13F-HR filed by SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 367 holding rows worth $480,542,000.
- Accession
- 0000919574-16-016372
- Filer
- CIK 1218583
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 368 entries on the cover page, a total value of $480,542,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $480,543,000 with VALUE read as thousands by filing date, 13F file number 028-10361. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGRT Value Fund, a series of Advisors Inner Circle Fund II028-14914
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 |
|---|---|---|---|---|---|---|
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 651,651 | $55,677,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 132,637 | $24,624,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 1,538,282 | $24,151,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 857,466 | $22,346,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 1,330,094 | $16,626,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 110,282 | $14,819,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 497,351 | $14,050,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 1,550,088 | $13,703,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 226,992 | $13,102,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 982,109 | $12,954,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 292,214 | $11,870,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 1,238,337 | $10,823,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 72,781 | $9,996,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 137,576 | $9,991,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 363,218 | $9,371,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 316,874 | $8,540,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 639,675 | $8,252,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 176,621 | $7,676,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 1,343,878 | $7,472,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 46,700 | $6,747,000 | thousands by filing date | call |
| Berkshire Hathaway Inc | 084670702 | COM | 45,650 | $6,595,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 89,317 | $3,464,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 31,795 | $3,075,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 300,809 | $3,074,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 39,939 | $2,924,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 38,000 | $2,680,000 | thousands by filing date | put |
| American Express Company | 025816109 | COM | 39,171 | $2,509,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 27,900 | $2,483,000 | thousands by filing date | put |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 156,546 | $2,254,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 41,927 | $2,179,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 803,810 | $2,170,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 2,477,674 | $2,093,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 20,466 | $1,976,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 35,768 | $1,916,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 41,600 | $1,914,000 | thousands by filing date | put |
| S&P Global,Inc. | 78409V104 | COM | 15,065 | $1,907,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 5,900 | $1,847,000 | thousands by filing date | put |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 13,379 | $1,740,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 41,963 | $1,652,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 7,900 | $1,612,000 | thousands by filing date | put |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 107,440 | $1,568,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 23,515 | $1,554,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 25,971 | $1,541,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 68,528 | $1,541,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 42,993 | $1,537,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 31,000 | $1,464,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 161,689 | $1,350,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 9,610 | $1,345,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 8,329 | $1,325,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 11,973 | $1,302,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 37,621 | $1,287,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 28,653 | $1,264,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 29,900 | $1,214,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 10,123 | $1,178,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 14,644 | $1,168,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 85,287 | $1,092,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 8,507 | $1,066,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 38,090 | $1,065,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 29,316 | $1,046,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 9,036 | $1,035,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 13,398 | $1,032,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 22,996 | $1,008,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 4,650 | $1,006,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 45,199 | $985,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 14,959 | $955,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 67,528 | $920,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 8,165 | $917,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 21,050 | $891,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 13,908 | $868,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 7,296 | $862,000 | thousands by filing date | |
| VTI | 922908769 | COM | 7,660 | $853,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 9,253 | $839,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 41,755 | $816,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 51,000 | $803,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 13,346 | $794,000 | thousands by filing date | |
| SUPERNUS PHARMACEUTICALS | 868459108 | COM | 32,103 | $794,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 20,353 | $789,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 20,157 | $781,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 20,990 | $768,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 11,996 | $766,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 135,065 | $744,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 14,083 | $739,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 18,877 | $728,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 56,130 | $728,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 38,604 | $718,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 12,406 | $715,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 24,272 | $701,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 15,730 | $691,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 51,938 | $687,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 15,368 | $676,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 45,025 | $676,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 21,372 | $674,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 160,000 | $670,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,967 | $662,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 13,324 | $661,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 4,800 | $660,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 8,227 | $651,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 5,200 | $646,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 50,440 | $639,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 23,842 | $630,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 36,380 | $627,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 49,060 | $620,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 217,516 | $613,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 9,245 | $612,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 117,820 | $610,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 6,836 | $608,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 8,337 | $601,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 177,533 | $595,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 7,358 | $593,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 9,880 | $584,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 10,760 | $583,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 6,300 | $582,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 51,425 | $576,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 42,233 | $575,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 17,450 | $570,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 22,679 | $566,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 67,250 | $565,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 16,060 | $563,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 45,180 | $553,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 6,084 | $546,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 57,344 | $544,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 104,118 | $541,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 41,716 | $541,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 7,632 | $538,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 16,656 | $534,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 55,281 | $533,000 | thousands by filing date | |
| HANCOCK WHITNEY CORPORATION | 410120109 | COM | 16,420 | $533,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 36,896 | $525,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 10,730 | $521,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 63,720 | $519,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 319,150 | $517,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 21,001 | $515,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 23,850 | $514,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 72,000 | $513,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 2,542 | $509,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 47,661 | $509,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 11,000 | $506,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 18,681 | $505,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 21,290 | $498,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 127,846 | $497,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 6,108 | $479,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 5,510 | $478,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 16,720 | $478,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 9,343 | $473,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 94,800 | $473,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 5,219 | $467,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 34,770 | $465,000 | thousands by filing date | |
| DEAN FOODS CO NEW | 242370203 | COM NEW | 28,120 | $461,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 4,500 | $458,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 22,230 | $456,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 24,646 | $453,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 6,418 | $447,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 17,552 | $442,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 50,000 | $437,000 | thousands by filing date | call |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 261,843 | $429,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 29,681 | $428,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 6,881 | $426,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 37,400 | $423,000 | thousands by filing date | call |
| ENGLOBAL CORP | 293306106 | COM | 279,957 | $423,000 | thousands by filing date | |
| TESSERA TECHNOLOGIES INC | 88164L100 | COM | 10,846 | $417,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 9,646 | $416,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 15,981 | $413,000 | thousands by filing date | |
| TEL INSTR ELECTRS CORP | 879165207 | COM | 103,106 | $402,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 10,304 | $389,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 29,183 | $385,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 13,256 | $383,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 571,057 | $383,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 29,334 | $382,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 6,152 | $381,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 19,770 | $380,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 31,630 | $377,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 9,351 | $376,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 24,120 | $375,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 3,582 | $374,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 2,500 | $372,000 | thousands by filing date | put |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 206,647 | $372,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 333,911 | $361,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 12,092 | $358,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 29,395 | $355,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 9,600 | $354,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 107,701 | $354,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 16,520 | $350,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 18,487 | $346,000 | thousands by filing date | |
| MSA SAFETY INC COM | 553498106 | Stock | 5,878 | $341,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 21,500 | $339,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 24,035 | $336,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 8,700 | $332,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 8,472 | $327,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 28,762 | $326,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 75,400 | $323,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 27,130 | $322,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 23,523 | $319,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 5,551 | $318,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 16,960 | $317,000 | thousands by filing date | |
| TOWER INTL INC | 891826109 | COM | 13,129 | $316,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 9,763 | $310,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 7,539 | $309,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 22,000 | $305,000 | thousands by filing date | call |
| VISTA OUTDOOR INC | 928377100 | COM | 7,600 | $303,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 6,148 | $297,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 74,277 | $295,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 39,700 | $294,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 41,500 | $292,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 18,555 | $290,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 81,000 | $289,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 44,050 | $288,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,400 | $283,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 19,551 | $281,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 12,916 | $281,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 75,352 | $277,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 44,100 | $273,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 35,623 | $273,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 15,691 | $270,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 172,289 | $269,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 23,740 | $266,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 32,500 | $258,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 8,149 | $257,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 15,096 | $256,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 10,769 | $252,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 2,000 | $248,000 | thousands by filing date | put |
| NRG YIELD INC | 62942X306 | COM | 15,096 | $246,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 16,877 | $245,000 | thousands by filing date | |
| KEY TECHNOLOGY INC | 493143101 | COM | 22,305 | $245,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 42,547 | $237,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 67,150 | $236,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 19,596 | $236,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,000 | $234,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 64,800 | $234,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 22,820 | $231,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 33,640 | $230,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 10,000 | $229,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 57,088 | $228,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 15,880 | $228,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 28,500 | $225,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 156,588 | $216,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 43,000 | $215,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 20,540 | $214,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 11,800 | $213,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 119,555 | $210,000 | thousands by filing date | |
| AMCON DISTRG CO | 02341Q205 | COM NEW | 2,279 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 1,800 | $201,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 10,460 | $201,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 12,221 | $201,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 12,500 | $199,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 13,168 | $199,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 16,850 | $198,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 114,878 | $198,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 82,898 | $197,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 17,119 | $196,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 23,395 | $195,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 33,104 | $192,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 26,000 | $185,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 18,950 | $183,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 19,000 | $179,000 | thousands by filing date | |
| PETROQUEST ENERGY INC COM NEW | 716748306 | Stock | 51,561 | $178,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 23,155 | $177,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 15,675 | $176,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 16,510 | $174,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 122,654 | $172,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 7,000 | $166,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 30,493 | $166,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,060 | $164,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 30,866 | $163,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 19,500 | $162,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 10,800 | $160,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 16,356 | $160,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 10,120 | $158,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 10,530 | $157,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 25,610 | $156,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 52,406 | $155,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 19,520 | $154,000 | thousands by filing date | |
| CONCURRENT COMPUTER CORP NEW | 206710402 | COM PAR $.01 | 28,016 | $154,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 12,571 | $153,000 | thousands by filing date | |
| ECHELON CORP | 27874N303 | COM NEW | 28,977 | $152,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 26,670 | $148,000 | thousands by filing date | |
| DESTINATION MATERNITY CORP | 25065D100 | COM | 20,827 | $148,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 18,490 | $147,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 49,971 | $147,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 57,500 | $145,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 31,990 | $142,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 10,022 | $141,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 41,800 | $141,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 17,970 | $140,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 27,002 | $140,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 26,080 | $138,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 27,300 | $136,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 28,258 | $136,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,000 | $135,000 | thousands by filing date | call |
| DYNASIL CORP AMER | 268102100 | COM | 136,468 | $135,000 | thousands by filing date | |
| SERVOTRONICS INC | 817732100 | COM | 11,660 | $131,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 75,100 | $131,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 12,885 | $130,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 13,781 | $129,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 24,133 | $129,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 11,151 | $128,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 19,405 | $127,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 13,551 | $127,000 | thousands by filing date | |
| SIFCO INDS INC | 826546103 | COM | 12,700 | $126,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 12,879 | $125,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 11,684 | $125,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 29,227 | $125,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 12,786 | $124,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 15,048 | $123,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 10,935 | $123,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 37,580 | $121,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 14,257 | $121,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 11,517 | $120,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 5,000 | $119,000 | thousands by filing date | call |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 14,260 | $119,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 26,955 | $118,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 13,254 | $117,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 19,362 | $117,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 11,000 | $116,000 | thousands by filing date | |
| NORTH AMERN ENERGY PARTNERS | 656844107 | COM | 46,554 | $116,000 | thousands by filing date | |
| NLI HOLDINGS INC | 629156407 | COMMON STOCK | 29,163 | $115,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 19,960 | $115,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 22,778 | $114,000 | thousands by filing date | |
| ACCESS NEWSWIRE INC | 46520M204 | COM NEW | 16,000 | $113,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 15,086 | $113,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 12,066 | $111,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 26,000 | $109,000 | thousands by filing date | call |
| IMAGE SENSING SYS INC | 45244C104 | COM | 28,850 | $109,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 20,459 | $108,000 | thousands by filing date | |
| Jason Industries Inc | 471172106 | COMMON STOCK | 48,446 | $108,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 4,000 | $108,000 | thousands by filing date | call |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 18,214 | $107,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 75,651 | $106,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 15,000 | $106,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 60,771 | $101,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 59,167 | $98,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 100,000 | $94,000 | thousands by filing date | |
| MATEON THERAPEUTICS INC COM | 57667K109 | Stock | 151,250 | $94,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 11,201 | $93,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 42,712 | $93,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 66,500 | $90,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 23,500 | $88,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 20,923 | $88,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 93,500 | $87,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 14,600 | $82,000 | thousands by filing date | call |
| SAEXPLORATION HLDGS INC | 78636X204 | COM NEW | 10,000 | $82,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 189,500 | $81,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 23,593 | $79,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 11,000 | $79,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 46,800 | $77,000 | thousands by filing date | |
| ELTEK LTD | M40184109 | ORD | 74,034 | $76,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 30,900 | $73,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 13,000 | $73,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 23,000 | $69,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 69,500 | $69,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 13,000 | $67,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 8,000 | $66,000 | thousands by filing date | call |
| SPAR GROUP INC | 784933103 | COM | 64,300 | $65,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 49,200 | $61,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 17,245 | $59,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 58,394 | $53,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 10,000 | $48,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 28,000 | $47,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 33,000 | $46,000 | thousands by filing date | |
| TOP IMAGE SYSTEMS LTD | M87896102 | ORD | 19,150 | $43,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS INC SHS NEW | Y2069P127 | Stock | 13,000 | $43,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 28,000 | $39,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 12,259 | $39,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 29,848 | $36,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 20,000 | $34,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 10,686 | $27,000 | thousands by filing date | |
| RILEY EXPLORATION PERMIAN INC COM | 88033R502 | Stock | 22,063 | $26,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 1,000 | $14,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919574-16-016372 | this filing | 2016-11-14 | acceptance time not in the bulk data set |