13F-HR filed by DEUTSCHE BANK AG\
DEUTSCHE BANK AG\ filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 5,072 holding rows worth $141,465,128,000.
- Accession
- 0000948046-16-000206
- Filer
- CIK 948046
- 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, 17,879 entries on the cover page, a total value of $141,465,128,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,465,128,000 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 managerDeutsche Asset Management Investmentgesellshaft028-10155
- included managerDEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC028-10249
- included managerRREEF AMERICA LLC028-04760
- included managerDeutsche Bank (Suisse) SA028-11509
- included managerDEUTSCHE BANK NATIONAL TRUST CO028-11997
- included managerDeutsche Bank Trust CO Delaware028-11998
- included managerDeutsche Bank Trust Company, National Association028-12000
- included managerOppenheim Asset Management Services S.a.r.l028-13923
- included managerDeutsche Asset Management (UK) Ltd028-13988
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 |
|---|---|---|---|---|---|---|
| GREIF INC | 397624107 | CL A | 32,170 | $1,593,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 163,396 | $1,591,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 157,405 | $1,590,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 58,525 | $1,590,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 263,299 | $1,589,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 1,411,000 | $1,586,000 | thousands by filing date | principal |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 43,084 | $1,585,000 | thousands by filing date | |
| WORLD PT TERMS LP | 98159G107 | UNIT REP LTD PT | 105,797 | $1,585,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 55,234 | $1,582,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 54,477 | $1,577,000 | thousands by filing date | |
| EVERTEC INC | 30040P103 | COM | 94,016 | $1,576,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 91,325 | $1,571,000 | thousands by filing date | |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 62,511 | $1,571,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 113,102 | $1,571,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 825,000 | $1,569,000 | thousands by filing date | principal |
| MERIT MED SYS INC COM | 589889104 | Stock | 64,542 | $1,566,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 105,590 | $1,565,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 17,828 | $1,563,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 316,400 | $1,563,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 351,427 | $1,562,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 706,202 | $1,560,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 97,587 | $1,557,000 | thousands by filing date | |
| ESCO TECHNOLOGIES INC | 296315104 | COM | 33,576 | $1,557,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 59,936 | $1,557,000 | thousands by filing date | |
| OMNICELL COM COM | 68213N109 | Stock | 40,596 | $1,553,000 | thousands by filing date | |
| TRANSOCEAN PARTNERS LLC | Y8977Y100 | COM UNIT RP LT | 125,716 | $1,550,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 119,568 | $1,544,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 41,064 | $1,540,000 | thousands by filing date | |
| AMERICAN NATL INS | 028591105 | COMMON STOCK | 12,581 | $1,532,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 40,360 | $1,529,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 37,892 | $1,528,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 52,789 | $1,525,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 119,049 | $1,524,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 65,188 | $1,522,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 312,308 | $1,522,000 | thousands by filing date | |
| ADVANCED ACCELERATOR APPLIC SPONSORED ADS | 00790T100 | ADR | 39,900 | $1,519,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 6,591 | $1,517,000 | thousands by filing date | call |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 68,208 | $1,516,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 16,328 | $1,514,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 169,129 | $1,513,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 47,797 | $1,503,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 133,194 | $1,502,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 138,748 | $1,502,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 105,194 | $1,500,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 27,709 | $1,499,000 | thousands by filing date | call |
| ENCORE WIRE CORP | 292562105 | COM | 40,804 | $1,499,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 34,578 | $1,497,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 105,002 | $1,496,000 | thousands by filing date | |
| COLONY STARWOOD | 19625X102 | Common Stock | 51,999 | $1,490,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 286,591 | $1,487,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 179,333 | $1,485,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 360,952 | $1,482,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 146,304 | $1,478,000 | thousands by filing date | |
| MERITAGE HOMES CORP COM | 59001A102 | Stock | 42,566 | $1,476,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 181,918 | $1,475,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 42,645 | $1,473,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 75,055 | $1,473,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 32,985 | $1,472,000 | thousands by filing date | |
| AMERISAFE INC | 03071H100 | COM | 25,098 | $1,472,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 1,001 | $1,472,000 | thousands by filing date | call |
| FEDERAL MOGUL CORP | 313549404 | COM | 153,172 | $1,471,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 86,792 | $1,470,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 81,432 | $1,469,000 | thousands by filing date | |
| RED ROCK RESORTS INC | 75700L108 | CL A | 62,279 | $1,468,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 3,366 | $1,467,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 204,815 | $1,465,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 115,365 | $1,463,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 36,651 | $1,461,000 | thousands by filing date | |
| PAYLOCITY HLDG CORP COM | 70438V106 | Stock | 32,873 | $1,460,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 136,669 | $1,460,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 31,225 | $1,459,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 251,344 | $1,459,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 558,122 | $1,455,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 43,825 | $1,453,000 | thousands by filing date | |
| PENSKE AUTOMOTIVE GRP INC COM | 70959W103 | Stock | 30,080 | $1,446,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AD6 | NOTE 3.250%10/0 | 1,044,000 | $1,445,000 | thousands by filing date | principal |
| Johnson & Johnson | 478160104 | COM | 12,229 | $1,444,000 | thousands by filing date | put |
| ANALOGIC CORP | 032657207 | COM | 16,316 | $1,444,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 188,257 | $1,444,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 177,588 | $1,443,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 77,860 | $1,442,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 242,586 | $1,441,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 297,330 | $1,441,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 53,841 | $1,437,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 23,981 | $1,431,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 80,608 | $1,431,000 | thousands by filing date | |
| QAD INC-A | 74727D306 | CL A | 63,879 | $1,428,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 38,013 | $1,427,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 96,745 | $1,427,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 88,716 | $1,426,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 198,795 | $1,426,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 31,000 | $1,415,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 89,740 | $1,412,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 60,000 | $1,409,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 57,768 | $1,409,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 60,099 | $1,409,000 | thousands by filing date | |
| AMRI 2.25 11/18 | 012423AB5 | Bond 30/360P2 U | 1,195,000 | $1,407,000 | thousands by filing date | principal |
| PEAPACK GLADSTONE FINL CORP | 704699107 | COMMON STOCK | 62,701 | $1,404,000 | thousands by filing date | |
| CHASE CORP | 16150R104 | COM | 20,329 | $1,404,000 | thousands by filing date | |
| SANFILIPPO JOHN B & SON INC | 800422107 | COM | 27,364 | $1,403,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 36,015 | $1,399,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 42,654 | $1,399,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 58,023 | $1,395,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 14,239 | $1,392,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 462,467 | $1,392,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 62,709 | $1,390,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 27,974 | $1,389,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 34,178 | $1,389,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 17,908 | $1,384,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 88,895 | $1,384,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 90,790 | $1,384,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 93,584 | $1,384,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 53,898 | $1,384,000 | thousands by filing date | |
| FINANCIAL INSTITUTIONS INC | 317585404 | COMMON STOCK | 51,106 | $1,383,000 | thousands by filing date | |
| NATIONAL WESTMINSTER BK PLC | 638539882 | SPON ADR C | 53,772 | $1,383,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 85,796 | $1,383,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 50,829 | $1,382,000 | thousands by filing date | |
| BLACK KNIGHT INC | 09214X100 | COM | 33,804 | $1,381,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 76,692 | $1,379,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 31,026 | $1,373,000 | thousands by filing date | put |
| BIOAMBER INC | 09072Q106 | COM | 322,741 | $1,368,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 131,554 | $1,364,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 19,814 | $1,357,000 | thousands by filing date | call |
| MILLERKNOLL INC | 600544100 | COM | 47,484 | $1,357,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 20,111 | $1,352,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 109,692 | $1,352,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 141,091 | $1,344,000 | thousands by filing date | |
| FIRST POTOMAC RLTY TR | 33610F109 | COM | 146,943 | $1,343,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 28,421 | $1,342,000 | thousands by filing date | call |
| HYSTER-YALE INC | 449172105 | CL A | 22,352 | $1,342,000 | thousands by filing date | |
| UNIVERSAL INS HLDGS INC | 91359V107 | COM | 53,299 | $1,341,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 78,966 | $1,340,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 38,360 | $1,339,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 348,433 | $1,333,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 41,007 | $1,333,000 | thousands by filing date | |
| LENDINGTREE INC | 52603B107 | COM | 13,759 | $1,332,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 124,981 | $1,332,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 20,000 | $1,325,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 339,446 | $1,323,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 116,170 | $1,323,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 51,595 | $1,321,000 | thousands by filing date | |
| BROADCOM LTD | Y09827109 | SHS | 7,654 | $1,320,000 | thousands by filing date | call |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 89,747 | $1,319,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 80,777 | $1,318,000 | thousands by filing date | |
| BMC STK HLDGS INC | 05591B109 | COM | 74,438 | $1,318,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 90,759 | $1,317,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 117,522 | $1,316,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 3,087 | $1,316,000 | thousands by filing date | |
| ANGIODYNAMICS INC | 03475V101 | COM | 74,985 | $1,314,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 630,747 | $1,311,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 158,012 | $1,307,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 112,800 | $1,304,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 110,449 | $1,290,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 381,603 | $1,289,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 47,295 | $1,288,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 74,719 | $1,288,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 33,438 | $1,282,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 13,233 | $1,281,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 64,442 | $1,281,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 177,894 | $1,279,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 100,090 | $1,278,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 16,680 | $1,273,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 212,987 | $1,273,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 15,203 | $1,272,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 64,159 | $1,271,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 227,883 | $1,271,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 24,484 | $1,270,000 | thousands by filing date | |
| TRINITY INDS INC | 896522AF6 | NOTE 3.875% 6/0 | 1,063,000 | $1,270,000 | thousands by filing date | principal |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 314,325 | $1,269,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 123,742 | $1,267,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 68,791 | $1,261,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 28,385 | $1,261,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 224,749 | $1,259,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 71,500 | $1,255,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 29,368 | $1,255,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 45,901 | $1,250,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 66,604 | $1,249,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 43,367 | $1,248,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 25,127 | $1,248,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 24,886 | $1,247,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 153,954 | $1,247,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 119,451 | $1,244,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 550,926 | $1,242,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 38,587 | $1,240,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 153,792 | $1,239,000 | thousands by filing date | |
| MOTORCAR PARTS OF AMERICA IN | 620071100 | COMMON STOCK | 43,011 | $1,236,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 1,477 | $1,235,000 | thousands by filing date | put |
| LGI HOMES INC | 50187TAB2 | NOTE 4.25011/1 | 704,000 | $1,235,000 | thousands by filing date | principal |
| MANNING + NAPIER INC | 56382Q102 | CL A | 174,346 | $1,234,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 95,108 | $1,229,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 38,683 | $1,227,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 81,937 | $1,227,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 177,926 | $1,225,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 86,928 | $1,225,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 1,454,800 | $1,222,000 | thousands by filing date | |
| MDC PARTNERS INC | 552697104 | CL A SUB VTG | 114,174 | $1,222,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 69,586 | $1,221,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 131,149 | $1,221,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 11,865 | $1,220,000 | thousands by filing date | put |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 25,220 | $1,219,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 124,448 | $1,217,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 129,532 | $1,215,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 11,463 | $1,212,000 | thousands by filing date | put |
| SUNRUN INC | 86771W105 | COM | 192,648 | $1,212,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 41,767 | $1,212,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 34,239 | $1,211,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 49,741 | $1,211,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 31,497 | $1,209,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 43,635 | $1,209,000 | thousands by filing date | |
| ACTUA CORPORATION | 005094107 | COM | 92,815 | $1,201,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 130,514 | $1,197,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 1,219,000 | $1,195,000 | thousands by filing date | call |
| POWELL INDS INC | 739128106 | COM | 29,874 | $1,194,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 1,000,000 | $1,193,000 | thousands by filing date | principal |
| PLY GEM HLDGS INC | 72941W100 | COM | 89,139 | $1,190,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 931,000 | $1,187,000 | thousands by filing date | principal |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 30,918 | $1,186,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 359,384 | $1,185,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 38,688 | $1,184,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 89,410 | $1,181,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 74,740 | $1,180,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 44,882 | $1,180,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 37,900 | $1,179,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 42,579 | $1,177,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 133,400 | $1,173,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 141,265 | $1,171,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 106,122 | $1,171,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 30,898 | $1,166,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 59,384 | $1,166,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 57,841 | $1,162,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 1,019,352 | $1,162,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 20,172 | $1,161,000 | thousands by filing date | put |
| WILLIAM LYON HOMES-CL A | 552074700 | CL A | 62,678 | $1,161,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 196,934 | $1,158,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 89,518 | $1,156,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 50,602 | $1,155,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 81,495 | $1,154,000 | thousands by filing date | |
| OMEGA PROTEIN CORP | 68210P107 | COM | 49,312 | $1,152,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 33,900 | $1,150,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 115,778 | $1,147,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 68,793 | $1,143,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 1,040,000 | $1,142,000 | thousands by filing date | principal |
| CIE 3.125 05/24 | 19075FAB2 | Bond 30/360P2 U | 3,006,000 | $1,142,000 | thousands by filing date | principal |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 252,037 | $1,140,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,018 | $1,135,000 | thousands by filing date | put |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 57,718 | $1,133,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 53,227 | $1,131,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 2,405,000 | $1,131,000 | thousands by filing date | principal |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 165,402 | $1,129,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 148,170 | $1,129,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 73,769 | $1,129,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 51,509 | $1,128,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 269,254 | $1,126,000 | thousands by filing date | |
| CHERRY HILL MTG INVT CORP | 164651101 | COM | 65,841 | $1,126,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 88,027 | $1,125,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 45,908 | $1,123,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 36,571 | $1,121,000 | thousands by filing date | |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 31,039 | $1,113,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 31,223 | $1,109,000 | thousands by filing date | |
| POINTS INTL LTD | 730843208 | COM NEW | 123,914 | $1,109,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 30,082 | $1,105,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 33,100 | $1,101,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 21,153 | $1,100,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097879 | SPON | 43,247 | $1,100,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 51,519 | $1,098,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 16,377 | $1,097,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 132,683 | $1,097,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 116,787 | $1,096,000 | thousands by filing date | |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 37,924 | $1,095,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 75,896 | $1,090,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 18,268 | $1,087,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 21,467 | $1,087,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 64,175 | $1,083,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 62,236 | $1,081,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 3,675 | $1,078,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 151,837 | $1,078,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 29,975 | $1,077,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 1,054,000 | $1,076,000 | thousands by filing date | call |
| AH RLTY TR INC | 04208T108 | COM | 80,291 | $1,074,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 36,231 | $1,073,000 | thousands by filing date | |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 22,975 | $1,073,000 | thousands by filing date | |
| CAVCO INDS INC DEL | 149568107 | COM | 10,842 | $1,072,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 24,119 | $1,071,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 77,700 | $1,069,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 10,141 | $1,067,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 69,822 | $1,066,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 69,070 | $1,065,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 259,539 | $1,065,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 16,136 | $1,064,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 640,427 | $1,062,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 15,376 | $1,059,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 164,454 | $1,055,000 | thousands by filing date | |
| STRAYER ED INC | 863236105 | COM | 22,648 | $1,055,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 104,809 | $1,053,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 24,061 | $1,052,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 19,773 | $1,046,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 15,768 | $1,045,000 | thousands by filing date | call |
| GUARANTY BANCORP | 40075T607 | COM | 58,594 | $1,045,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 18,524 | $1,044,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 26,287 | $1,043,000 | thousands by filing date | |
| M/I HOMES INC | 55305B101 | COM | 44,256 | $1,042,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 36,847 | $1,042,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 85,045 | $1,042,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 91,034 | $1,039,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 61,828 | $1,038,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 114,769 | $1,038,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 11,573 | $1,035,000 | thousands by filing date | put |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 172,449 | $1,035,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 113,386 | $1,034,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 8,783 | $1,033,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 57,173 | $1,032,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 27,752 | $1,028,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 354,160 | $1,026,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 67,641 | $1,024,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 940,000 | $1,024,000 | thousands by filing date | principal |
| CNA FINL CORP | 126117100 | COM | 29,697 | $1,021,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 53,849 | $1,021,000 | thousands by filing date | |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 30,569 | $1,020,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 9,973 | $1,019,000 | thousands by filing date | call |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 34,095 | $1,018,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 25,000 | $1,015,000 | thousands by filing date | put |
| TJX Companies Inc | 872540109 | COM | 13,587 | $1,015,000 | thousands by filing date | call |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 62,526 | $1,013,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 34,921 | $1,011,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 28,657 | $1,011,000 | thousands by filing date | |
| ARC LOGISTICS PARTNERS LP | 03879N101 | COM UT REP LPN | 67,203 | $1,011,000 | thousands by filing date | |
| KEMPER CORP COM | 488401100 | Stock | 25,708 | $1,010,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 113,390 | $1,009,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 44,422 | $1,002,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 128,502 | $999,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C120 | UNIT 99/99/9999 | 99,800 | $999,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 17,228 | $992,000 | thousands by filing date | call |
| RESOURCES CONNECTION INC | 76122Q105 | COM | 66,441 | $991,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 183,284 | $990,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 139,727 | $989,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 81,195 | $988,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 993,000 | $988,000 | thousands by filing date | principal |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 66,555 | $983,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 51,111 | $980,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 107,894 | $979,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 183,316 | $978,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 48,336 | $973,000 | thousands by filing date | |
| SIERRA BANCORP | 82620P102 | COM | 51,852 | $971,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 37,888 | $969,000 | thousands by filing date | |
| MYERS INDUSTRIES INC | 628464109 | COMMON STOCK | 74,481 | $965,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 82,551 | $964,000 | thousands by filing date | |
| VASCULAR SOLUTIONS INC | 92231M109 | COMMON STOCK | 19,988 | $963,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAF7 | NOTE 1.000% 7/0 | 883,000 | $956,000 | thousands by filing date | put |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 1,050,000 | $956,000 | thousands by filing date | principal |
| FORMFACTOR INC COM | 346375108 | Stock | 87,980 | $953,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 260,061 | $953,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 46,369 | $952,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 97,904 | $951,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 9,750 | $950,000 | thousands by filing date | call |
| AMERICAN VANGUARD CORP | 030371108 | COM | 59,255 | $950,000 | thousands by filing date | |
| BANCOLOMBIA S A | 05968L102 | SPON ADR PREF | 24,335 | $950,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 25,037 | $950,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 25,788 | $948,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 1,000,000 | $945,000 | thousands by filing date | principal |
| NEW YORK REIT INC | 64976L109 | COM | 103,251 | $943,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 84,204 | $942,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 53,598 | $941,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 170,166 | $941,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 42,890 | $940,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 47,673 | $940,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 37,394 | $939,000 | thousands by filing date | |
| ROYAL BK SCOTLAND GROUP PLC | 780097BB6 | NOTE 8.625%12/3 | 960,000 | $939,000 | thousands by filing date | call |
| NATIONAL BK HLDGS CORP | 633707104 | CL A | 40,177 | $937,000 | thousands by filing date | |
| COHEN & STEERS INC COM | 19247A100 | Stock | 21,932 | $936,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 81,828 | $932,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 69,410 | $931,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 156,702 | $928,000 | thousands by filing date | |
| GSV CAP CORP | 36191JAB7 | NOTE 5.250% 9/1 | 1,000,000 | $921,000 | thousands by filing date | principal |
| CODORUS VY BANCORP INC | 192025104 | COM | 42,013 | $918,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 27,287 | $917,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 16,178 | $916,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 5,577 | $915,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 30,568 | $913,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 89,483 | $912,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 118,884 | $912,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 12,348 | $910,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 69,571 | $909,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 42,896 | $907,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 581,435 | $905,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 1,425,000 | $903,000 | thousands by filing date | principal |
| IKANG HEALTHCARE GROUP INC | 45174L108 | SPONSORED ADR | 49,982 | $903,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 750,000 | $900,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 947,000 | $899,000 | thousands by filing date | principal |
| Citigroup Inc. | 172967424 | COM | 19,006 | $897,000 | thousands by filing date | put |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 20,269 | $897,000 | thousands by filing date | call |
| FTD COS INC | 30281V108 | COM | 43,506 | $893,000 | thousands by filing date | |
| STOCK YDS BANCORP INC | 861025104 | COM | 27,048 | $891,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 32,295 | $889,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 37,389 | $888,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 875,000 | $887,000 | thousands by filing date | call |
| SPOK HLDGS INC COM | 84863T106 | Stock | 49,861 | $886,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 54,100 | $886,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 13,300 | $885,000 | thousands by filing date | call |
| HUMANA INC COM | 444859102 | Stock | 4,981 | $881,000 | thousands by filing date | put |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 113,768 | $880,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 90,014 | $873,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 164,862 | $873,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 63,100 | $871,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 498,453 | $871,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 88,000 | $871,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 116,473 | $870,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 31,193 | $870,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 63,296 | $869,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 75,756 | $867,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 100,399 | $866,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 739,000 | $866,000 | thousands by filing date | principal |
| BANCFIRST CORP | 05945F103 | COM | 11,938 | $864,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 43,718 | $864,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 38,001 | $864,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 24,655 | $863,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 139,185 | $862,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 112,474 | $860,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 299,846 | $860,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 22,207 | $860,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 32,801 | $860,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 26,572 | $859,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 13,956 | $858,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 33,574 | $857,000 | thousands by filing date | put |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 334,498 | $856,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 83,663 | $854,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 34,741 | $853,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 167,634 | $852,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 72,223 | $850,000 | thousands by filing date | |
| FLEXSTEEL INDS | 339382103 | COMMON STOCK | 16,448 | $850,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 72,151 | $849,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 20,454 | $846,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 757,000 | $846,000 | thousands by filing date | principal |
| TRICO BANCSHARES | 896095106 | COMMON STOCK | 31,601 | $845,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 101,185 | $843,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 35,600 | $843,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 63,702 | $840,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 22,857 | $839,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 202,334 | $839,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 58,121 | $836,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 55,900 | $834,000 | thousands by filing date | |
| BSFT 1 9/01/22 | 11133BAD4 | Bond 30/360P2 U | 629,000 | $834,000 | thousands by filing date | principal |
| VIRTU FINL INC | 928254101 | CL A | 55,671 | $833,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 110,900 | $833,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 33,522 | $833,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 70,866 | $828,000 | thousands by filing date | |
| PCM INC | 69323K100 | COM | 38,405 | $827,000 | thousands by filing date | |
| ARCHROCK PARTNERS L P | 03957U100 | COM UNITS REPSTG | 56,134 | $826,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 37,084 | $824,000 | thousands by filing date | |
| STATE NATIONAL. | 85711T305 | Common Stock | 74,192 | $823,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 4,018 | $819,000 | thousands by filing date | put |
| SHOE STA GROUP INC | 824889109 | COM | 30,802 | $819,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 4,000 | $816,000 | thousands by filing date | call |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 62,585 | $816,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 99,336 | $815,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 60,342 | $813,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 169,614 | $811,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 804,000 | $808,000 | thousands by filing date | put |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 24,990 | $808,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 102,401 | $807,000 | thousands by filing date | |
| ZAIS FINANCIAL CORP | 98886K108 | COM | 55,847 | $805,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 20,992 | $803,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 726,000 | $803,000 | thousands by filing date | principal |
| B COMMUNICATIONS LTD | M15629104 | SHS | 34,878 | $802,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 40,405 | $801,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 47,554 | $798,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 24,362 | $797,000 | thousands by filing date | |
| CIMPRESS N V | N20146101 | SHS EURO | 7,873 | $795,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 87,902 | $795,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 141,630 | $793,000 | thousands by filing date | |
| QLT INC | 746927102 | COMMON STOCK | 383,973 | $789,000 | thousands by filing date | |
| BANCO SANTANDER CHILE NEW | 05965X109 | SP ADR REP COM | 38,114 | $788,000 | thousands by filing date | |
| MIRATI THERAPEUTICS INC | 60468T105 | COM | 119,232 | $787,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 26,187 | $787,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 12,308 | $786,000 | thousands by filing date | call |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 101,261 | $782,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 16,610 | $781,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 69,727 | $781,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 689,000 | $779,000 | thousands by filing date | principal |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 35,772 | $779,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 60,231 | $778,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 3,798 | $778,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 42,980 | $770,000 | thousands by filing date | |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 35,810 | $769,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 81,546 | $767,000 | thousands by filing date | |
| VERITIV CORP | 923454102 | COM | 15,282 | $764,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 215,162 | $764,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 108,261 | $761,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 46,149 | $761,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 17,511 | $760,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 3,784 | $759,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 18,720 | $759,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 108,501 | $756,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 63,922 | $755,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 40,731 | $755,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 13,949 | $751,000 | thousands by filing date | call |
| LSB INDS INC | 502160104 | COM | 87,527 | $750,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 46,884 | $747,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 17,394 | $747,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 165,498 | $746,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 248,133 | $745,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000948046-16-000206 | this filing | 2016-11-14 | acceptance time not in the bulk data set |