTD | 46489B108 | SPONSORED ADS | 24,721 | $121,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 13,367 | $121,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 15,376 | $120,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 51,841 | $120,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 13,304 | $119,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 103,000 | $119,000 | thousands by filing date | |
| AMERICAN RIVER BANKSHRS (CA) | 029326105 | COM | 13,893 | $118,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 24,228 | $117,000 | thousands by filing date | |
| AMTECH SYSTEMS INC | 032332504 | COMMON STOCK | 15,947 | $116,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 30,628 | $116,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AC3 | DBCV 4.750% 4/1 | 102,000 | $116,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800C104 | ADR | 67,537 | $116,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,773 | $114,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 53,995 | $113,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 80,238 | $113,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 15,296 | $113,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 15,905 | $112,000 | thousands by filing date | |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 19,460 | $112,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 15,113 | $112,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 19,300 | $111,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 45,893 | $110,000 | thousands by filing date | |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 40,539 | $110,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 18,442 | $109,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 17,014 | $109,000 | thousands by filing date | |
| HELIOS HIGH | 42327X204 | COM NEW | 13,070 | $109,000 | thousands by filing date | |
| CAMCO FINANCIAL CORP | 132618109 | COM | 27,104 | $109,000 | thousands by filing date | |
| MICROFINANCIAL INC | 595072109 | COMMON STOCK | 13,731 | $108,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 10,097 | $107,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 25,168 | $107,000 | thousands by filing date | |
| VISIONCHINA MEDIA INC | 92833U202 | SPON ADR NEW | 50,010 | $107,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 10,648 | $106,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 24,352 | $106,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 18,025 | $105,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 12,918 | $104,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 52,259 | $103,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 18,949 | $103,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753AH2 | BOND | 100,000 | $103,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 80,000 | $103,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 11,160 | $102,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 32,514 | $102,000 | thousands by filing date | |
| GLOBAL TELECOM & TECHNOLOGY IN | 378979108 | COM | 18,984 | $102,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 10,095 | $100,000 | thousands by filing date | |
| LUCENT TECHNOLOGIES INC | 549463AH0 | CORPORATE OBLIG | 100,000 | $100,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 35,907 | $100,000 | thousands by filing date | |
| MINDSPEED TECHNOLOGIES INC | 602682205 | COM NEW | 32,938 | $100,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 38,753 | $100,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 56,892 | $99,000 | thousands by filing date | |
| Transition Therapeutics, Inc. | 893716209 | COM | 24,046 | $98,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 16,813 | $98,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 42,315 | $97,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 10,000 | $96,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 28,592 | $96,000 | thousands by filing date | |
| VENTRUS BIOSCIENCES INC | 922822101 | COM | 33,242 | $96,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 15,511 | $95,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 62,138 | $94,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 24,036 | $94,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 71,841 | $93,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 25,134 | $93,000 | thousands by filing date | |
| FORBES ENERGY SVCS LTD | 345143101 | COM | 20,055 | $93,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 10,044 | $92,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 16,440 | $92,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 51,981 | $91,000 | thousands by filing date | |
| NUVASIVE INC | 670704AC9 | CORPORATE OBLIG | 93,000 | $91,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 22,134 | $91,000 | thousands by filing date | |
| National Amern Univ Hldgs Inc | 63245q105 | COM | 26,761 | $91,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 14,914 | $91,000 | thousands by filing date | |
| NTS RLTY HLDGS LTD PARTNERSH | 629422106 | PARTSHIP UNITS | 19,298 | $91,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 42,258 | $90,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 21,283 | $89,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 12,161 | $89,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 38,183 | $88,000 | thousands by filing date | |
| GASTAR EXPL LTD | 367299203 | COM NEW | 22,042 | $88,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CA3 | CNV | 90,000 | $88,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 19,096 | $87,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 31,598 | $87,000 | thousands by filing date | |
| EXTERRAN HLDGS INC 4.250 | 30225XAA1 | NOTE 4.250% 6/1 | 70,000 | $87,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 49,034 | $87,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 12,229 | $86,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 10,056 | $86,000 | thousands by filing date | |
| TIGERLOGIC CORPORATION | 8867EQ101 | COM | 50,654 | $86,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 32,903 | $85,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 27,052 | $84,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 47,358 | $83,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 49,493 | $83,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 102,000 | $82,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 30,794 | $82,000 | thousands by filing date | |
| SB FINL GROUP INC | 78408D105 | COM | 10,386 | $81,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 21,562 | $81,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 29,999 | $81,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 12,397 | $80,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 70,134 | $80,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AK9 | DEBT | 50,000 | $80,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 47,260 | $79,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 32,200 | $79,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 16,701 | $77,000 | thousands by filing date | |
| VITRAN CORP | 92850E107 | COMMON STOCK | 15,563 | $77,000 | thousands by filing date | |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 301,000 | $77,000 | thousands by filing date | |
| KIOR INC - CL A | 497217109 | CL A | 27,459 | $77,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 16,920 | $76,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 20,285 | $76,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 10,778 | $76,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 13,223 | $75,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 37,957 | $75,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 37,805 | $75,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 22,951 | $74,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 62,000 | $74,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 27,181 | $71,000 | thousands by filing date | |
| L+L ENERGY INC | 50162D100 | COM | 55,708 | $71,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 40,166 | $71,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 25,919 | $70,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 27,396 | $70,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 13,622 | $68,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AH8 | NOTE 3.125% 7/1 | 55,000 | $68,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 10,099 | $67,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 28,319 | $66,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 15,421 | $65,000 | thousands by filing date | |
| IXIA | 45071RAB5 | NOTE 3.000%12/1 | 57,000 | $65,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 12,900 | $64,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 32,262 | $64,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 32,000 | $64,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 21,737 | $63,000 | thousands by filing date | |
| NOVACOPPER INC | 66988K102 | COM | 33,659 | $63,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 11,830 | $63,000 | thousands by filing date | |
| PAIN THERAPEUTICS INC | 69562K100 | COM | 22,775 | $62,000 | thousands by filing date | |
| AGCO CORP 1.250/15/36 | 001084AM4 | NOTE | 42,000 | $62,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 50,000 | $61,000 | thousands by filing date | |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 47,000 | $60,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 15,034 | $60,000 | thousands by filing date | |
| WHITING USA TRUST I | 966389108 | TR U | 13,254 | $60,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 41,000 | $60,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 46,800 | $59,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 21,700 | $59,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 275,725 | $58,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 44,677 | $56,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 29,471 | $56,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 11,943 | $55,000 | thousands by filing date | |
| MATTERSIGHT CORP | 577097108 | COM | 14,501 | $55,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 28,435 | $55,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 49,205 | $54,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 29,400 | $54,000 | thousands by filing date | |
| LUCENT TECHNOLOGIES INC | 549463AG2 | BOND | 55,000 | $54,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191UAA4 | NOTE 3.000%10/0 | 41,000 | $53,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 27,234 | $53,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 55,000 | $52,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 39,821 | $52,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 20,496 | $52,000 | thousands by filing date | |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 12,641 | $51,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 35,557 | $51,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 15,101 | $51,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 180,392 | $51,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407AG1 | CNV | 56,000 | $51,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 26,750 | $50,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 19,470 | $50,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 15,890 | $50,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 24,319 | $49,000 | thousands by filing date | |
| ALCOA INC | 013817AT8 | NOTE 5.250% 3/1 | 37,000 | $48,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 47,000 | $48,000 | thousands by filing date | |
| Brigus Gold Corp | 109490102 | COM | 79,500 | $47,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,300 | $46,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAB6 | DBCV 2.750% 8/1 | 41,000 | $46,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 31,943 | $46,000 | thousands by filing date | |
| ARCELORMITTAL SA LUXEMBOURG | 03938LAK0 | NOTE 5.000% 5/1 | 45,000 | $46,000 | thousands by filing date | |
| MANAGEMENT NETWORK GROUP INC | 561693201 | COM | 16,000 | $46,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 18,146 | $44,000 | thousands by filing date | |
| CHINA GERUI ADVANCED MATERIA | G21101103 | CMN | 28,603 | $44,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 30,000 | $44,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 15,437 | $43,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 54,204 | $42,000 | thousands by filing date | |
| AMBASSADORS GROUP INC | 023177108 | COM | 12,200 | $42,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 32,447 | $41,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 15,132 | $41,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 12,500 | $41,000 | thousands by filing date | |
| UNITEK GLOBAL SVCS INC | 91324T302 | COM | 34,750 | $41,000 | thousands by filing date | |
| HEADWATERS INC | 42210PAD4 | CORPORATE OBLIG | 40,000 | $40,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 40,000 | $40,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 17,783 | $39,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 46,000 | $39,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 24,029 | $39,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 22,500 | $39,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 19,050 | $39,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370AK1 | NOTE 3.375% 7/1 | 30,000 | $39,000 | thousands by filing date | |
| THERAGENICS CORP | 883375107 | COM | 17,400 | $38,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 11,049 | $38,000 | thousands by filing date | |
| RIT TECHNOLOGIES LTD | M8215Q110 | SHS | 15,344 | $38,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 23,672 | $37,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 17,350 | $36,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 10,633 | $36,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 12,400 | $36,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 13,141 | $36,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 13,647 | $36,000 | thousands by filing date | |
| DESWELL INDS INC | 250639101 | COM | 14,046 | $35,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 11,591 | $35,000 | thousands by filing date | |
| COMMTOUCH SOFTWARE LTD | M25596202 | SHS NEW | 12,990 | $35,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 12,230 | $34,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 25,100 | $34,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 29,096 | $33,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 25,072 | $33,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 16,870 | $32,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 34,233 | $32,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 17,500 | $32,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 18,371 | $31,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 15,500 | $31,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 22,065 | $31,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 31,000 | $31,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 32,161 | $31,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 17,508 | $31,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 22,000 | $31,000 | thousands by filing date | |
| BARRETT BILL CORP | 06846NAA2 | NOTE 5.000% 3/1 | 31,000 | $31,000 | thousands by filing date | |
| DAEGIS INC | 233720101 | COM | 32,773 | $31,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 28,000 | $30,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 15,070 | $29,000 | thousands by filing date | |
| AMBOW ED HLDG LTD | 02322P101 | ADR REPSTG CL A | 30,061 | $29,000 | thousands by filing date | |
| OXFORD RESOURCE PARTNERS LP | 691807101 | COM UNIT RP LP | 14,922 | $29,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 11,663 | $28,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 83,763 | $27,000 | thousands by filing date | |
| NORTHGATE MINERALS CORP | 666416AB8 | NOTE 3.500%10/0 | 28,000 | $27,000 | thousands by filing date | |
| SAPPI LTD | 803069202 | SPON ADR NEW | 10,250 | $25,000 | thousands by filing date | |
| MOLYCORP INC | 608753AA7 | CORPORATE OBLIG | 33,000 | $24,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 26,500 | $24,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 29,900 | $24,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 20,000 | $23,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 33,908 | $23,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 23,000 | $23,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 12,505 | $23,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 11,725 | $23,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 21,000 | $23,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 24,358 | $23,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 10,302 | $22,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 17,550 | $22,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 10,765 | $21,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CF5 | NOTE 4.250%12/1 | 11,000 | $21,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 31,977 | $20,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 21,353 | $20,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 15,164 | $20,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,090 | $20,000 | thousands by filing date | |
| SPORT CHALET INC | 849163209 | CL A | 17,912 | $20,000 | thousands by filing date | |
| AVIS BUDGET GROUP | 053774AB1 | NOTE 3.500%10/0 | 11,000 | $20,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 17,308 | $20,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 11,355 | $19,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 17,000 | $19,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 12,768 | $19,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 17,000 | $18,000 | thousands by filing date | |
| CRUMBS BAKE SHOP | 228803102 | COM | 16,301 | $18,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 53,388 | $17,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 13,226 | $16,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 12,216 | $16,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 15,000 | $16,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 33,000 | $16,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 10,300 | $15,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAA5 | NOTE 2.625%12/0 | 15,000 | $15,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 19,800 | $15,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 247,840 | $15,000 | thousands by filing date | |
| MORGANS HOTEL GROUP CO | 61748WAB4 | NOTE 2.375%10/1 | 14,000 | $14,000 | thousands by filing date | |
| USEC INC | 90333EAC2 | NOTE 3.000%10/0 | 60,000 | $14,000 | thousands by filing date | |
| HORNBECK OFFSHORE 1.625 | 440543AE6 | FRNT 1.625%11/1 | 12,000 | $14,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 22,000 | $13,000 | thousands by filing date | |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 12,000 | $13,000 | thousands by filing date | |
| OSSEN INNOVATION CO LTD | 688410109 | SPONSORED ADR | 20,684 | $13,000 | thousands by filing date | |
| DDR CORP | 251591AX1 | NOTE | 11,000 | $12,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 19,000 | $11,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300AD0 | NOTE 0.875%11/1 | 11,000 | $11,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 10,000 | $11,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES | 043635101 | COM | 11,414 | $10,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 10,000 | $10,000 | thousands by filing date | |
| JANUS CAPITAL GROUP INC | 47102XAG0 | CNV | 10,000 | $10,000 | thousands by filing date | |
| Tasman Metals Ltd | 87652B103 | COM | 12,000 | $10,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 12,700 | $9,000 | thousands by filing date | |
| AETRIUM INC | 00817R103 | COM | 20,000 | $8,000 | thousands by filing date | |
| LIME ENERGY CO | 53261U205 | COM NEW | 15,000 | $7,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 10,500 | $4,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 21,000 | $4,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 10,900 | $4,000 | thousands by filing date | |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 21,550 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000895421-13-000483 | this filing | 2013-11-13 | acceptance time not in the bulk data set |