13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-14, with 3,947 holding rows worth $174,225,823,000.
- Accession
- 0000950123-15-005969
- Filer
- CIK 820027
- Filed
- 2015-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A combination report, 7,260 entries on the cover page, a total value of $174,225,823,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $174,225,823,000 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 Inc028-00139
- reports for this filerColumbia Management Investment Advisers, LLC028-10477
- reports for this filerAmeriprise Trust Co028-10458
- reports for this filerAmeriprise Certificate Co028-00140
- reports for this filerRiverSource Life Insurance Co028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD028-10644
- 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 Co 028-10458
- included managerAmeriprise Certificate Co 028-00140
- included managerRiverSource Life Insurance Co 028-00143
- included managerRiverSource Life Insurance Co of New York 028-10460
- 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 |
|---|---|---|---|---|---|---|
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 20,576 | $250,000 | thousands by filing date | |
| ISHARES | 46434V548 | EXCHANGE TRADED | 13,466 | $249,000 | thousands by filing date | |
| DB-X FUNDS | 233052307 | XTRAK 2030TGT DT | 8,155 | $249,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 15,623 | $248,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 11,079 | $248,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 21,118 | $248,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 9,554 | $247,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 14,438 | $246,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 2,688 | $246,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 13,054 | $246,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 6,968 | $245,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 9,828 | $245,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 15,400 | $244,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 12,250 | $244,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 12,598 | $244,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 22,341 | $242,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 5,270 | $240,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 2,737 | $240,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 31,175 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,635 | $238,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 6,730 | $236,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 2,454 | $236,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 14,130 | $236,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,750 | $235,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 2,345 | $235,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 7,525 | $234,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 7,298 | $233,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 13,010 | $232,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 9,028 | $232,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 2,609 | $231,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 15,958 | $231,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 14,200 | $230,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 6,844 | $229,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 20,031 | $228,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 7,648 | $228,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 12,246 | $228,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 29,570 | $228,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,153 | $228,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 10,153 | $225,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 35,930 | $225,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 8,890 | $224,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 5,708 | $224,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 9,983 | $223,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 3,299 | $223,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 9,877 | $222,000 | thousands by filing date | |
| Hartford Financial Serv | 416518504 | COM | 7,207 | $221,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 5,886 | $220,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 2,395 | $220,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 60,114 | $219,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 20,885 | $219,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 7,553 | $218,000 | thousands by filing date | |
| ETF SER TR | 26923E108 | REC CAP NAS100 | 9,273 | $218,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP $1.625 PFD | 38144G184 | PREFERRED | 7,992 | $217,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 7,660 | $216,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 32,282 | $216,000 | thousands by filing date | |
| DISCOVER FINANCIAL SVS 6.50% S | 254709207 | PREFERR | 8,325 | $216,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,649 | $215,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 12,225 | $215,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 8,638 | $215,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 8,500 | $215,000 | thousands by filing date | |
| WELLS FARGO & COMPANY 5.125% P | 949746721 | PREFERR | 8,920 | $215,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 12,883 | $215,000 | thousands by filing date | |
| ISHARES TR | 464288372 | COM | 5,125 | $214,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 15,966 | $214,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 8,042 | $214,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 3,032 | $213,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 8,363 | $213,000 | thousands by filing date | |
| TELEPHONE & DATA SYSTEM 7.000% | 879433837 | PREFERR | 8,222 | $213,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 12,607 | $212,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 9,328 | $212,000 | thousands by filing date | |
| GENERAL ELEC CAP $1.219 PFD | 369622410 | PREFERRED | 8,281 | $212,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 9,035 | $211,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 4,122 | $209,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 23,371 | $209,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 46,152 | $209,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 15,872 | $209,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 4,731 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,800 | $208,000 | thousands by filing date | |
| SUNTORY BEVERAGE & FOOD LTD AD | 86803T104 | ADR | 9,736 | $208,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 5,859 | $208,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 9,528 | $208,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 6,178 | $207,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 14,889 | $207,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 2,082 | $206,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 7,431 | $205,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 5,728 | $205,000 | thousands by filing date | |
| IGNITE RESTAURANT GROUP INC | 451730105 | COM | 42,336 | $205,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 51,160 | $205,000 | thousands by filing date | |
| POWERSHARES DB | 73935Y102 | COM UT BEN INT | 8,231 | $204,000 | thousands by filing date | |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 9,600 | $204,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 15,297 | $203,000 | thousands by filing date | |
| GDF SUEZ-SPON ADR | 36160B105 | ADR | 10,267 | $203,000 | thousands by filing date | |
| Lgi Homes Inc | 50187TAA4 | CONV | 200,000 | $203,000 | thousands by filing date | principal |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 12,773 | $202,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 8,847 | $202,000 | thousands by filing date | |
| SES | 817712995 | GDR | 5,700 | $202,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 9,350 | $201,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 1,537 | $200,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 8,286 | $200,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 36,453 | $200,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 15,032 | $198,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 11,790 | $195,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 18,245 | $194,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 251,000 | $191,000 | thousands by filing date | principal |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 13,573 | $190,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 15,865 | $189,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 16,221 | $188,000 | thousands by filing date | |
| TOPDANMARK A/S-UNSPON ADR | 89054C101 | ADR | 64,269 | $188,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 50,138 | $187,000 | thousands by filing date | |
| HOLCIM LTD-UNSPON ADR | 434741203 | COM | 12,418 | $186,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 18,870 | $184,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 18,506 | $182,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 16,014 | $181,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 14,394 | $180,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 13,443 | $180,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 12,919 | $180,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,966 | $179,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 22,865 | $178,000 | thousands by filing date | |
| GOODRICH | 382410AG3 | NOTE5 | 340,000 | $177,000 | thousands by filing date | principal |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 20,564 | $176,000 | thousands by filing date | |
| BREEZE-EASTERN CORP | 106764103 | COMM STK | 17,100 | $175,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 1,749,000 | $175,000 | thousands by filing date | principal |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 14,282 | $171,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 13,650 | $170,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 69,006 | $170,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 13,333 | $169,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 10,231 | $168,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 13,115 | $167,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,243 | $165,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 118,500 | $160,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 12,200 | $157,000 | thousands by filing date | |
| Prosiebensat 1 Media SE | 743476202 | COM | 12,808 | $157,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 10,224 | $155,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 11,218 | $155,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,371 | $155,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 12,288 | $154,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 29,355 | $154,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 31,622 | $154,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 10,980 | $154,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 17,130 | $153,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 20,083 | $153,000 | thousands by filing date | |
| KIRIN BREWERY CO ADR | 497350306 | COM | 11,466 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 10,448 | $147,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 11,233 | $146,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 28,667 | $145,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 121,612 | $145,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 13,732 | $144,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 4,792,000 | $143,000 | thousands by filing date | principal |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 74,926 | $142,000 | thousands by filing date | |
| HOMEAWAY INC(AWAY) CVT 144A 0. | 43739QAA8 | CONVERT | 150,000 | $142,000 | thousands by filing date | principal |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 696,000 | $139,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 11,110 | $137,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 14,555 | $135,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 127,817 | $134,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 25,900 | $134,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 11,556 | $133,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 17,560 | $129,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 25,864 | $129,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 39,512 | $125,000 | thousands by filing date | |
| ACCOR SA SPONSORED ADR | 00435F309 | COM | 11,855 | $124,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 13,460 | $123,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,675 | $120,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639AC2 | CONV BND | 716,000 | $120,000 | thousands by filing date | principal |
| MECHEL PREF SPON ADR | 583840509 | COM | 306,500 | $118,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 12,664 | $118,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 14,034 | $118,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 40,925 | $116,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,381 | $115,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 14,795 | $115,000 | thousands by filing date | |
| Sandvik AB ADR | 800212201 | Equity | 10,271 | $114,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 11,296 | $113,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 10,261 | $113,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 40,000 | $112,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 17,453 | $111,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,837 | $110,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 19,884 | $108,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 12,043 | $108,000 | thousands by filing date | |
| FUCHS PETROLUB ADR | 35952Q106 | COM | 10,729 | $107,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 18,640 | $103,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 10,840 | $101,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 24,214 | $101,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 11,712 | $99,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 30,450 | $99,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 12,866 | $99,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,164 | $98,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 54,691 | $97,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,320 | $96,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 23,016 | $95,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 12,587 | $95,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 11,114 | $94,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 12,710 | $93,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 10,709 | $92,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 16,417 | $92,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 24,507 | $91,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,100 | $89,000 | thousands by filing date | |
| NAMPAK LTD ADR | 629898206 | ADR | 25,882 | $87,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,000 | $84,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 15,980 | $84,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $84,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 21,230 | $79,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 20,488 | $75,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 13,885 | $74,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $73,000 | thousands by filing date | |
| TURKIYE GARANTI BANK | 900148701 | COM | 21,299 | $71,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 11,542 | $69,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 12,238 | $68,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 16,482 | $66,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 11,143 | $66,000 | thousands by filing date | |
| AMAT US 01/15/16 C22 | CM6959451 | OPT | 222 | $65,000 | thousands by filing date | call |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,847 | $64,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,494 | $64,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 10,010 | $63,000 | thousands by filing date | |
| INDRA SISTEMAS SA-UNSP ADR | 45579R106 | COM | 10,686 | $63,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 17,139 | $61,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 12,112 | $60,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 11,290 | $59,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,719 | $58,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 19,435 | $58,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 12,215 | $56,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 16,407 | $55,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 23,370 | $54,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 14,082 | $54,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 27,165 | $53,000 | thousands by filing date | |
| SLXP US 04/17/15 C160 | CM6545597 | OPT | 41 | $53,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 14,755 | $52,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 44,400 | $52,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 37,210 | $52,000 | thousands by filing date | |
| MAC US 06/19/15 P80 | CM6764530 | OPT | 221 | $52,000 | thousands by filing date | put |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 21,029 | $51,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 13,220 | $50,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 19,563 | $48,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 48,000 | $48,000 | thousands by filing date | principal |
| PROSAFE SE ADR | 74346V109 | COM | 17,597 | $48,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 103,041 | $48,000 | thousands by filing date | |
| PORTER BANCORP INC | 736233107 | COM | 46,051 | $44,000 | thousands by filing date | |
| T US 06/19/15 C35 | CM6611303 | OPT | 1,871 | $44,000 | thousands by filing date | call |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 13,420 | $43,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 15,075 | $43,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 41,000 | $41,000 | thousands by filing date | principal |
| SPLS US 01/15/16 C17 | CM6362457 | OPT | 248 | $41,000 | thousands by filing date | call |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 22,890 | $39,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 24,390 | $39,000 | thousands by filing date | |
| KROTON EDUCACIONAL S A SPONSORED ADR | 50106A402 | Stock | 11,914 | $39,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 19,475 | $36,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 11,965 | $34,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $34,000 | thousands by filing date | |
| PARKS! AMERICA INC | 701455107 | COM | 600,000 | $34,000 | thousands by filing date | |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $33,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 17,255 | $32,000 | thousands by filing date | |
| TULLOW OIL PLC-UNSPON ADR | 899415202 | ADR | 14,687 | $31,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $31,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 13,193 | $30,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $28,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 11,394 | $27,000 | thousands by filing date | |
| HPQ US 05/15/15 P30 | CM6710034 | OPT | 488 | $27,000 | thousands by filing date | put |
| MTG CORP | 313400301 | COM | 11,416 | $26,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 16,900 | $26,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 16,200 | $26,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 14,397 | $25,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 40,371 | $25,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 16,775 | $24,000 | thousands by filing date | |
| KRFT US 05/15/15 P85 | CM6996137 | OPT | 111 | $24,000 | thousands by filing date | put |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 42,833 | $23,000 | thousands by filing date | |
| MGM US 05/15/15 P20 | CM6867766 | OPT | 333 | $22,000 | thousands by filing date | put |
| BALTIA AIR LINES INC COM | 058823105 | SHS | 1,968,333 | $20,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 30,435 | $20,000 | thousands by filing date | |
| EMC US 05/15/15 P25 | CM6922782 | OPT | 333 | $20,000 | thousands by filing date | put |
| IAMGOLD CORP COM | 450913108 | Stock | 10,000 | $19,000 | thousands by filing date | |
| ELITE PHARMACEUTICALS INC COM NEW | 28659T200 | Common Stock | 75,000 | $18,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 12,000 | $18,000 | thousands by filing date | principal |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 12,560 | $17,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 355,326 | $17,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 21,754 | $16,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 15,120 | $16,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,448 | $16,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 12,000 | $15,000 | thousands by filing date | principal |
| FEDERAL HYDROGENERATING-ADR | 466294105 | COM | 16,423 | $15,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 13,375 | $14,000 | thousands by filing date | |
| ADELPHIA CONTINGENT VALUE | 00685R706 | COM | 1,410,902 | $14,000 | thousands by filing date | |
| TRW US 04/17/15 C100 | CM4552146 | OPT | 30 | $14,000 | thousands by filing date | call |
| MEOH US 04/17/15 P50 | CM6739559 | OPT | 333 | $14,000 | thousands by filing date | put |
| KND US 04/17/15 P17.5 | CM6752759 | OPT | 552 | $14,000 | thousands by filing date | put |
| DISH US 04/17/15 P67.5 | CM6819748 | OPT | 222 | $14,000 | thousands by filing date | put |
| MAC US 04/17/15 C95 | CM6838194 | OPT | 220 | $14,000 | thousands by filing date | call |
| KLXI US 05/15/15 P35 | CM6922774 | OPT | 185 | $14,000 | thousands by filing date | put |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 34,000 | $13,000 | thousands by filing date | principal |
| MECHEL OAO | 583840103 | SPONSORED ADR | 10,365 | $13,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 33,529 | $13,000 | thousands by filing date | |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 10,000 | $13,000 | thousands by filing date | |
| SDLP US 04/17/15 P12.5 | CM6752757 | OPT | 169 | $13,000 | thousands by filing date | put |
| MGM US 05/15/15 P19 | CM6867767 | OPT | 333 | $13,000 | thousands by filing date | put |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,435 | $12,000 | thousands by filing date | |
| KRFT US 04/17/15 P85 | CM6959449 | OPT | 111 | $12,000 | thousands by filing date | put |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 11,280 | $11,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 11,000 | $11,000 | thousands by filing date | principal |
| PERY US 04/17/15 P20 | CM6752754 | OPT | 442 | $11,000 | thousands by filing date | put |
| KLXI US 04/17/15 P35 | CM6764532 | OPT | 442 | $11,000 | thousands by filing date | put |
| AEC US 05/15/15 P22.5 | CM6922776 | OPT | 332 | $11,000 | thousands by filing date | put |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | principal |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 18,170 | $10,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 15,765 | $10,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 11,005 | $10,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $10,000 | thousands by filing date | |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 45,193 | $10,000 | thousands by filing date | |
| TMUS US 04/17/15 P28 | CM6752764 | OPT | 443 | $10,000 | thousands by filing date | put |
| HPQ US 04/17/15 P30 | CM6710031 | OPT | 443 | $9,000 | thousands by filing date | put |
| KRFT US 05/15/15 C87.5 | CM6996135 | OPT | 36 | $9,000 | thousands by filing date | call |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 25,150 | $8,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 43,130 | $8,000 | thousands by filing date | |
| BIO-KEY INTERNATIONAL INC | 09060C200 | COM | 40,000 | $8,000 | thousands by filing date | |
| BERY US 04/17/15 P35 | CM6893400 | OPT | 177 | $8,000 | thousands by filing date | put |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 17,780 | $7,000 | thousands by filing date | |
| FDO US 07/17/15 P72.5 | CM6593047 | OPT | 145 | $7,000 | thousands by filing date | put |
| ABBV US 08/21/15 P52.5 | CM6702881 | OPT | 42 | $7,000 | thousands by filing date | put |
| PKG US 04/17/15 P75 | CM6739558 | OPT | 111 | $7,000 | thousands by filing date | put |
| EXPE US 04/17/15 C100 | CM6747745 | OPT | 222 | $7,000 | thousands by filing date | call |
| WFT US 05/15/15 P10 | CM6764526 | OPT | 443 | $7,000 | thousands by filing date | put |
| INFA US 04/17/15 P37.5 | CM6764531 | OPT | 333 | $7,000 | thousands by filing date | put |
| INFA US 04/17/15 P40 | CM6875001 | OPT | 222 | $7,000 | thousands by filing date | put |
| SDLP US 05/15/15 P10 | CM6922772 | OPT | 222 | $7,000 | thousands by filing date | put |
| KRFT US 09/18/15 P75 | CM6959447 | OPT | 67 | $7,000 | thousands by filing date | put |
| KRFT US 04/17/15 C95 | CM6996140 | OPT | 444 | $7,000 | thousands by filing date | call |
| PETRO ONE ENERGY CORP | 71646L104 | COM | 75,000 | $6,000 | thousands by filing date | |
| MYL US 04/17/15 P55 | CM6782983 | OPT | 111 | $6,000 | thousands by filing date | put |
| DISH US 04/17/15 P65 | CM6819741 | OPT | 222 | $6,000 | thousands by filing date | put |
| ABBV US 08/21/15 P55 | CM6875002 | OPT | 22 | $6,000 | thousands by filing date | put |
| JNPR US 04/17/15 P22 | CM6875007 | OPT | 222 | $6,000 | thousands by filing date | put |
| BOBE US 04/17/15 P45 | CM6922770 | OPT | 111 | $6,000 | thousands by filing date | put |
| CIE US 05/15/15 P7 | CM6922775 | OPT | 222 | $6,000 | thousands by filing date | put |
| TLM US 06/19/15 P6 | CM6941112 | OPT | 284 | $6,000 | thousands by filing date | put |
| ALPHA BANK AE-SPON ADR | 02071M101 | COM | 59,577 | $5,000 | thousands by filing date | |
| EMC US 04/17/15 P25 | CM6490504 | OPT | 236 | $5,000 | thousands by filing date | put |
| SDLP US 06/19/15 P10 | CM6922773 | OPT | 111 | $5,000 | thousands by filing date | put |
| NXPI US 04/17/15 C115 | CM6922783 | OPT | 166 | $5,000 | thousands by filing date | call |
| EXH US 05/15/15 P25 | CM6922785 | OPT | 222 | $5,000 | thousands by filing date | put |
| AEC US 04/17/15 P20 | CM6739564 | OPT | 333 | $4,000 | thousands by filing date | put |
| SLXP US 07/17/15 P175 | CM6801327 | OPT | 17 | $4,000 | thousands by filing date | put |
| CIE US 04/17/15 P7.5 | CM6819746 | OPT | 443 | $4,000 | thousands by filing date | put |
| BERY US 05/15/15 P30 | CM6922778 | OPT | 222 | $4,000 | thousands by filing date | put |
| TAP US 05/15/15 P65 | CM6922779 | OPT | 57 | $4,000 | thousands by filing date | put |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $3,000 | thousands by filing date | |
| VIRTRA SYSTEMS INC | 92827K103 | COM | 17,000 | $3,000 | thousands by filing date | |
| NEW WORLD GOLD CORPORATION COM | 649285103 | COM | 2,125,000 | $3,000 | thousands by filing date | |
| MYL US 04/17/15 P50 | CM6746188 | OPT | 221 | $3,000 | thousands by filing date | put |
| COMM US 04/17/15 C35 | CM6747749 | OPT | 222 | $3,000 | thousands by filing date | call |
| BEAV US 04/17/15 P55 | CM6764529 | OPT | 221 | $3,000 | thousands by filing date | put |
| VIAB US 04/17/15 P62.5 | CM6784569 | OPT | 221 | $3,000 | thousands by filing date | put |
| EXH US 04/17/15 P25 | CM6784570 | OPT | 444 | $3,000 | thousands by filing date | put |
| BOBE US 04/17/15 P40 | CM6838195 | OPT | 221 | $3,000 | thousands by filing date | put |
| EXPE US 04/17/15 C102 | CM6922769 | OPT | 222 | $3,000 | thousands by filing date | call |
| MYL US 05/15/15 P57.5 | CM6922784 | OPT | 11 | $3,000 | thousands by filing date | put |
| HAL US 05/15/15 P38 | CM6941110 | OPT | 111 | $3,000 | thousands by filing date | put |
| KRFT US 04/17/15 C90 | CM6996138 | OPT | 56 | $3,000 | thousands by filing date | call |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 68,210 | $2,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,385 | $2,000 | thousands by filing date | |
| Torvec Inc | 891479107 | Com | 10,250 | $2,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 10,000 | $2,000 | thousands by filing date | |
| PRE US 05/15/15 C115 | CM6264974 | OPT | 8 | $2,000 | thousands by filing date | call |
| BEAV US 04/17/15 P50 | CM6490510 | OPT | 208 | $2,000 | thousands by filing date | put |
| TAP US 04/17/15 P67.5 | CM6527324 | OPT | 112 | $2,000 | thousands by filing date | put |
| WFT US 04/17/15 P10 | CM6702878 | OPT | 480 | $2,000 | thousands by filing date | put |
| ABBV US 05/15/15 P52.5 | CM6702883 | OPT | 42 | $2,000 | thousands by filing date | put |
| BERY US 04/17/15 P30 | CM6739557 | OPT | 166 | $2,000 | thousands by filing date | put |
| AVG US 04/17/15 P20 | CM6739565 | OPT | 111 | $2,000 | thousands by filing date | put |
| HUBB US 04/17/15 P95 | CM6746189 | OPT | 111 | $2,000 | thousands by filing date | put |
| SLXP US 07/17/15 P165 | CM6764527 | OPT | 174 | $2,000 | thousands by filing date | put |
| ABBV US 05/15/15 P55 | CM6875004 | OPT | 22 | $2,000 | thousands by filing date | put |
| TAP US 04/17/15 P70 | CM6922777 | OPT | 55 | $2,000 | thousands by filing date | put |
| BOBE US 05/15/15 P40 | CM6922780 | OPT | 111 | $2,000 | thousands by filing date | put |
| AA US 05/15/15 P12 | CM6977787 | OPT | 54 | $2,000 | thousands by filing date | put |
| KRFT US 05/15/15 C90 | CM6996136 | OPT | 14 | $2,000 | thousands by filing date | call |
| HRS US 05/15/15 P65 | CM6996141 | OPT | 111 | $2,000 | thousands by filing date | put |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $1,000 | thousands by filing date | |
| VERTICAL COMPUTER SYSTEMS INC | 92532R203 | COM | 22,850 | $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 | |
| CIE US 04/17/15 P4 | CM6490508 | OPT | 311 | $1,000 | thousands by filing date | put |
| JNPR US 04/17/15 P20 | CM6490509 | OPT | 207 | $1,000 | thousands by filing date | put |
| WFT US 04/17/15 P9 | CM6527328 | OPT | 395 | $1,000 | thousands by filing date | put |
| JNPR US 04/17/15 P21 | CM6702877 | OPT | 65 | $1,000 | thousands by filing date | put |
| AA US 04/17/15 P12 | CM6739561 | OPT | 54 | $1,000 | thousands by filing date | put |
| AA US 04/17/15 C14 | CM6739562 | OPT | 54 | $1,000 | thousands by filing date | call |
| VSI US 04/17/15 P35 | CM6746190 | OPT | 111 | $1,000 | thousands by filing date | put |
| PRE US 05/15/15 P105 | CM6747747 | OPT | 21 | $1,000 | thousands by filing date | put |
| HAL US 04/17/15 P37.5 | CM6752755 | OPT | 222 | $1,000 | thousands by filing date | put |
| GSAT US 04/17/15 P2.5 | CM6752765 | OPT | 109 | $1,000 | thousands by filing date | put |
| DKS US 04/17/15 P52.5 | CM6764524 | OPT | 111 | $1,000 | thousands by filing date | put |
| DKS US 04/17/15 P50 | CM6764528 | OPT | 111 | $1,000 | thousands by filing date | put |
| YUM US 04/17/15 P70 | CM6782982 | OPT | 111 | $1,000 | thousands by filing date | put |
| TSN US 04/17/15 P34 | CM6782984 | OPT | 111 | $1,000 | thousands by filing date | put |
| MSI US 04/17/15 P57.5 | CM6782985 | OPT | 111 | $1,000 | thousands by filing date | put |
| MSI US 04/17/15 P60 | CM6782986 | OPT | 67 | $1,000 | thousands by filing date | put |
| GSAT US 04/17/15 P3 | CM6867764 | OPT | 68 | $1,000 | thousands by filing date | put |
| ENR US 04/17/15 C150 | CM6941113 | OPT | 45 | $1,000 | thousands by filing date | call |
| KRFT US 05/15/15 P80 | CM6959453 | OPT | 14 | $1,000 | thousands by filing date | put |
| HRS US 04/17/15 P70 | CM6996145 | OPT | 58 | $1,000 | thousands by filing date | put |
| KRFT US 05/15/15 C95 | CM7014513 | OPT | 15 | $1,000 | thousands by filing date | call |
| 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 | 375,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVERGREEN ENERGY INC | 30024B203 | COMMON STOCK | 19,290 | $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. |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 20,000 | $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. |
| AIG Fractional CUSIP | ACG874152 | Com | 87,326 | $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 | 124,138 | $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. |
| 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. |
| 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 | 22,400 | $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 | 13,415 | $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. |
| 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. |
| Xhibit Corp Inc | 98419u102 | U.S. COMMON STOCK | 11,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSENSA HLDGS CVR | N71CVR992 | COM | 16,099 | $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. |
| STRATOCOMM CORP | 863095105 | COM | 15,500 | $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. |
| DLTR US 05/15/15 P62.5 | CM6074551 | OPT | 33 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VRX US 04/17/15 C200 | CM6545426 | OPT | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| TRW US 07/17/15 P95 | CM6702876 | OPT | 2 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| GSAT US 04/17/15 P2 | CM6746191 | OPT | 27 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| SLXP US 04/17/15 C175 | CM6819740 | OPT | 80 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| VIAB US 04/17/15 P65 | CM6819747 | OPT | 14 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| KRFT US 05/15/15 P75 | CM6959445 | OPT | 8 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| FEDERAL-MOGUL HOLDINGS CORP - RTS | 313549131 | WT | 74,190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-005969 | this filing | 2015-05-14 | acceptance time not in the bulk data set |