13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 5,931 holding rows worth $140,775,240,000.
- Accession
- 0000948046-14-000057
- Filer
- CIK 948046
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 17,093 entries on the cover page, a total value of $140,775,240,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $140,775,240,000 with VALUE read as thousands by filing date, 13F file number 028-10103. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerDeutsche Bank Trust Co Americas028-13777
- included managerBT ALEX BROWN INC /028-05033
- included managerDWS Investment GmbH028-10152
- included managerDEUTSCHE ASSET MANAGEMENT LTD028-10154
- included managerDeutsche Asset Management Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Asset Management Schwiez028-11401
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerOppenheim Kapitalanagegessellschaft mbH028-13920
- included managerSAL Oppenheim Jr. & Cie.AG & Co.KGaA028-13922
- included managerFrankfurt-Trust Invest Luxembourg AG028-13918
- included managerFrankfurt-Trust Investment Gesellschaft mit beschrankter Haftung028-13919
- included managerAbbey Life Assurance Co Ltd.028-13916
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 |
|---|---|---|---|---|---|---|
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 29,770 | $385,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 34,472 | $384,000 | thousands by filing date | |
| TOWNEBANK PORTSMOUTH VA | 89214P109 | COM | 24,762 | $384,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 18,091 | $382,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 21,729 | $382,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 32,000 | $381,000 | thousands by filing date | |
| INTERMUNE INC | 45884XAF0 | NOTE 2.500%12/1 | 145,000 | $381,000 | thousands by filing date | principal |
| FT MEGA CAP ALPHADEX FD ETF(FMK) | 33737M508 | ETF | 15,312 | $380,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 11,074 | $379,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 37,796 | $379,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 19,000 | $378,000 | thousands by filing date | |
| EMC INS GROUP INC | 268664109 | COM | 10,654 | $378,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 6,760 | $376,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 152,186 | $376,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 17,567 | $375,000 | thousands by filing date | |
| EPIQ SYSTEMS INC | 26882D109 | COM | 27,604 | $375,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 11,000 | $373,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 49,935 | $373,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 6,804 | $371,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 13,158 | $371,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 93,719 | $370,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 29,308 | $370,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 42,735 | $369,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 48,472 | $369,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 56,862 | $368,000 | thousands by filing date | call |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 18,335 | $367,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 20,757 | $366,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 6,748 | $365,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 10,192 | $365,000 | thousands by filing date | |
| KALOBIOS PHARMACEUTICALS INC | 48344T100 | COM | 135,006 | $365,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 24,815 | $363,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 5,000 | $363,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 25,747 | $362,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 46,137 | $361,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 17,001 | $361,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 34,804 | $360,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 25,204 | $359,000 | thousands by filing date | |
| SIMPLICITY BANCORP INC | 828867101 | COM | 20,371 | $358,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 24,733 | $357,000 | thousands by filing date | |
| GRAMERCY PPTY TR INC | 38489R100 | COM | 69,323 | $357,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 2,804 | $355,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 10,249 | $354,000 | thousands by filing date | |
| REALD INC | 75604L105 | COMMON STOCK | 31,698 | $353,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 6,568 | $353,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 8,582 | $352,000 | thousands by filing date | |
| PC CONNECTION INC | 69318J100 | COM | 17,329 | $351,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 17,885 | $351,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 350,000 | $351,000 | thousands by filing date | principal |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 4,542 | $350,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 21,112 | $350,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 33,716 | $350,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 17,028 | $349,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 52,584 | $349,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 326 | $349,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 25,451 | $349,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 17,663 | $347,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 52,318 | $347,000 | thousands by filing date | |
| RPM INTL INC | 749685AT0 | NOTE 2.250%12/1 | 300,000 | $347,000 | thousands by filing date | principal |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 34,400 | $346,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 19,462 | $345,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 7,938 | $345,000 | thousands by filing date | |
| E*TRADE FINANCIAL | 269246AZ7 | CONV BND | 155,000 | $345,000 | thousands by filing date | principal |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 350,000 | $344,000 | thousands by filing date | principal |
| DBX ETF TR | 233051408 | FUND | 13,362 | $343,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 56,793 | $343,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328AA8 | NOTE 4.500% 7/1 | 340,000 | $343,000 | thousands by filing date | principal |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 17,358 | $342,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 41,285 | $342,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 13,082 | $341,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,761 | $340,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 22,929 | $339,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 67,553 | $339,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 27,575 | $338,000 | thousands by filing date | |
| E2OPEN INC | 29788A104 | COM | 14,395 | $338,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 9,738 | $337,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 28,083 | $334,000 | thousands by filing date | |
| GLYCOMIMETICS INC | 38000Q102 | COM | 20,468 | $334,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 6,875 | $334,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 19,205 | $334,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 20,961 | $333,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 41,800 | $332,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 8,488 | $332,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 9,754 | $332,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 275,000 | $332,000 | thousands by filing date | principal |
| CALAVO GROWERS INC | 128246105 | COM | 9,319 | $331,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 16,610 | $331,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 64,650 | $330,000 | thousands by filing date | put |
| BON-TON STORES INC | 09776J101 | COM | 30,217 | $330,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 51,655 | $329,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 49,644 | $329,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 10,890 | $328,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 17,948 | $328,000 | thousands by filing date | |
| LENDINGTREE INC NEW | 894675107 | COM | 10,614 | $328,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 6,614 | $326,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 12,246 | $326,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 9,356 | $326,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 24,510 | $326,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233408 | 6.50% PFD CUM CO | 13,000 | $326,000 | thousands by filing date | |
| SUPERTEX INC | 868532102 | COM | 9,908 | $326,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 18,450 | $326,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 61,453 | $325,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 18,125 | $325,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 9,455 | $325,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 26,355 | $324,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 7,223 | $324,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 22,256 | $324,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694AB3 | NOTE 3.800% 7/0 | 250,000 | $324,000 | thousands by filing date | principal |
| WARREN RESOURCES INC | 93564A100 | COM | 67,541 | $324,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 283 | $322,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 55,378 | $322,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 20,007 | $321,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 29,498 | $321,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 28,224 | $321,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 11,383 | $320,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 17,000 | $319,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 12,225 | $319,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT INC | 538034AB5 | CORPORATE OBLIG | 315,000 | $319,000 | thousands by filing date | principal |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 107,936 | $319,000 | thousands by filing date | |
| PULASKI FINANCIAL CORP | 745548107 | COM | 30,300 | $319,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W711 | GLB NAT RES FD | 15,000 | $319,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 16,700 | $318,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 10,486 | $317,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 22,430 | $317,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 300,000 | $317,000 | thousands by filing date | principal |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 12,482 | $316,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 34,474 | $316,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 8,621 | $314,000 | thousands by filing date | |
| MARKET VECTORS GLOBAL ALT | 57061R593 | COMMON | 5,150 | $314,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 24,683 | $314,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 12,739 | $313,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 65,477 | $313,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 18,594 | $312,000 | thousands by filing date | |
| ZIPREALTY INC | 98974V107 | COM | 95,400 | $312,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,797 | $311,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 8,128 | $311,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 150,000 | $310,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 8,585 | $309,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 29,345 | $309,000 | thousands by filing date | |
| PROSHARES TR | 74347R180 | ULTR 7-10 TREA | 5,989 | $309,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 27,252 | $309,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 27,147 | $309,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 8,631 | $308,000 | thousands by filing date | |
| GREAT NORTHERN IRON OR PPTY | 391064102 | COM | 16,173 | $308,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 12,665 | $307,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 11,422 | $307,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 13,340 | $307,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 300,000 | $307,000 | thousands by filing date | principal |
| EGAIN CORP | 28225C806 | COM NEW | 43,430 | $306,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 17,760 | $306,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 8,975 | $305,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 7,768 | $305,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 30,609 | $305,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 251,129 | $305,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 15,581 | $304,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 13,677 | $303,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 8,483 | $302,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 227,190 | $302,000 | thousands by filing date | |
| VANTAGESOUTH BANCSHARES INC | 92209W105 | COM | 43,038 | $302,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 19,216 | $301,000 | thousands by filing date | |
| INTL SHIPHOLDING CORP | 460321201 | COM | 10,259 | $301,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 30,267 | $300,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 6,939 | $299,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 13,324 | $299,000 | thousands by filing date | |
| CARDINAL FINANCIAL CORP | 14149F109 | COMMON STOCK | 16,748 | $298,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 11,063 | $298,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 23,087 | $298,000 | thousands by filing date | |
| BARNES GROUP INC | 067806AD1 | BOND | 220,000 | $298,000 | thousands by filing date | principal |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 2,800 | $297,000 | thousands by filing date | |
| FIRSTSERVICE CORP | 33761N109 | SUB VTG SH | 6,281 | $297,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383Q135 | GUGG CHN TECH | 8,502 | $297,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 295,000 | $297,000 | thousands by filing date | principal |
| SFX ENTMT INC | 784178303 | COM | 42,230 | $296,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 11,642 | $295,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 35,785 | $295,000 | thousands by filing date | |
| FAMOUS DAVE'S OF AMERICA | 307068106 | COM | 12,047 | $294,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 15,684 | $294,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 167,400 | $294,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 280,632 | $293,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 17,760 | $293,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 16,646 | $292,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 83,717 | $292,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 11,360 | $292,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 6,216 | $291,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 10,852 | $291,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 29,272 | $291,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 12,746 | $290,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 15,763 | $289,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 15,976 | $289,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 5,744 | $288,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 132,334 | $287,000 | thousands by filing date | |
| OMNICARE INC | 681904AN8 | NOTE 3.750%12/1 | 127,000 | $287,000 | thousands by filing date | principal |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 10,000 | $287,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 19,720 | $287,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 52,655 | $286,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 67,347 | $286,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729NBP4 | NOTE 7.000% 3/1 | 185,000 | $284,000 | thousands by filing date | principal |
| HYDE PK ACQUISITION CORP II | 448640102 | COMMON | 27,309 | $284,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 13,136 | $283,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 14,379 | $282,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 20,600 | $282,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 7,383 | $281,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 13,754 | $280,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 5,450 | $280,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 8,070 | $280,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 85,100 | $280,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 275,000 | $280,000 | thousands by filing date | principal |
| CHIMERIX INC COM | 16934W106 | Stock | 12,224 | $279,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 6,541 | $278,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 19,030 | $278,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 18,025 | $278,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X309 | S NETWRK FUT VEH | 6,733 | $277,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 20,781 | $277,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 11,461 | $277,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502804 | UNIT 11/17/20166 | 2,571 | $277,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 10,516 | $276,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 3,335 | $275,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 6,021 | $275,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 25,000 | $275,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 28,094 | $275,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 3,524 | $274,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 12,079 | $274,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 13,950 | $274,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 30,800 | $274,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 20,560 | $272,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 11,210 | $272,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 47,359 | $272,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 3,952 | $272,000 | thousands by filing date | |
| NAUGATUCK VY FINL CORP MD | 63906P107 | COM | 36,137 | $272,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 8,356 | $271,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 33,619 | $270,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 19,829 | $270,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 10,745 | $270,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 36,069 | $268,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 14,800 | $267,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 8,457 | $266,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 7,862 | $265,000 | thousands by filing date | |
| CURRENCYSHARES SWISS FRANC TRU | 23129V109 | ETF | 2,400 | $265,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 8,445 | $264,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 13,822 | $264,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 19,829 | $264,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461133 | Stock | 14,579 | $264,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 9,757 | $263,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 9,210 | $263,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P176 | ROGRS ENH ETNS | 10,901 | $263,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 31,016 | $262,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 21,785 | $262,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 18,445 | $262,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 13,789 | $262,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 690,000 | $262,000 | thousands by filing date | principal |
| NOVAVAX INC | 670002104 | COMMON STOCK | 57,741 | $261,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 19,211 | $261,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 11,890 | $260,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 39,507 | $260,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 137,573 | $260,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 8,750 | $259,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 16,831 | $259,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 2,446 | $258,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,636 | $258,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 132,601 | $258,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 5,062 | $257,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 7,725 | $257,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 5,500 | $257,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 250,000 | $256,000 | thousands by filing date | principal |
| COHU INC | 192576106 | COM | 23,907 | $255,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,806 | $254,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 13,506 | $254,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 5,587 | $254,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 5,621 | $254,000 | thousands by filing date | |
| INTEROIL CORP | 460951AC0 | NOTE 2.750%11/1 | 250,000 | $254,000 | thousands by filing date | principal |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 11,032 | $253,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 33,634 | $253,000 | thousands by filing date | |
| AMERICAN WOODMARK CORP | 030506109 | COM | 7,570 | $253,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 6,757 | $252,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 33,548 | $251,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 13,600 | $251,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 67,494 | $251,000 | thousands by filing date | put |
| HAWKINS INC | 420261109 | COM | 6,842 | $250,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 59,851 | $250,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 12,651 | $247,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 11,736 | $247,000 | thousands by filing date | |
| EASTMAN KODAK CO WT EXP 090318 | 277461141 | Stock | 14,579 | $247,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 15,777 | $246,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 54,031 | $246,000 | thousands by filing date | |
| REMY INTL INC | 759663107 | COM | 10,478 | $246,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 20,606 | $246,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 24,246 | $245,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 3,587 | $245,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 13,462 | $245,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 13,696 | $245,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 14,744 | $245,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 73,861 | $245,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 14,280 | $244,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 26,775 | $243,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 228,537 | $243,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 10,200 | $242,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 7,719 | $242,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 51,500 | $242,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 5,130 | $242,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 9,163 | $241,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,021 | $241,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 990 | $241,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 5,175 | $240,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 53,302 | $240,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 46,905 | $240,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 12,126 | $240,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 8,900 | $240,000 | thousands by filing date | |
| MEDIA GENERAL INC | 584404107 | COMMON STOCK | 13,016 | $238,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 783 | $238,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 23,502 | $238,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 14,581 | $237,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 40,883 | $237,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 13,243 | $235,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 37,476 | $235,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 30,897 | $235,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 8,705 | $235,000 | thousands by filing date | |
| WEST BANCORPORATION | 95123P106 | COMMON STOCK | 15,487 | $234,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 111,024 | $234,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 84,600 | $233,000 | thousands by filing date | call |
| MVC CAPITAL INC | 553829102 | COM | 17,220 | $233,000 | thousands by filing date | |
| ACCESS NATIONAL CORP | 004337101 | COMMON STOCK | 14,342 | $232,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,459 | $231,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 12,092 | $230,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 6,441 | $229,000 | thousands by filing date | |
| GALMED PHARMACEUTICALS LTD | M47238106 | SHS | 20,000 | $229,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 17,709 | $228,000 | thousands by filing date | |
| REVLON INC | 761525609 | OPT | 8,958 | $228,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 40,792 | $228,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 15,890 | $227,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 3,973 | $226,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 27,539 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,000 | $226,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 13,239 | $226,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 59,974 | $226,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 20,445 | $226,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 24,725 | $226,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 15,778 | $226,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 17,461 | $225,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,125 | $225,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 13,530 | $225,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 11,928 | $225,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 32,607 | $225,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 13,716 | $223,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 4,788 | $222,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 6,100 | $222,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAF8 | NOTE 1.500%10/1 | 200,000 | $222,000 | thousands by filing date | principal |
| ROUNDY'S INC | 779268101 | COM | 32,487 | $222,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 84,918 | $220,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 63,201 | $219,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 14,300 | $218,000 | thousands by filing date | |
| YORK WATER CO | 987184108 | COMMON STOCK | 10,738 | $218,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 25,249 | $218,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 16,730 | $217,000 | thousands by filing date | |
| PHOTOMEDEX INC | 719358301 | COM | 13,773 | $217,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 11,895 | $216,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 36,141 | $216,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 7,959 | $216,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,652 | $215,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 15,513 | $214,000 | thousands by filing date | |
| MAZOR ROBOTICS LTD | 57886P103 | SPONSORED ADS | 10,500 | $214,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 108,928 | $214,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 4,450 | $214,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 15,250 | $213,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 6,709 | $213,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 32,335 | $213,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 70,871 | $213,000 | thousands by filing date | |
| CHART ACQUISITION CORP | 161151113 | *W EXP 12/19/201 | 403,498 | $213,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 51,802 | $212,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 26,609 | $211,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 15,356 | $210,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 16,086 | $210,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 20,878 | $209,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 4,590 | $209,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 3,616 | $209,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 17,125 | $209,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 16,998 | $207,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 6,000 | $207,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 208,500 | $206,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 27,458 | $206,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 32,723 | $205,000 | thousands by filing date | |
| BURLINGTON STORES INC COM | 122017106 | Stock | 6,950 | $204,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 12,582 | $204,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 16,115 | $204,000 | thousands by filing date | |
| WOORI FIN HLDGS CO LTD | 981063100 | ADR | 5,900 | $204,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 6,338 | $204,000 | thousands by filing date | |
| Pangaea Logistics Solutions Lt | 747717106 | PANGAEA LOGISTIC | 20,900 | $204,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 12,000 | $203,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 29,440 | $202,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 25,093 | $202,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 16,700 | $202,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 200,000 | $202,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 28,732 | $202,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 55,253 | $202,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 22,289 | $201,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 6,376 | $201,000 | thousands by filing date | call |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 10,170 | $200,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 6,034 | $200,000 | thousands by filing date | |
| PIKE ELEC CORP | 721283109 | COM | 18,635 | $200,000 | thousands by filing date | |
| MIDDLEBURG FINL CORP COM | 596094102 | COM | 11,382 | $200,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 2,210 | $200,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 2,401 | $198,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 3,025 | $198,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 5,645 | $197,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 14,285 | $197,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 6,710 | $197,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 2,220 | $196,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 6,872 | $196,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 26,456 | $194,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 3,106 | $194,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 1,500 | $194,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 9,351 | $194,000 | thousands by filing date | |
| DURATA THERAPEUTICS INC | 26658A107 | COM | 14,493 | $194,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 10,515 | $193,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 49,418 | $193,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 8,863 | $192,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 57,933 | $192,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 11,315 | $191,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 6,584 | $191,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA | 153443AH9 | NOTE 5.000%11/1 | 196,000 | $191,000 | thousands by filing date | principal |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 39,389 | $190,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 118,354 | $190,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 21,256 | $190,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 9,715 | $190,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 14,426 | $189,000 | thousands by filing date | |
| Diamond Hill Investment Group Inc | 25264R207 | Common Stock | 1,449 | $189,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 14,469 | $189,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 81,541 | $186,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 41,080 | $186,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 12,641 | $185,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 8,103 | $185,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 7,113 | $185,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 4,399 | $185,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 6,976 | $185,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,502 | $185,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 3,497 | $184,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 7,300 | $183,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 25,898 | $183,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 768,265 | $183,000 | thousands by filing date | principal |
| UNILIFE CORP NEW | 90478E103 | COM | 45,134 | $183,000 | thousands by filing date | |
| ARGAN INC | 04010E109 | COM | 6,154 | $182,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 18,307 | $182,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 6,439 | $182,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 52,736 | $182,000 | thousands by filing date | |
| ONEMAIN HOLDINGS | 85172J101 | COM | 7,267 | $182,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 7,092 | $181,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 34,502 | $181,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 10,140 | $180,000 | thousands by filing date | |
| HURCO CO | 447324104 | COM | 6,804 | $180,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 9,436 | $179,000 | thousands by filing date | put |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 7,190 | $179,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 18,982 | $179,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 11,175 | $179,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 10,713 | $179,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 9,213 | $179,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 24,192 | $178,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 23,722 | $178,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 9,246 | $177,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 21,713 | $177,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 32,050 | $177,000 | thousands by filing date | |
| HICKORYTECH CORP | 429060106 | COM | 13,895 | $177,000 | thousands by filing date | |
| GLOBAL SOURCES LTD | G39300101 | ORD | 19,868 | $177,000 | thousands by filing date | |
| NATIONAL BEVERAGE CORP COM | 635017106 | Stock | 9,053 | $176,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 10,000 | $176,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 49,797 | $175,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 6,000 | $175,000 | thousands by filing date | |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 16,301 | $174,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 12,334 | $174,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 1,925 | $173,000 | thousands by filing date | |
| CHINA NEPSTAR CHAIN DRUGSTORE | 16943C109 | ADR | 72,393 | $173,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 1,866 | $172,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 5,121 | $172,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 6,748 | $172,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119TAE4 | DEBT 5.000% 6/0 | 240,000 | $172,000 | thousands by filing date | principal |
| TWIN DISC INC | 901476101 | COMMON STOCK | 6,540 | $171,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 16,206 | $171,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 155,000 | $171,000 | thousands by filing date | principal |
| MILLER ENERGY RES INC | 600527105 | COM | 28,977 | $170,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 170,000 | $170,000 | thousands by filing date | principal |
| Micron Technology,Inc. | 595112103 | COM | 83,449 | $169,000 | thousands by filing date | put |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 14,715 | $169,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 7,547 | $169,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 42,335 | $168,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 22,132 | $168,000 | thousands by filing date | |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 8,163 | $167,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 9,300 | $167,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 6,763 | $167,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 41,089 | $167,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 59,999 | $167,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 6,373 | $167,000 | thousands by filing date | |
| AUGUSTA RES CORP | 050912203 | COM NEW | 54,456 | $167,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 7,996 | $166,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 37,760 | $165,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 22,206 | $165,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 13,158 | $165,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 14,639 | $165,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 16,953 | $165,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 16,905 | $164,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 9,487 | $164,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 27,571 | $164,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 5,686 | $164,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 160,000 | $163,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-14-000057 | this filing | 2014-05-15 | acceptance time not in the bulk data set |