13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 3,743 holding rows worth $171,591,427,000.
- Accession
- 0000950123-15-002131
- Filer
- CIK 820027
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A combination report, 6,939 entries on the cover page, a total value of $171,591,427,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $171,591,427,000 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 Holdings Ltd 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 Holdings Ltd 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 |
|---|---|---|---|---|---|---|
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,626 | $203,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 5,501 | $203,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 6,167 | $203,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 4,820 | $202,000 | thousands by filing date | |
| INTELSAT S A | L5140P119 | MAN CONV JR PFD | 4,300 | $202,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 4,842 | $201,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 2,764 | $201,000 | thousands by filing date | |
| Bunzl PLC ADR | 120738406 | USD | 7,252 | $201,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X707 | LATIN AMER ETF | 3,833 | $201,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 4,194 | $200,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 8,118 | $200,000 | thousands by filing date | |
| REPUBLIC AWYS HLDGS INC | 760276105 | COM | 13,650 | $199,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 22,264 | $196,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 14,502 | $194,000 | thousands by filing date | |
| Lgi Homes Inc | 50187TAA4 | CONV | 200,000 | $194,000 | thousands by filing date | principal |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 12,943 | $188,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 18,254 | $185,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 22,032 | $182,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 19,754 | $181,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 13,822 | $180,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 22,605 | $180,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 33,615 | $180,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 340,000 | $178,000 | thousands by filing date | principal |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 15,792 | $177,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 10,191 | $176,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 10,708 | $176,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 18,366 | $174,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 13,391 | $174,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 15,663 | $173,000 | thousands by filing date | |
| DANSKE BANK A/S-UNSPONS ADR | 236363107 | COM | 12,498 | $170,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 4,792,000 | $168,000 | thousands by filing date | principal |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 20,564 | $166,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 15,600 | $162,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 13,956 | $161,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 30,182 | $159,000 | thousands by filing date | |
| MAST THERAPEUTICS INC WTS | 576314124 | WT | 1,200,000 | $159,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 17,290 | $153,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 17,540 | $153,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,243 | $153,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 42,573 | $152,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 14,219 | $150,000 | thousands by filing date | |
| FIVE9 INC | 338307101 | COM | 33,000 | $148,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,248 | $148,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,098 | $145,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 12,101 | $144,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 251,000 | $141,000 | thousands by filing date | principal |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 11,233 | $141,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 127,817 | $140,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 13,000 | $139,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 28,552 | $139,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 12,993 | $139,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,132 | $139,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 10,050 | $138,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 47,062 | $137,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 10,067 | $137,000 | thousands by filing date | |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 15,606 | $136,000 | thousands by filing date | |
| PIRAEUS BANK-UNSP ADR | 724249206 | ADR | 62,201 | $136,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 10,800 | $135,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 17,937 | $135,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 12,629 | $134,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 23,640 | $134,000 | thousands by filing date | |
| SANLAM LTD-SPONSORED ADR | 80104Q208 | COM | 11,048 | $134,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 10,500 | $133,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 17,386 | $133,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 13,805 | $132,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 17,165 | $132,000 | thousands by filing date | |
| FUCHS PETROLUB ADR | 35952Q106 | COM | 12,825 | $129,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 40,925 | $127,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 21,214 | $125,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 54,005 | $124,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 24,656 | $123,000 | thousands by filing date | |
| TURKIYE GARANTI BANK | 900148701 | COM | 30,802 | $123,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 23,114 | $122,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 26,232 | $117,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 68,766 | $116,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 13,256 | $115,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 71,900 | $115,000 | thousands by filing date | |
| ACCOR SA-UNSPON ADR | 00435F200 | COM | 12,757 | $115,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 10,727 | $114,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 12,237 | $110,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 14,878 | $107,000 | thousands by filing date | |
| Fortescue Ltd | 34959A206 | Equity | 23,655 | $106,000 | thousands by filing date | |
| Julius Baer Group Ltd ADR | 48137C108 | USD | 11,489 | $106,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,600 | $106,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 10,675 | $103,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 15,010 | $102,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 14,480 | $102,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 19,363 | $102,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 11,540 | $99,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,164 | $98,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,100 | $97,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 53,084 | $97,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 12,600 | $97,000 | thousands by filing date | |
| TULLOW OIL PLC-UNSPON ADR | 899415202 | ADR | 29,707 | $96,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 12,252 | $95,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 11,090 | $94,000 | thousands by filing date | |
| ESTACIO PARTICIPACO ADRF 1SPON | 297319105 | ADR | 10,184 | $91,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 40,000 | $90,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 10,777 | $89,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 30,430 | $89,000 | thousands by filing date | |
| SURGUTNEFTEGAZ SPON ADR | 868861105 | COM | 17,295 | $85,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 16,612 | $85,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 20,000 | $84,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 11,194 | $83,000 | thousands by filing date | |
| Santos Limited ADR | 803021708 | COM | 12,163 | $82,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,000 | $81,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 21,130 | $79,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 13,090 | $78,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 15,647 | $78,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $78,000 | thousands by filing date | |
| EDF-UNSPON ADR | 285039103 | COM | 13,522 | $74,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $74,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 19,449 | $72,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 34,346 | $71,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 12,794 | $69,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 14,605 | $66,000 | thousands by filing date | |
| PROSAFE SE ADR | 74346V109 | COM | 21,503 | $66,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,366 | $65,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 10,834 | $64,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,424 | $64,000 | thousands by filing date | |
| METRO AG ADR | 59160R102 | ADR | 10,417 | $63,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 40,120 | $61,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 13,110 | $60,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 18,150 | $56,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 18,235 | $51,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 27,466 | $51,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 16,949 | $49,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 17,075 | $48,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 11,925 | $48,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 13,518 | $48,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 20,261 | $46,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 11,190 | $46,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 13,420 | $44,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 16,580 | $44,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 43,000 | $43,000 | thousands by filing date | principal |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 22,299 | $42,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 41,000 | $42,000 | thousands by filing date | principal |
| NAMPAK LTD ADR | 629898206 | ADR | 11,260 | $42,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 12,600 | $41,000 | thousands by filing date | |
| USINAS SIDERURGICAS DE MINAS G | 917302200 | COM | 21,290 | $40,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 10,016 | $39,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 20,850 | $37,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 27,030 | $36,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 15,505 | $34,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 12,265 | $33,000 | thousands by filing date | |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $33,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 10,312 | $32,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 353,126 | $32,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 10,580 | $32,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 18,090 | $32,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 186,725 | $30,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 13,117 | $29,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 18,000 | $29,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $28,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 33,686 | $27,000 | thousands by filing date | |
| FEDERAL HYDROGENERATING-ADR | 466294105 | COM | 29,540 | $27,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 34,740 | $26,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 42,833 | $26,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $25,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,464 | $25,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 13,306 | $24,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 10,430 | $21,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AE9 | DBCV 4.500% 3/1 | 18,000 | $21,000 | thousands by filing date | principal |
| PARKS! AMERICA INC | 701455107 | COM | 600,000 | $20,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 34,000 | $18,000 | thousands by filing date | principal |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 86,980 | $17,000 | thousands by filing date | |
| ELITE PHARMACEUTICALS INC COM NEW | 28659T200 | Common Stock | 75,000 | $17,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 16,477 | $17,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 13,140 | $17,000 | thousands by filing date | |
| BILLABONG INTL LTD-UNSP ADR | 090055104 | ADR | 14,393 | $16,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 13,680 | $15,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 11,020 | $15,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 10,740 | $15,000 | thousands by filing date | |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 45,267 | $15,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 40,265 | $14,000 | thousands by filing date | |
| ADELPHIA CONTINGENT VALUE | 00685R706 | COM | 1,410,902 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,448 | $13,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 19,870 | $11,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| ALPHA BANK AE-SPON ADR | 02071M101 | COM | 72,137 | $10,000 | thousands by filing date | |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 11,250 | $10,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 12,615 | $9,000 | thousands by filing date | |
| BIO-KEY INTERNATIONAL INC | 09060C101 | COM | 80,000 | $9,000 | thousands by filing date | |
| GENETIC TECHNOLOGIES LTD | 37185R109 | SPONSORED ADR | 22,909 | $9,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $9,000 | thousands by filing date | |
| BMC SOFTWARE LITIGATION RIGHTS | CM4257690 | COM | 87,797 | $9,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 38,867 | $8,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 188,062 | $8,000 | thousands by filing date | |
| PETRO ONE ENERGY CORP | 71646L104 | COM | 75,000 | $8,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 31,370 | $7,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 13,214 | $6,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 10,000 | $5,000 | thousands by filing date | |
| EFG EUROBANK ERGASIAS SA ADR | 26844B209 | ADR | 30,008 | $3,000 | thousands by filing date | |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $2,000 | thousands by filing date | |
| VIRTRA SYSTEMS INC | 92827K103 | COM | 17,000 | $2,000 | thousands by filing date | |
| NEW WORLD GOLD CORPORATION COM | 649285103 | COM | 2,125,000 | $2,000 | thousands by filing date | |
| AVITA MEDICAL LTD | Q1225T105 | COM | 35,000 | $2,000 | thousands by filing date | |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $1,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,385 | $1,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 20,625 | $1,000 | thousands by filing date | |
| BHM TECHNOLOGIES LLC | 059998948 | COM | 151,041 | $1,000 | thousands by filing date | |
| READERS DIGEST ASSN INC | BAX3940K3 | COM | 26,729 | $1,000 | thousands by filing date | |
| Sigma Labs Inc | 826598104 | Common Stock | 15,000 | $1,000 | thousands by filing date | |
| Xhibit Corp Inc | 98419u102 | U.S. COMMON STOCK | 11,000 | $1,000 | thousands by filing date | |
| FIRST PL FINL CORP COM | 33610t109 | COM | 25,190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST HORIZON NAT'L FRACTIONAL | DCA517101 | COMMON STOCK | 134,548 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLONIAL BANCGROUP INC | 195493309 | COMMON STOCK | 21,027 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW YORK REGIONAL RAIL CORP | 649768108 | SHS | 387,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VERTICAL COMPUTER SYSTEMS INC | 92532R203 | COM | 22,850 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVERGREEN ENERGY INC | 30024B203 | COMMON STOCK | 19,372 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPONGETECH DELIVERY XXXREGISTRATION REVOKED BY THE SEC EFF: 10/21/23 | 849109103 | STOK | 219,327 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYGNUS E-TRANSACTION GROUP | 23255V105 | COM | 51,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRAC ENBRIDGE ENERGY MGMT | CKC50X106 | EQUITY | 57,216 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GERBER SCIENTIFIC INC RTS | 37373ESC5 | WT | 124,408 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FAIRLANE MANAGEMENT CORP | 305059107 | COM | 52,004 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLASHPOINT TECHNOLOGY | 33899A979 | COM | 246,914 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AT HOME CORPORATION | 045919AF4 | CONV BND | 4,193,138 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HAIGHTS CROSS COMM INC | 405990425 | COM | 302,134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANEI CORP | 409998168 | COM | 49,382 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NPF12 2002-2 A ESCROW | 629ESC9J5 | COM | 10,000,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR QUAL FRACTIONS | DDJ32D101 | COM | 23,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AURIGA LABORATORIES INC | 05155L105 | COM | 31,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALPINE CORP ESCROW 4 | 131ESC9C1 | COM | 29,236,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAM CAPITAL LLC | 749200994 | LP | 3,654,271 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIZA TECHNOLOGY INC | 05381A105 | COM | 13,037 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PATRIOT COAL CORP | 70336TAA2 | CONV BND | 115,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| AMERICAN RARE EARTHS & | 02916V100 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINOFRESH HEALTHCARE INC | 82935D109 | COM | 23,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NCT Group Inc | 62888Q109 | COM | 22,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XSUNX INC | 98385L102 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTH AMERICAN OIL AND GAS ORD | 65704V202 | COM | 12,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 13,395 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 237,666 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK DRAGON RESOURCE COS INC | 09202T103 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOLDEN PHOENIX MINERALS INC | 381149103 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Paradigm Adv Tech Inc. | 699004107 | COM | 19,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOLOGIX TECH INC | 68230M209 | Equities | 11,225 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOCIAL MEDIA VENTURES INC | 833626104 | COM | 250,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WI-TRON INC | 96684U104 | COM | 300,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KWIKWEB.COM INC | 501526107 | COM | 21,885 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDISYS TECHNOLOGIES INC | 584953103 | COM | 44,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SENDTEC INC | 81688A106 | COM | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARKANOVA ENERGY CORP | 040732109 | COM | 26,316 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-002131 | this filing | 2015-02-13 | acceptance time not in the bulk data set |