13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 5,979 holding rows worth $152,439,593,000.
- Accession
- 0000950123-13-009529
- Filer
- CIK 820027
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A combination report, 8,892 entries on the cover page, a total value of $152,439,593,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $152,439,593,000 with VALUE read as thousands by filing date, 13F file number 028-00139. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAmeriprise Financial, Inc. 028-00139
- reports for this filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Company 028-01045
- reports for this filerAmeriprise Certificate Company 028-00140
- reports for this filerRiverSource Life Insurance Company 028-00143
- reports for this filerRiverSource Life Insurance Company of New York 028-01046
- reports for this filerThreadneedle Asset Management Limited 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- included managerAmeriprise Financial, Inc. 028-00139
- included managerColumbia Management Investment Advisers, LLC 028-10477
- included managerAmeriprise Trust Company 028-01045
- included managerAmeriprise Certificate Company 028-00140
- included managerRiverSource Life Insurance Company 028-00143
- included managerRiverSource Life Insurance Company of New York 028-01046
- included managerThreadneedle Asset Management Limited 028-10644
- included managerAmeriprise Financial Services, Inc. 028-14918
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 |
|---|---|---|---|---|---|---|
| CLAYMORE EXCHANGE TRD FD TR | 18383M431 | GUGG BULL 2014 | 67,320 | $1,797,000 | thousands by filing date | |
| CARDIOVASCULAR SYSTEMS INC | 141619106 | COMMON STOCK | 89,612 | $1,796,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 188,220 | $1,776,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 46,085 | $1,775,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 146,365 | $1,768,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 834,212 | $1,760,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 66,192 | $1,749,000 | thousands by filing date | |
| SCHOLASTIC CORP COM | 807066105 | Stock | 60,954 | $1,747,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 22,329 | $1,739,000 | thousands by filing date | |
| GAZPROM PJSC SPON ADR | 368287207 | ADR | 195,334 | $1,727,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 67,671 | $1,723,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 205,087 | $1,721,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 202,092 | $1,720,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 181,922 | $1,711,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 20,841 | $1,709,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 171,386 | $1,703,000 | thousands by filing date | |
| TAYLOR MORRISON HOME CORP COM | 87724P106 | Stock | 75,045 | $1,700,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 27,201 | $1,693,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 34,425 | $1,692,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 87,134 | $1,685,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 124,306 | $1,683,000 | thousands by filing date | |
| OPLINK COMMUNICATIONS INC | 68375Q403 | COM | 89,452 | $1,683,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 31,674 | $1,680,000 | thousands by filing date | |
| NASH FINCH CO | 631158102 | COM | 63,600 | $1,679,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 206,451 | $1,662,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 34,596 | $1,658,000 | thousands by filing date | |
| SIMPLICITY BANCORP INC | 828867101 | COM | 106,541 | $1,657,000 | thousands by filing date | |
| NESTLE SA ADR | 641069406 | COM | 23,634 | $1,652,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 47,879 | $1,651,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 50,994 | $1,650,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 21,194 | $1,648,000 | thousands by filing date | |
| AVG TECHNOLOGIES | N07831105 | SHS | 68,642 | $1,643,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 250,169 | $1,641,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 101,861 | $1,638,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 44,089 | $1,629,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 52,840 | $1,628,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 56,181 | $1,616,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 110,644 | $1,592,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 76,310 | $1,591,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 45,810 | $1,585,000 | thousands by filing date | |
| CAMBREX CORP | 132011107 | COM | 119,571 | $1,578,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 21,239 | $1,571,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 63,429 | $1,571,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 136,207 | $1,567,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 53,834 | $1,566,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 21,468 | $1,565,000 | thousands by filing date | |
| AMERICAN RESIDENTIAL PROPERTIES INC | 02927E303 | COM | 88,494 | $1,559,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 24,969 | $1,543,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 40,806 | $1,525,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 114,243 | $1,516,000 | thousands by filing date | |
| EATON CORPORATION PUBLIC LIMITED COMPANY | 00B8KQN82 | Common | 21,936 | $1,510,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 105,904 | $1,501,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 86,653 | $1,500,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 49,429 | $1,495,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973AD3 | NOTE 8.000% 4/0 | 1,052,931 | $1,495,000 | thousands by filing date | principal |
| PETMED EXPRESS INC | 716382106 | COM | 91,645 | $1,493,000 | thousands by filing date | |
| DFC GLOBAL CORP | 23324T107 | COM | 135,714 | $1,491,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 168,539 | $1,489,000 | thousands by filing date | |
| FTSE RAFI US 1500 Small Cap | 73935X567 | COM | 16,625 | $1,488,000 | thousands by filing date | |
| DTS INC | 23335C101 | COM | 70,821 | $1,487,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 618,432 | $1,484,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 12,363 | $1,472,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 35,923 | $1,468,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 63,648 | $1,468,000 | thousands by filing date | |
| BROOKFIELD OFFICE PPTYS INC | 112900105 | COM | 76,847 | $1,465,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 106,641 | $1,464,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 85,344 | $1,462,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 22,505 | $1,456,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 35,502 | $1,452,000 | thousands by filing date | |
| AGREE RLTY CORP COM | 008492100 | REIT | 48,010 | $1,449,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 120,089 | $1,448,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V207 | PRF | 50,068 | $1,445,000 | thousands by filing date | |
| CLUBCORP HLDGS INC | 18948M108 | COM | 93,791 | $1,438,000 | thousands by filing date | |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 119,167 | $1,437,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 84,648 | $1,434,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 57,479 | $1,434,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 56,713 | $1,419,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 87,138 | $1,417,000 | thousands by filing date | |
| GARMIN LTD | 011440532 | COM | 31,206 | $1,410,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 143,557 | $1,410,000 | thousands by filing date | |
| OPTIMER PHARMACEUTICALS INC | 68401H104 | COM | 111,103 | $1,400,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 36,139 | $1,397,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 49,964 | $1,396,000 | thousands by filing date | |
| DOLE PLC ORD SHS | 256603101 | COM | 102,091 | $1,391,000 | thousands by filing date | |
| GENTIVA HEALTH SERVICES | 37247A102 | COM | 115,421 | $1,390,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 264,562 | $1,370,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 37,030 | $1,367,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 257,890 | $1,367,000 | thousands by filing date | |
| MICHAEL BAKER CORP | 057149106 | COM | 33,689 | $1,364,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 36,069 | $1,361,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 84,476 | $1,361,000 | thousands by filing date | |
| TREASURY WINE ESTATES ADR | 89465J109 | COM | 326,846 | $1,359,000 | thousands by filing date | |
| ACCURIDE CORP NEW | 00439T206 | COM NEW | 264,147 | $1,358,000 | thousands by filing date | |
| Vanguard Extended Market ETF | 922908652 | SHS | 17,843 | $1,357,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 118,848 | $1,356,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 38,014 | $1,355,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 203,777 | $1,355,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 146,602 | $1,355,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 35,686 | $1,354,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 52,092 | $1,353,000 | thousands by filing date | |
| FEDERAL RESERVE BANK | BAX41M5Q1 | COM | 27,000 | $1,350,000 | thousands by filing date | principal |
| ING EMERGING MKTS HGH DIV EQ | 45685X104 | COM | 105,660 | $1,349,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 19,009 | $1,339,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 116,435 | $1,337,000 | thousands by filing date | |
| TAYLOR CAPITAL GROUP INC | 876851106 | COM | 59,502 | $1,318,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 54,603 | $1,298,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 104,477 | $1,289,000 | thousands by filing date | |
| NVE CORP COM NEW | 629445206 | Stock | 25,233 | $1,287,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 18,950 | $1,281,000 | thousands by filing date | |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 75,898 | $1,278,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 56,476 | $1,267,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 25,827 | $1,267,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 86,068 | $1,266,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 33,956 | $1,265,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 35,970 | $1,258,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q744 | DWA SC TECHLDR | 34,004 | $1,256,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 27,306 | $1,250,000 | thousands by filing date | |
| MOVE INC | 62458M207 | COM NEW | 73,499 | $1,245,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 57,422 | $1,245,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 55,725 | $1,244,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 19,453 | $1,243,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 52,304 | $1,240,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 16,797 | $1,226,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 124,704 | $1,225,000 | thousands by filing date | |
| RALLY SOFTWARE DEV CORP COM | 751198102 | COM | 40,807 | $1,223,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 78,721 | $1,219,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 72,532 | $1,218,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 12,246 | $1,216,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 165,050 | $1,213,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 5,772 | $1,208,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 70,562 | $1,202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 29,682 | $1,199,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 27,199 | $1,195,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 62,416 | $1,189,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 15,123 | $1,183,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 25,738 | $1,176,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 265,466 | $1,173,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 14,348 | $1,171,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 95,071 | $1,166,000 | thousands by filing date | |
| MARINEMAX INC | 567908108 | COM | 95,421 | $1,164,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 38,018 | $1,161,000 | thousands by filing date | |
| COMMONWEALTH REIT | 203233101 | COMMON STOCK | 52,474 | $1,150,000 | thousands by filing date | |
| GREEN FIELD ENERGY SERVICES. | 39304K114 | WT | 32,694 | $1,144,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 29,986 | $1,143,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 172,723 | $1,128,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 10,761 | $1,124,000 | thousands by filing date | |
| JAGUAR MINING INC | 47009MAG8 | CONV BND | 4,000,000 | $1,120,000 | thousands by filing date | principal |
| PENNEY J C INC | 708160106 | COM | 126,931 | $1,119,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 119,531 | $1,118,000 | thousands by filing date | |
| REPROS THERAPEUTICS INC | 76028H209 | COM | 41,623 | $1,115,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 15,249 | $1,113,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 162,425 | $1,113,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 75,134 | $1,113,000 | thousands by filing date | |
| LVMH MOET HENNESSY LOU FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 502441306 | AMERICAN DEPOSITORY | 28,136 | $1,109,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 20,975 | $1,107,000 | thousands by filing date | |
| NATIONAL AUSTRALIA BK SPONSORE | 632525408 | COM | 34,453 | $1,106,000 | thousands by filing date | |
| ALLIANCE FIBER OPTIC PRODUCT | 018680306 | COM | 53,928 | $1,105,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 104,891 | $1,093,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 31,827 | $1,086,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 118,271 | $1,084,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 44,648 | $1,084,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 29,094 | $1,081,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 52,032 | $1,081,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 48,708 | $1,076,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 26,110 | $1,069,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 35,088 | $1,065,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 22,170 | $1,062,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 53,697 | $1,060,000 | thousands by filing date | |
| CASTLE AM & CO | 148411101 | COMMON STOCK | 65,860 | $1,060,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 313,075 | $1,057,000 | thousands by filing date | |
| US STEEL CORP | 912909AE8 | NOTE | 1,031,000 | $1,055,000 | thousands by filing date | principal |
| DIGITAL GENERATION INC | 25400B108 | COM | 81,365 | $1,052,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 56,743 | $1,046,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 74,459 | $1,045,000 | thousands by filing date | |
| SUPERTEX INC | 868532102 | COM | 40,974 | $1,039,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 23,956 | $1,036,000 | thousands by filing date | |
| NIELSEN HOLDINGS BV | 000953847 | COM | 28,423 | $1,036,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 109,568 | $1,035,000 | thousands by filing date | |
| ANACOR PHARMACEUTICALS INC | 032420101 | COM | 97,488 | $1,035,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 209,610 | $1,034,000 | thousands by filing date | |
| CONTECH CONSTRUCTION PRODUCT | BAX3LS6W4 | COM | 29,519 | $1,033,000 | thousands by filing date | |
| POWERSECURE INTERNATIONAL IN | 73936N105 | COM | 64,013 | $1,028,000 | thousands by filing date | |
| ALERIS INTERNATIONAL INC | U01995148 | COM | 24,686 | $1,024,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 70,137 | $1,019,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 139,876 | $1,008,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 7,546 | $1,002,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 13,375 | $1,002,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 91,076 | $994,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 55,224 | $994,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 11,459 | $994,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 99,018 | $991,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 109,790 | $988,000 | thousands by filing date | |
| QUALYS INC COM | 74758T303 | Stock | 46,029 | $984,000 | thousands by filing date | |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 166,640 | $982,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 61,522 | $980,000 | thousands by filing date | |
| VANDA PHARMACEUTICALS INC | 921659108 | COM | 88,745 | $974,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 98,265 | $974,000 | thousands by filing date | |
| ENSCO PLC-CL A | 00B4VLR19 | COM | 18,038 | $970,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 55,450 | $968,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 238,673 | $963,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 13,221 | $951,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 123,913 | $951,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 25,740 | $949,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 125,266 | $942,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 106,385 | $936,000 | thousands by filing date | |
| NEENAH ENTERPRISES INC | 64007R109 | COM | 208,010 | $936,000 | thousands by filing date | |
| BLOOMIN BRANDS INC | 094235108 | COM | 39,453 | $931,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X104 | DYNAMIC MKT PT | 15,281 | $931,000 | thousands by filing date | |
| Guggenheim ETF Trust 2 Timber | 18383Q879 | GUGG TIMBER ETF | 38,062 | $928,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 57,561 | $927,000 | thousands by filing date | |
| AMERICAN SAFETY INS HOLDINGS | G02995101 | COM | 30,692 | $927,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 150,672 | $925,000 | thousands by filing date | |
| ELLIS PERRY INTL INC | 288853104 | COM | 49,023 | $923,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464100 | COM | 15,172 | $921,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 14,311 | $919,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 8,330 | $917,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 17,442 | $917,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 34,326 | $917,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 33,733 | $916,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 227,226 | $911,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 129,578 | $910,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 60,330 | $907,000 | thousands by filing date | |
| SBERBANK RUSSIA | 80585Y308 | SPONSORED ADR | 74,980 | $904,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH | 001082411 | COM | 15,968 | $903,000 | thousands by filing date | |
| TOTAL ACCESS COMMUNICA-NVDR | 030711998 | GDR | 265,100 | $900,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 12,298 | $898,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 38,719 | $892,000 | thousands by filing date | |
| NATIONAL RESEARCH CORP CL B | 637372301 | COMMON | 29,650 | $885,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 111,736 | $881,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 22,792 | $877,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 82,283 | $866,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 19,685 | $865,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M449 | GUGG BULL 2013 | 33,693 | $860,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 14,419 | $852,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 55,263 | $846,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 66,012 | $844,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 16,896 | $835,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 59,718 | $835,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 11,997 | $828,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 69,712 | $824,000 | thousands by filing date | |
| EPL Oil & Gas, Inc. | 26883D108 | COM | 22,198 | $824,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 45,600 | $822,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 8,016 | $819,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 27,196 | $818,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 74,402 | $818,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 23,334 | $817,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 116,603 | $816,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 23,196 | $816,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 35,317 | $809,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 85,984 | $807,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 17,902 | $806,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 9,958 | $804,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 54,167 | $803,000 | thousands by filing date | |
| JAGUAR MINING INC CV 5.5% 0 | 47009MAJ2 | 33 CNV | 3,651,000 | $803,000 | thousands by filing date | principal |
| SHORETEL INC | 825211105 | COM | 132,214 | $799,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q858 | SECTR DIV DOGS | 24,847 | $796,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 131,067 | $796,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 55,887 | $792,000 | thousands by filing date | |
| FIRST MERCHANTS CORP COM | 320817109 | Stock | 45,516 | $789,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 16,883 | $788,000 | thousands by filing date | |
| ALLY FINL INC | 361860208 | COM | 29,476 | $788,000 | thousands by filing date | |
| VIVENDI SA-UNSPON ADR | 92852T201 | COM | 34,249 | $787,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 78,638 | $786,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 19,729 | $785,000 | thousands by filing date | |
| MAIL.RU GROUP LTD. | 560317208 | COMMON STOCK | 20,517 | $784,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 62,480 | $782,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 50,460 | $782,000 | thousands by filing date | |
| NATIONAL TECHNICAL SYSTEM IN | 638104109 | COM | 34,116 | $780,000 | thousands by filing date | |
| SCHAWK INC | 806373106 | CL A | 52,540 | $779,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 29,175 | $776,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 19,395 | $774,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 46,098 | $773,000 | thousands by filing date | |
| NORTEL NETWORKS CORP | 656568AE2 | CONV BND | 779,000 | $772,000 | thousands by filing date | principal |
| IAC INTERACTIVECORP | 44919P508 | COM | 14,034 | $767,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 14,875 | $765,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 62,004 | $764,000 | thousands by filing date | |
| Vanguard High Dividend Yield ETF | 921946406 | SHS | 13,355 | $760,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 12,508 | $760,000 | thousands by filing date | |
| Vanguard Small-Cap Value ETF | 922908611 | SHS | 8,401 | $758,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 12,682 | $755,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 13,719 | $746,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 62,763 | $746,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 9,912 | $744,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP | 690368105 | COMMON STOCK | 417,575 | $741,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 27,837 | $737,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 46,555 | $735,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 60,495 | $733,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 44,098 | $731,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 13,673 | $731,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 7,040 | $730,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 93,037 | $730,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 34,974 | $729,000 | thousands by filing date | |
| INPHI CORP | 45772F107 | COM | 54,195 | $728,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 55,510 | $726,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 9,432 | $717,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 29,213 | $706,000 | thousands by filing date | |
| GREENWAY MED TECHNOLOGIES IN | 39679B103 | COM | 34,130 | $706,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 37,343 | $704,000 | thousands by filing date | |
| INNOSPEC INC | 45768S105 | COM | 14,995 | $700,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 32,507 | $699,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 22,770 | $698,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M530 | GUG BULL2018 E | 33,268 | $695,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 16,707 | $690,000 | thousands by filing date | |
| GRACE W R & CO DEL NEW COM | 38388F108 | Stock | 7,865 | $687,000 | thousands by filing date | |
| MARKET VECTORS BIOTECH ETF | 57060U183 | BIOT | 8,277 | $685,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 33,194 | $683,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 10,825 | $682,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 308,141 | $676,000 | thousands by filing date | |
| ISHARES | 464289339 | TR 2015 S\&P.* AMTFR | 12,657 | $674,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 120,189 | $673,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 71,246 | $672,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 37,016 | $672,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 38,387 | $670,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 13,054 | $670,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B605 | S&P SMCP CONSU | 14,316 | $667,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 2,324 | $664,000 | thousands by filing date | |
| ISHARESAGENCYBONDETF | 464288166 | STOK | 5,951 | $663,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 17,802 | $660,000 | thousands by filing date | |
| TVA VAR 06/01/ 2 134 PFD DUE 06/01/28SUBJ TO XTRO REDEMPTION | 880591300 | PREFERRED DEBT | 29,470 | $655,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 8,231 | $651,000 | thousands by filing date | |
| CAVIUM INC | 14964U108 | COM | 15,723 | $648,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 54,231 | $647,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 71,689 | $647,000 | thousands by filing date | |
| Bayer AG Spons ADR | 072730302 | COM | 5,462 | $644,000 | thousands by filing date | |
| REPUBLIC BANCORP INC CLASS A | 760281204 | COMMON STOCK | 23,314 | $643,000 | thousands by filing date | |
| WIRECARD AG SHS | D22359133 | Common Stock | 18,884 | $643,000 | thousands by filing date | |
| DWS MUN INCOME TR COM | 23338M106 | COM | 51,918 | $642,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 16,554 | $639,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 60,068 | $634,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 5,380 | $633,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 15,122 | $628,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 56,677 | $628,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 103,352 | $626,000 | thousands by filing date | |
| ALMOST FAMILY INC | 020409108 | COM | 32,214 | $626,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 10,907 | $625,000 | thousands by filing date | |
| ARM HLDGS ORD GBP0.5 | 0 | COM | 12,500 | $625,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PowerShares CEF Income Composite | 73936Q843 | Com | 26,094 | $625,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 87,631 | $621,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 9,974 | $620,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 105,057 | $616,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 71,897 | $615,000 | thousands by filing date | |
| TRAVELZOO INC | 89421Q106 | COM | 23,114 | $614,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 33,925 | $613,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 14,364 | $612,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 86,607 | $611,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 5,731 | $609,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 220,368 | $607,000 | thousands by filing date | |
| FBR & CO | 30247C400 | COM NEW | 22,620 | $607,000 | thousands by filing date | |
| CITIGROUP CAPITAL IX | 173066200 | PRD | 24,081 | $603,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 73,645 | $602,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 4,872 | $601,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 11,175 | $601,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 18,977 | $598,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 67,456 | $597,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 6,632 | $593,000 | thousands by filing date | |
| AVAGO TECHNOLOGIES LTD | 999900624 | COM | 13,700 | $591,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 62,616 | $587,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 57,013 | $577,000 | thousands by filing date | |
| HOME INNS & HOTELS MGMT INC | 43713WAB3 | NOTE 2.000%12/1 | 609,000 | $576,000 | thousands by filing date | principal |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 7,899 | $571,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 69,531 | $569,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 11,707 | $568,000 | thousands by filing date | |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 24,822 | $567,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 31,748 | $567,000 | thousands by filing date | |
| PREFERREDPLUS QWEST CAP | 740434816 | PRF | 22,255 | $565,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 14,623 | $560,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 2,749 | $559,000 | thousands by filing date | |
| PAX WORLD FDS TR II | 70422P206 | MSCI ESG IDX | 19,771 | $558,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 238,004 | $555,000 | thousands by filing date | |
| BLDRS INDEX FDS TR | 09348R300 | EMER MK 50 ADR | 14,878 | $550,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 20,803 | $548,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | 00B783TY6 | COM | 9,384 | $548,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 81,077 | $545,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M589 | GUGG CRP BD 2013 | 26,274 | $545,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 34,324 | $539,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 63,312 | $532,000 | thousands by filing date | |
| ADVANSTAR COMMUNICATIONS INC | 00758R104 | COM | 42,354 | $530,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 175,009 | $528,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 74,806 | $526,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 25,278 | $517,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 15,971 | $517,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 27,553 | $517,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 39,483 | $513,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167CB1 | NOTE 2.250%12/1 | 563,000 | $513,000 | thousands by filing date | principal |
| MECHANICS BANCORP A | 43785V102 | COMMON STOCK | 26,468 | $512,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 9,779 | $512,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 35,047 | $511,000 | thousands by filing date | |
| Powershares Etf Fd Tr II | 73937B506 | S&P SMCP C DIS | 11,633 | $509,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 500,000 | $509,000 | thousands by filing date | principal |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 5,619 | $507,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 8,173 | $505,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 11,107 | $505,000 | thousands by filing date | |
| STERLING FINL CORP WASH | 859319303 | COM NEW | 17,593 | $504,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 59,873 | $500,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 4,580 | $496,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 14,511 | $495,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 8,217 | $493,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 548,049 | $492,000 | thousands by filing date | |
| ARENA BRANDS INC | 03999M207 | COM | 111,111 | $491,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 5,561 | $490,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 17,385 | $490,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 48,254 | $483,000 | thousands by filing date | |
| Basf Se-Spon Adr | 055262505 | Equity | 5,008 | $481,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 9,750 | $480,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 7,979 | $479,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 23,303 | $479,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 10,962 | $478,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 26,001 | $477,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 7,168 | $476,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 10,795 | $475,000 | thousands by filing date | |
| VANGUARD MORNINGSTAR MEGA CAP VALUE ETF | 921910840 | ETF | 9,343 | $475,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 14,532 | $474,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 21,191 | $472,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 14,468 | $469,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 8,537 | $469,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 4,396 | $467,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 33,772 | $467,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 4,494 | $466,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 15,947 | $466,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 19,845 | $465,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 5,441 | $464,000 | thousands by filing date | |
| MD MEDICAL GROUP INVEST-144A | B8CJ14198 | COM | 36,847 | $464,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 12,413 | $463,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 3,340 | $459,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 14,980 | $458,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 25,305 | $457,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE LARGE CORE PORTFOLIO | 73935X450 | ETF | 13,903 | $457,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191JAA9 | CONV BND | 400,000 | $453,000 | thousands by filing date | principal |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 7,658 | $450,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 24,597 | $450,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 9,303 | $449,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 6,215 | $443,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 27,166 | $437,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 10,789 | $436,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 14,103 | $434,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 7,390 | $431,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 4,498 | $428,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 23,044 | $427,000 | thousands by filing date | |
| CLEARWIRE COMMUNICATIONS LLC | 18538TAG4 | CONV BND | 380,000 | $421,000 | thousands by filing date | principal |
| CENTRAL PAC FINL CORP | 154760409 | COM NEW | 23,731 | $420,000 | thousands by filing date | |
| COMMONWEALTH BK AUS-SP ADR | 202712600 | COM | 6,128 | $418,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 8,321 | $417,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 22,829 | $417,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 32,193 | $414,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 81,301 | $412,000 | thousands by filing date | |
| MARK IV INDUSTRIES INC | 570998534 | COM | 10,253 | $412,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 34,242 | $404,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 15,718 | $403,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 5,039 | $400,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 12,294 | $397,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 13,642 | $396,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 6,577 | $395,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 41,015 | $394,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 4,852 | $393,000 | thousands by filing date | |
| U HAUL HOLDING COMPANY | 023586100 | COM | 2,132 | $393,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 12,828 | $392,000 | thousands by filing date | |
| CONTINENTAL AIRLINES FINANCE T | 210796306 | CONV PRF | 8,850 | $390,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 13,000 | $386,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 38,200 | $382,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 7,746 | $380,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 14,992 | $379,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 5,057 | $378,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 56,978 | $377,000 | thousands by filing date | |
| BNP PARIBAS SPONSORED ADR | 05565A202 | ADUS | 11,162 | $377,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 19,114 | $377,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 39,195 | $376,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 13,786 | $376,000 | thousands by filing date | |
| LUKOIL OAO-SPON ADR | 677862997 | COM | 5,933 | $376,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 13,092 | $374,000 | thousands by filing date | |
| ISHARES B-CA | 46432F404 | COM | 7,268 | $373,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 12,841 | $372,000 | thousands by filing date | |
| AMR CORP | 001765106 | COMMON STOCK | 89,791 | $369,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 15,691 | $368,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 12,767 | $366,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 7,650 | $363,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 7,999 | $363,000 | thousands by filing date | |
| DAIMLER A G ADR F SPONSORED AD | 233825108 | ADR | 4,650 | $363,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 30,912 | $362,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 81,934 | $362,000 | thousands by filing date | |
| AB VOLVO B ADR | 928856400 | ADR | 23,992 | $360,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 40,914 | $359,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 21,468 | $358,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 4,821 | $357,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 3,598 | $356,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895101 | CLB | 40,925 | $356,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 12,673 | $355,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 10,126 | $353,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 45,516 | $347,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 8,607 | $345,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 350,000 | $343,000 | thousands by filing date | principal |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 30,693 | $342,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 11,131 | $341,000 | thousands by filing date | |
| HMH PUBLISHERS LLC | CM0005552 | COM | 10,952 | $341,000 | thousands by filing date | |
| BG GROUP PLC - SPON ADR | 055434203 | ADR | 17,824 | $340,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 20,282 | $337,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 4,244 | $334,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 12,044 | $332,000 | thousands by filing date | |
| SOFTBANK GROUP CORP. | 83404D109 | Common stock | 9,555 | $331,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 25,349 | $328,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 107,451 | $328,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-13-009529 | this filing | 2013-11-14 | acceptance time not in the bulk data set |