13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-13, with 4,067 holding rows worth $175,685,939,000.
- Accession
- 0000950123-15-008893
- Filer
- CIK 820027
- Filed
- 2015-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A combination report, 7,555 entries on the cover page, a total value of $175,685,939,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $175,685,939,000 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 York028-10460
- 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 |
|---|---|---|---|---|---|---|
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 13,444 | $435,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 17,168 | $435,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 17,151 | $434,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 213,937 | $434,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 3,022 | $433,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 12,354 | $432,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 10,099 | $432,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 11,727 | $430,000 | thousands by filing date | |
| DIGITAL RLTY TR - PFD G | 253868889 | EQPFD | 18,153 | $430,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 14,161 | $430,000 | thousands by filing date | |
| ITV ADR | 45069P107 | Common Stock | 10,252 | $429,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 22,200 | $427,000 | thousands by filing date | call |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 46,265 | $427,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 81,004 | $427,000 | thousands by filing date | |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 56,407 | $424,000 | thousands by filing date | |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 17,011 | $423,000 | thousands by filing date | |
| HALYK SAVING-GDR | 46627J302 | COM | 49,650 | $422,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 26,777 | $421,000 | thousands by filing date | |
| SYMRISE AG UNSPONS ADR | 87155N109 | FOREIGN | 27,138 | $421,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 15,046 | $417,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 4,760 | $416,000 | thousands by filing date | |
| SKY PLC SPONSORED ADR | 83084V106 | Stock | 6,308 | $415,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 16,896 | $414,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 14,027 | $413,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 12,309 | $411,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 26,594 | $410,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 7,236 | $409,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 4,800 | $409,000 | thousands by filing date | put |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 8,007 | $408,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 44,481 | $407,000 | thousands by filing date | |
| DIGITAL RLTY TR INC PFD SER H | 253868871 | REIT | 15,114 | $407,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 10,164 | $405,000 | thousands by filing date | |
| ISHARES TR | 46429B408 | CMN | 10,530 | $405,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 6,779 | $403,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 14,295 | $401,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 35,228 | $401,000 | thousands by filing date | |
| HMH PUBLISHERS LLC | CM0005552 | COM | 18,619 | $400,000 | thousands by filing date | |
| ENTERGY MISSISSIPPI 2051 1ST MTG BN | 29364N835 | PREFERRED STOCK | 15,651 | $400,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 3,800 | $399,000 | thousands by filing date | put |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 31,784 | $397,000 | thousands by filing date | |
| KIMCO PFD H 6.90% H K | 49446R828 | PREFERR | 15,751 | $397,000 | thousands by filing date | |
| AMERICAN FINL GROUP INC 6 25 1 563 PFD | 025932609 | PREFERRED | 15,597 | $397,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 3,732 | $396,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 9,335 | $396,000 | thousands by filing date | |
| JAGUAR MNG INC COM NEW | 47009M400 | Stock | 2,658,666 | $394,000 | thousands by filing date | |
| THE ALLSTATE 6.25 PFD CALLE | 020002853 | PFD | 15,537 | $393,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 29,107 | $392,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 9,088 | $392,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 3,838 | $391,000 | thousands by filing date | |
| CORUS ENTERTAINMENT INC-B SH | 220874101 | COM | 29,263 | $391,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 45,854 | $390,000 | thousands by filing date | |
| PROVIDENT FINL PLC SPONSORED ADR | 74387B103 | ADR | 8,455 | $390,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 6,940 | $389,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y825 | US 500 INDEX ETF | 9,925 | $389,000 | thousands by filing date | |
| DAYCO LLC | 570388108 | COM | 9,586 | $389,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 20,765 | $388,000 | thousands by filing date | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 57,569 | $387,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 36,310 | $384,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 53,833 | $381,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 17,320 | $381,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 24,800 | $380,000 | thousands by filing date | call |
| ENOVIS CORP | 194014106 | COMMON STOCK | 8,207 | $379,000 | thousands by filing date | |
| ENTERGY ARKANSAS INC | 29364D779 | PRF | 14,998 | $376,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 19,118 | $374,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 8,921 | $373,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 8,552 | $372,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 11,812 | $371,000 | thousands by filing date | |
| COMMSCOPE HLDG CO INC | 20337X109 | COM | 12,100 | $369,000 | thousands by filing date | call |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,887 | $369,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 17,003 | $366,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 47,556 | $366,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 4,800,000 | $366,000 | thousands by filing date | principal |
| NEXTERA ENERGY CAPITAL 5.7% | 65339K605 | PREFERRED STOCK | 15,177 | $366,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 14,503 | $366,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 13,679 | $364,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 16,798 | $362,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 237,851 | $362,000 | thousands by filing date | |
| Lenovo Group Ltd | 526250105 | Equity | 12,984 | $360,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 14,102 | $360,000 | thousands by filing date | |
| SAFEWAY INC CASA LEY CVR | BAX524ZC5 | COM | 392,201 | $360,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 23,336 | $359,000 | thousands by filing date | |
| AIRBUS SE UNSPONSORED ADR | 009279100 | COM | 22,043 | $358,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 40,738 | $358,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 26,390 | $358,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 13,304 | $357,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 16,276 | $357,000 | thousands by filing date | |
| KIMCO RLTY CORP DEP1/1000PFD K | 49446R745 | PFD | 14,766 | $357,000 | thousands by filing date | |
| ALEXANDRIA REAL | 015271703 | PFD | 13,876 | $357,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 22,721 | $356,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 22,846 | $356,000 | thousands by filing date | |
| CAP GEMINI SA ADR | 139098107 | COM | 8,020 | $356,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 3,781 | $355,000 | thousands by filing date | |
| KIMCO REALTY CORP | 49446R778 | PRD | 14,681 | $354,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 6,786 | $353,000 | thousands by filing date | |
| Digital Realty Trust 6.625% Pfd Series F | 253868806 | com | 13,938 | $353,000 | thousands by filing date | |
| Goldman Sachs Series D Pref | 38144G804 | Preferred Stock | 17,320 | $352,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 12,017 | $352,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 29,166 | $350,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 11,185 | $350,000 | thousands by filing date | |
| ZELTIQ AESTHETICS INC | 98933Q108 | COM | 11,787 | $348,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 3,779 | $347,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 7,351 | $344,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 50,076 | $343,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 6,343 | $343,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 5,080,000 | $343,000 | thousands by filing date | principal |
| SYSMEX COR | 87184P109 | USD | 11,417 | $341,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 46,802 | $341,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 4,005 | $339,000 | thousands by filing date | |
| Nextera Energy Ser H 5.625% du | 65339K704 | PRD | 14,123 | $339,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 12,552 | $338,000 | thousands by filing date | |
| VORNADO REALTY 5.4 PFDPFD SER L | 929042844 | PREFERRED STOCK | 15,089 | $338,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 994,857 | $338,000 | thousands by filing date | |
| SUNTRUST BANKS 5.875% SERIES E | 867914889 | PREFERR | 13,892 | $338,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 8,129 | $337,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 18,008 | $337,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 16,298 | $336,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 11,631 | $335,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 5,890 | $334,000 | thousands by filing date | |
| COMMONWEALTH BK AUS-SP ADR | 202712600 | COM | 5,092 | $333,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 12,781 | $332,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 13,899 | $332,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 9,122 | $329,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 9,900 | $328,000 | thousands by filing date | |
| GENMAB A/S | K3967W102 | COM | 3,775 | $328,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 15,533 | $327,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 32,645 | $327,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 10,913 | $327,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 8,519 | $325,000 | thousands by filing date | |
| ADECCO GROUP AG ADR | 006754204 | COM | 8,026 | $325,000 | thousands by filing date | |
| DTE Energy 6.5% Jr Sub Call 12 | 233331602 | PFD | 12,584 | $324,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 22,246 | $323,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 3,066 | $322,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 8,105 | $322,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 12,403 | $321,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 24,556 | $320,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 39,736 | $319,000 | thousands by filing date | |
| VIVENDI SA-UNSPON ADR | 92852T201 | COM | 12,672 | $319,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 4,502 | $319,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 9,572 | $315,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 12,106 | $315,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 271,338 | $315,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 2,015 | $315,000 | thousands by filing date | |
| LUKOIL OAO-SPON ADR | 677862997 | COM | 7,168 | $315,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 8,454 | $314,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 28,287 | $314,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 4,512 | $313,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 7,047 | $312,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 8,851 | $312,000 | thousands by filing date | |
| HITACHI LTD | 433578507 | COM | 4,688 | $309,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 22,126 | $309,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 212,965 | $309,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 24,508 | $307,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 2,117 | $307,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 7,886 | $306,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 11,749 | $306,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 5,700 | $304,000 | thousands by filing date | put |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 26,038 | $304,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 12,452 | $301,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 20,951 | $301,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 4,109 | $300,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 17,591 | $300,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 13,850 | $300,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 6,015 | $299,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 4,646 | $299,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 5,829 | $299,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 26,147 | $297,000 | thousands by filing date | |
| CITY NATL CORP SER C | 17800x202 | PREFERRED | 12,225 | $294,000 | thousands by filing date | |
| AMG Pfd 6.375% | 008252876 | Pfd | 11,437 | $294,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 3,370 | $293,000 | thousands by filing date | |
| SES | 817712995 | GDR | 8,700 | $292,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 35,551 | $291,000 | thousands by filing date | |
| NEXTERA ENERGY 5.00% SER J | 65339K886 | PUBLIC | 12,740 | $289,000 | thousands by filing date | |
| DAVIDE CAMPARI-MILANO ADR | 23857W105 | ADR | 74,775 | $289,000 | thousands by filing date | |
| US BANCORP | 902973155 | Common Stock | 12,988 | $288,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 6,267 | $285,000 | thousands by filing date | |
| COLUMBIA PROPERTY TRUST INC | 198287203 | COM NEW | 11,563 | $284,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 11,343 | $283,000 | thousands by filing date | |
| AB VOLVO B ADR | 928856400 | ADR | 22,821 | $283,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 3,130 | $282,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 10,656 | $282,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 9,777 | $281,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 11,647 | $281,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 11,121 | $280,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 7,672 | $278,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 11,896 | $277,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 4,164 | $277,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 7,348 | $276,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 11,039 | $275,000 | thousands by filing date | |
| GRUMA S.A.B. SPONSORED ADR | 400131306 | ADR | 5,332 | $275,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 16,233 | $275,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 12,614 | $274,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 4,917 | $273,000 | thousands by filing date | |
| AUTOHOME INC SP ADS RP CL A | 05278C107 | ADR | 5,375 | $272,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 14,694 | $272,000 | thousands by filing date | |
| GDF SUEZ-SPON ADR | 36160B105 | ADR | 14,699 | $272,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 9,624 | $271,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 10,581 | $269,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 2,626 | $268,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 5,313 | $268,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 11,046 | $266,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 9,919 | $266,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 14,409 | $265,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 23,980 | $263,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 32,345 | $263,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 9,066 | $263,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 10,263 | $263,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 6,694 | $261,000 | thousands by filing date | |
| GUGGENHEIM ETF | 78355W866 | cs | 4,055 | $261,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 8,845 | $260,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 5,174 | $259,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 10,397 | $258,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 5,464 | $258,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 33,933 | $258,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 9,918 | $258,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 5,552 | $258,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,815 | $257,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 49,420 | $256,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 16,422 | $255,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 12,830 | $255,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 6,270 | $254,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 25,460 | $253,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 5,646 | $252,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 4,064 | $251,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 3,987 | $250,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 2,185 | $250,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 25,685 | $249,000 | thousands by filing date | |
| ENTERGY ARKANSAS | 29364D761 | PFD | 10,431 | $249,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,741 | $248,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 16,379 | $247,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 13,212 | $247,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 19,134 | $246,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 13,882 | $246,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 10,132 | $245,000 | thousands by filing date | |
| ISHARES INC | 464286210 | EURO HIGH YIELD | 5,188 | $244,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 8,093 | $244,000 | thousands by filing date | |
| PPL Corp. 5.9% | 69352P202 | PRD | 9,856 | $244,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 5,717 | $243,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 13,442 | $243,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 16,552 | $243,000 | thousands by filing date | |
| PUBLIC STORAGE CL A | 74460W792 | PFDs, REITs, | 9,731 | $243,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 2,412 | $242,000 | thousands by filing date | |
| ZS PHARMA INC | 98979G105 | Common Stock | 4,620 | $242,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 2,827 | $241,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 7,762 | $238,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 11,989 | $238,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 9,150 | $238,000 | thousands by filing date | |
| ING GROEP NV | 456837707 | PRF | 9,543 | $238,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 5,060 | $237,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 30,425 | $237,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 18,599 | $237,000 | thousands by filing date | |
| IPATH GSCI TOTAL RETURN INDEX ETF (GSP) | 06738C794 | ETF | 11,449 | $237,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 4,771 | $236,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 2,610 | $236,000 | thousands by filing date | |
| TOPDANMARK A/S-UNSPON ADR | 89054C101 | ADR | 89,517 | $236,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,775 | $235,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 21,766 | $235,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 14,037 | $235,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 18,952 | $235,000 | thousands by filing date | |
| SUNTORY BEVERAGE & FOOD LTD AD | 86803T104 | ADR | 11,694 | $235,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 24,086 | $235,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 23,419 | $235,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 15,744 | $234,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 13,200 | $233,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 7,023 | $233,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 18,282 | $232,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 21,113 | $232,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 25,924 | $231,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 15,770 | $231,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 7,476 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,374 | $230,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 14,565 | $229,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 6,344 | $229,000 | thousands by filing date | |
| ETRACS ALERIAN NAT GAS MLP | 902641620 | CMN | 7,563 | $229,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 7,481 | $228,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 3,497 | $228,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 5,844 | $228,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 4,386 | $228,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,894 | $226,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 2,204 | $226,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 5,246 | $226,000 | thousands by filing date | |
| WELLS FARGO & COMPANY 5.125% P | 949746721 | PREFERR | 9,750 | $226,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 8,318 | $225,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 12,393 | $225,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 15,677 | $224,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 2,494 | $224,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 7,161 | $224,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 8,102 | $224,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 14,950 | $223,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 11,953 | $223,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 4,513 | $222,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 15,194 | $220,000 | thousands by filing date | |
| Swiss Re Ltd. | 870886108 | COM | 9,974 | $220,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 9,717 | $220,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,906 | $219,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 7,900 | $219,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 3,754 | $219,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 4,476 | $218,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 8,474 | $218,000 | thousands by filing date | |
| Entergy Ark Inc 1ST | 29364D753 | Equity | 9,263 | $218,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 64,991 | $217,000 | thousands by filing date | |
| TORCHMARK CORP | 891027302 | PFD | 8,621 | $217,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,118 | $216,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 284,026 | $216,000 | thousands by filing date | |
| Affiliated Mgrs Senior Nt 5.25 | 008252868 | PRD | 8,546 | $216,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 9,495 | $215,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 9,273 | $215,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 2,405 | $214,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 3,446 | $214,000 | thousands by filing date | |
| ISHARES INC | 464286756 | MSCI SWEDEN ETF | 6,736 | $214,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 18,170 | $214,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 6,728 | $213,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 6,626 | $213,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 5,397 | $213,000 | thousands by filing date | |
| REGENCY CTRS CORP PFD SER 7 6 | 758849806 | PFD | 8,575 | $213,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 12,500 | $212,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 29,765 | $212,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 14,747 | $212,000 | thousands by filing date | |
| DTE ENERGY CO $1.313 PFD | 233331701 | PREFERRED | 8,589 | $212,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 15,792 | $212,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 9,324 | $211,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 32,797 | $211,000 | thousands by filing date | |
| PUBLIC STORAGE 5.20% SERIES X | 74460W107 | PREFERR | 9,025 | $211,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 16,566 | $210,000 | thousands by filing date | |
| AMER FINANCIAL GP INC HLDG CO | 025932500 | PRF | 8,402 | $210,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 5,549 | $209,000 | thousands by filing date | |
| EXTERRAN PARTNERS LP | 30225N105 | COM UNITS | 9,227 | $208,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 8,042 | $208,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 44,295 | $207,000 | thousands by filing date | |
| CDW CORP COM | 12514G108 | Stock | 6,030 | $206,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 8,250 | $206,000 | thousands by filing date | |
| PS BUSINESS PKS INC CALIF S R1 | 69360J669 | PFD | 8,661 | $206,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 16,077 | $205,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 25,480 | $203,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 11,109 | $203,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,748 | $203,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 17,731 | $202,000 | thousands by filing date | |
| BREEZE-EASTERN CORP | 106764103 | COMM STK | 17,600 | $202,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 28,826 | $201,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 2,736 | $201,000 | thousands by filing date | |
| DAIICHI SANKYO CO LTD ADR | 23381D102 | ADR | 10,793 | $200,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 19,130 | $200,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 11,982 | $196,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,263 | $196,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 19,266 | $192,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 30,250 | $192,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 16,918 | $189,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 44,582 | $188,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 10,974 | $188,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 17,012 | $186,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 51,525 | $186,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 13,557 | $184,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 18,980 | $183,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 25,693 | $183,000 | thousands by filing date | |
| ACCOR SA SPONSORED ADR | 00435F309 | COM | 17,672 | $182,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 12,760 | $181,000 | thousands by filing date | |
| HOLCIM LTD-UNSPON ADR | 434741203 | COM | 12,240 | $181,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 22,901 | $180,000 | thousands by filing date | |
| Atos SE | 04962A105 | Common Stock | 11,835 | $180,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 1,749,000 | $180,000 | thousands by filing date | principal |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 1,092,000 | $179,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 15,050 | $171,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 25,200 | $170,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 16,774 | $170,000 | thousands by filing date | |
| KIRIN BREWERY CO ADR | 497350306 | COM | 12,344 | $170,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 13,435 | $168,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 12,524 | $167,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 13,292 | $166,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 18,462 | $165,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,970 | $162,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 19,219 | $162,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 11,673 | $160,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 46,930 | $160,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 28,076 | $159,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 11,992 | $159,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 11,786 | $157,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 16,562 | $157,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 34,211 | $156,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 20,914 | $156,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 74,763 | $156,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 36,105 | $155,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 19,564 | $155,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 11,498 | $154,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 11,927 | $154,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 32,149 | $153,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,163 | $153,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,382 | $151,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 16,023 | $151,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 15,266 | $147,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 69,006 | $141,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 1,500 | $141,000 | thousands by filing date | call |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,618 | $140,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 30,464 | $140,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 17,593 | $139,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 11,760 | $137,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 12,490 | $136,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 17,801 | $136,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 16,720 | $136,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 21,330 | $136,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 11,000 | $133,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 10,430 | $132,000 | thousands by filing date | |
| Prosiebensat 1 Media SE | 743476202 | COM | 10,747 | $132,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 11,233 | $131,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 11,579 | $130,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,040 | $126,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 5,800 | $126,000 | thousands by filing date | call |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,591 | $124,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,561 | $123,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 116,742 | $119,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 13,279 | $115,000 | thousands by filing date | |
| INPEX CORP UNSPON ADR | 45790H101 | COM | 10,150 | $115,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 11,136 | $114,000 | thousands by filing date | |
| FUCHS PETROLUB ADR | 35952Q106 | COM | 10,731 | $114,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 306,500 | $113,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 13,812 | $113,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 29,296 | $111,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 16,365 | $110,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 19,470 | $106,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,837 | $106,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 18,390 | $103,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 40,925 | $101,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 10,029 | $98,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 13,995 | $98,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,100 | $95,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 25,457 | $92,000 | thousands by filing date | |
| SERITAGE GROWTH P 15 RTS | 81752R118 | wt | 28,810 | $92,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 17,930 | $90,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 12,082 | $89,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 16,974 | $89,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 12,710 | $87,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 18,046 | $86,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 13,445 | $86,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 23,527 | $85,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 11,504 | $83,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 10,122 | $82,000 | thousands by filing date | |
| TURKIYE GARANTI BANK | 900148701 | COM | 25,200 | $79,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 16,524 | $79,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 14,632 | $78,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 10,135 | $78,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 25,900 | $76,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 13,885 | $72,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $72,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $71,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 11,137 | $70,000 | thousands by filing date | |
| CATAMARAN CORP | 148887102 | COM | 1,100 | $67,000 | thousands by filing date | call |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 13,226 | $66,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 10,721 | $66,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 11,160 | $63,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 23,295 | $62,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 36,250 | $62,000 | thousands by filing date | |
| EDUCATION MANAGEMENT LLC | 28140M871 | COM | 2,303,005 | $62,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 11,000 | $60,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 20,000 | $59,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 10,102 | $58,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,605 | $57,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 13,581 | $57,000 | thousands by filing date | |
| PROSAFE SE ADR | 74346V109 | COM | 16,277 | $56,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 10,605 | $53,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,630 | $53,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 12,112 | $53,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 23,551 | $49,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 11,544 | $48,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 47,000 | $47,000 | thousands by filing date | principal |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 14,184 | $46,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 11,510 | $46,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 28,000 | $45,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 13,420 | $43,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $42,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 40,000 | $41,000 | thousands by filing date | principal |
| QUANTUM CORP | 747906204 | COM DSSG | 24,390 | $41,000 | thousands by filing date | |
| KROTON EDUCACIONAL S A SPONSORED ADR | 50106A402 | Stock | 10,824 | $41,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 16,942 | $39,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 44,026 | $39,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 23,301 | $38,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 18,033 | $37,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 12,740 | $36,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 12,498 | $33,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 11,025 | $33,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 16,000 | $32,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $32,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 11,116 | $31,000 | thousands by filing date | |
| CATAMARAN CORP | 148887102 | COM | 500 | $31,000 | thousands by filing date | put |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 11,691 | $29,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $28,000 | thousands by filing date | |
| PARKS! AMERICA INC | 701455107 | COM | 535,000 | $26,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 15,310 | $25,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 43,410 | $24,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 10,416 | $23,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 14,625 | $23,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 12,000 | $19,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,167 | $18,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 15,120 | $18,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 17,000 | $18,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 392,201 | $17,000 | thousands by filing date | |
| FEDERAL HYDROGENERATING-ADR | 466294105 | COM | 16,298 | $16,000 | thousands by filing date | |
| ELITE PHARMACEUTICALS INC COM NEW | 28659T200 | Common Stock | 75,000 | $15,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,448 | $14,000 | thousands by filing date | |
| ADELPHIA CONTINGENT VALUE | 00685R706 | COM | 1,410,902 | $14,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 10,350 | $13,000 | thousands by filing date | |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 10,600 | $13,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 4,510,000 | $11,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-008893 | this filing | 2015-08-13 | acceptance time not in the bulk data set |