13F-HR filed by SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-10, with 242 holding rows worth $171,560,000.
- Accession
- 0000919574-17-005825
- Filer
- CIK 1218583
- Filed
- 2017-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 242 entries on the cover page, a total value of $171,560,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $171,566,000 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.
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 |
|---|---|---|---|---|---|---|
| NOBLE ENERGY INC | 655044105 | COM | 273,219 | $7,732,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 244,972 | $7,293,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 38,300 | $6,487,000 | thousands by filing date | call |
| Berkshire Hathaway Inc | 084670702 | COM | 35,902 | $6,081,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 34,385 | $5,487,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 473,918 | $5,028,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 586,996 | $5,019,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 663,926 | $4,767,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 681,135 | $3,753,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 73,549 | $3,631,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 27,930 | $3,394,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 340,069 | $3,285,000 | thousands by filing date | |
| PROSHARES TR II SHT | 74347W627 | VIX ST TRM | 18,593 | $2,998,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 201,771 | $2,976,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 149,318 | $2,259,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 76,602 | $2,180,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 25,778 | $2,172,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 22,708 | $2,135,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 73,310 | $2,034,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 62,170 | $1,976,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 625,093 | $1,919,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 32,816 | $1,764,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 11,903 | $1,738,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 27,300 | $1,600,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 7,693 | $1,426,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 21,700 | $1,385,000 | thousands by filing date | put |
| COTERRA ENERGY INC COM | 127097103 | Stock | 54,193 | $1,359,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 25,901 | $1,355,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 62,606 | $1,353,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 15,211 | $1,351,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 19,912 | $1,332,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 53,046 | $1,321,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 19,974 | $1,294,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 20,242 | $1,266,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 15,100 | $1,215,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 16,800 | $1,189,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 49,110 | $1,171,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 6,572 | $1,147,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 9,476 | $1,094,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 1,090,445 | $1,010,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 5,330 | $1,003,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 22,460 | $989,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 3,600 | $977,000 | thousands by filing date | put |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 115,044 | $972,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 7,553 | $970,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 34,650 | $945,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 11,044 | $943,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 12,029 | $905,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 10,839 | $896,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 9,797 | $887,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 6,855 | $867,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 16,828 | $847,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 45,798 | $829,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 52,937 | $815,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 48,937 | $798,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 16,781 | $753,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 800 | $727,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 22,256 | $712,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 10,309 | $711,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 39,123 | $700,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 18,536 | $686,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 7,367 | $667,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 23,000 | $664,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 27,339 | $659,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 6,358 | $644,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 4,703 | $622,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 18,727 | $616,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 4,389 | $609,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 10,649 | $607,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 17,699 | $572,000 | thousands by filing date | |
| GASLOG PARTNERS LP | Y2687W108 | UNIT LTD PTNRP | 24,543 | $556,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 12,547 | $542,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 91,600 | $518,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 14,900 | $512,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 30,355 | $507,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 34,700 | $506,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 6,598 | $499,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 226,000 | $495,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 10,130 | $492,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 61,100 | $489,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 2,005 | $485,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 34,800 | $484,000 | thousands by filing date | |
| ASBURY AUTOMOTIVE GROUP INC COM | 043436104 | Stock | 8,491 | $480,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 11,827 | $471,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 3,836 | $466,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 120,000 | $464,000 | thousands by filing date | |
| SRC ENERGY INC | 78470V108 | COM | 66,577 | $448,000 | thousands by filing date | |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 7,356 | $444,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 19,000 | $440,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,935 | $430,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,476 | $426,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 13,884 | $420,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 17,953 | $411,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 19,086 | $408,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 67,335 | $404,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 30,400 | $392,000 | thousands by filing date | call |
| PCSB FINL CORP COM | 69324R104 | Stock | 22,700 | $387,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 9,957 | $386,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 49,900 | $385,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 5,202 | $380,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 15,616 | $379,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,200 | $378,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 18,950 | $377,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 8,169 | $376,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 4,500 | $375,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 4,338 | $372,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 5,206 | $371,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 21,249 | $370,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 29,954 | $356,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 10,600 | $352,000 | thousands by filing date | put |
| PATTERSON COS INC | 703395103 | COM | 7,497 | $352,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 7,758 | $348,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 5,300 | $346,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 7,648 | $345,000 | thousands by filing date | |
| MTS SYSTEMS CORP | 553777103 | COM | 6,600 | $342,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,857 | $340,000 | thousands by filing date | |
| RF INDUSTRIES LTD | 749552105 | COMMON STOCK | 187,612 | $339,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 16,948 | $338,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 9,934 | $337,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 21,100 | $336,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 10,428 | $331,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 2,773 | $328,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 18,400 | $321,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,969 | $320,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 47,743 | $317,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 10,000 | $313,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 23,842 | $311,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 881 | $309,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 19,482 | $308,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 7,254 | $304,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 37,162 | $303,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 10,398 | $294,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 4,529 | $287,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 4,414 | $283,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 3,000 | $281,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 16,323 | $278,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 24,731 | $277,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,951 | $275,000 | thousands by filing date | |
| ATKORE INC | 047649108 | COMMON STOCK | 12,128 | $273,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 16,200 | $265,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 14,806 | $261,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 10,900 | $258,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 19,400 | $254,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 700 | $253,000 | thousands by filing date | put |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 29,000 | $251,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 20,900 | $249,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 12,600 | $249,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 14,350 | $248,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 77,300 | $246,000 | thousands by filing date | call |
| GREAT ELM CAP CORP | 390320109 | COM | 22,326 | $237,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 83,973 | $235,000 | thousands by filing date | |
| RANGE RES CORP COM | 75281A109 | Stock | 10,000 | $232,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938J106 | COM | 11,428 | $231,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,600 | $230,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 19,700 | $225,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,500 | $224,000 | thousands by filing date | put |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 148,357 | $221,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 49,421 | $220,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 19,300 | $217,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 58,109 | $216,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 25,272 | $214,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 13,200 | $213,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 8,421 | $208,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,800 | $205,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 22,772 | $204,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 51,896 | $203,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 22,486 | $201,000 | thousands by filing date | |
| SCHMITT INDS INC ORE | 806870200 | COM | 112,825 | $194,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 243,417 | $192,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 14,400 | $191,000 | thousands by filing date | |
| SIGMATRON INTL INC | 82661L101 | COM | 29,538 | $190,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 23,737 | $178,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 15,200 | $165,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 14,000 | $155,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 39,676 | $154,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 29,615 | $153,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 12,500 | $144,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 15,000 | $144,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 31,000 | $138,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 27,100 | $133,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 20,900 | $133,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 17,000 | $131,000 | thousands by filing date | |
| AEROCENTURY CORP | 007737109 | COM | 10,449 | $131,000 | thousands by filing date | |
| WSI INDS INC | 92932Q102 | COM | 40,031 | $130,000 | thousands by filing date | |
| TOR MINERALS INTL INC | 890878309 | COM NEW | 16,076 | $130,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 13,000 | $129,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 11,800 | $128,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 14,000 | $127,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 91,087 | $122,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 19,000 | $118,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 49,000 | $117,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 18,314 | $114,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,600 | $113,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 49,761 | $107,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 41,064 | $106,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 95,605 | $106,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 11,000 | $105,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 100,000 | $98,000 | thousands by filing date | principal |
| OPTICAL CABLE CORP | 683827208 | COM NEW | 39,002 | $94,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 42,051 | $93,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 19,814 | $93,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 85,570 | $92,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 22,400 | $91,000 | thousands by filing date | call |
| SUMMER INFANT INC | 865646103 | COMM STK | 50,631 | $90,000 | thousands by filing date | |
| ATLANTIC AMERN CORP | 048209100 | COM | 23,369 | $88,000 | thousands by filing date | |
| GLOBAL SHIP LEASE INC NEW | Y27183105 | SHS A | 68,512 | $84,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 103,015 | $84,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 16,795 | $81,000 | thousands by filing date | |
| OCEAN BIO-CHEM INC | 674631106 | COM | 19,874 | $81,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 28,270 | $81,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 47,608 | $81,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 18,000 | $80,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 16,661 | $74,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 13,875 | $72,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 18,000 | $69,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 3,400 | $68,000 | thousands by filing date | call |
| ARTS WAY MFG INC | 043168103 | COM | 22,702 | $67,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 65,238 | $67,000 | thousands by filing date | |
| ALPHA PRO TECH LTD | 020772109 | COM | 22,000 | $65,000 | thousands by filing date | |
| INUVO INC | 46122W204 | COM NEW | 64,000 | $65,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 782 | $63,000 | thousands by filing date | |
| APPLIANCE RECYCLING CTRS AME | 03814F205 | COM NEW | 73,217 | $58,000 | thousands by filing date | |
| RETRACTABLE TECHNOLOGIES INC | 76129W105 | COM | 43,000 | $55,000 | thousands by filing date | |
| IMAGE SENSING SYS INC | 45244C104 | COM | 15,350 | $55,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 83,571 | $55,000 | thousands by filing date | |
| SMTC CORP | 832682207 | COM NEW | 38,545 | $50,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 48,664 | $50,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 22,405 | $49,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 18,000 | $46,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 10,000 | $43,000 | thousands by filing date | call |
| WIDEPOINT CORP COMMON | 967590100 | COM | 89,186 | $41,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 20,500 | $39,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,000 | $38,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 28,000 | $37,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 22,468 | $36,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 8,000 | $34,000 | thousands by filing date | |
| AVALON HLDGS CORP | 05343P109 | CL A | 13,625 | $33,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,000 | $31,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 78,853 | $31,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 23,088 | $30,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 27,607 | $25,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 15,500 | $24,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919574-17-005825 | this filing | 2017-08-10 | acceptance time not in the bulk data set |