13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-12, with 3,899 holding rows worth $161,461,477,000.
- Accession
- 0000950123-15-011519
- Filer
- CIK 820027
- Filed
- 2015-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A combination report, 7,375 entries on the cover page, a total value of $161,461,477,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $161,461,477,000 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 filerColumbia Management Investment Advisers, LLC 028-10477
- reports for this filerAmeriprise Trust Co 028-10458
- reports for this filerAmeriprise Certificate Co 028-00140
- reports for this filerRiverSource Life Insurance Co 028-00143
- reports for this filerRiverSource Life Insurance Co of New York 028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD 028-10644
- reports for this filerAmeriprise Financial Services, Inc. 028-14918
- 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 |
|---|---|---|---|---|---|---|
| PIER 1 IMPORTS INC | 720279108 | COM | 137,285 | $947,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 31,295 | $946,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 32,596 | $944,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 300,005 | $942,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 17,467 | $941,000 | thousands by filing date | |
| ONEMAIN HOLDINGS | 85172J101 | COM | 21,470 | $938,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 8,994 | $934,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 23,955 | $932,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 77,457 | $930,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 31,549 | $927,000 | thousands by filing date | |
| FIRST TR EMERGING ETF MARKETS SMALL CAP ALPHADEX FUND | 33737J307 | ETF | 34,419 | $926,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932703 | 500 VAL IDX FD | 11,432 | $925,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 37,221 | $921,000 | thousands by filing date | |
| MKT V. SHORT MUNI INDEX | 57060U803 | ETF | 52,472 | $918,000 | thousands by filing date | |
| Fresenius Se & Co Kgaa | 35804M105 | USD | 54,696 | $915,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38145G308 | PRF | 37,117 | $909,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 71,596 | $908,000 | thousands by filing date | |
| AIA GROUP LTD SPONSORED ADR | 001317205 | ADUS | 43,167 | $901,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 86,532 | $898,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 13,312 | $896,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 57,839 | $894,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 40,725 | $891,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 16,140 | $890,000 | thousands by filing date | |
| GIVAUDAN SA ADR | 37636P108 | COM | 27,296 | $886,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 32,287 | $884,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 15,100 | $881,000 | thousands by filing date | put |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 8,768 | $879,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 9,435 | $878,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 43,460 | $873,000 | thousands by filing date | |
| PUBLICIS S A NEW SPONSORED ADR | 74463M106 | ADUS | 51,148 | $873,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 9,976 | $871,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 206,445 | $871,000 | thousands by filing date | |
| PROVIDENT FINL PLC SPONSORED ADR | 74387B103 | ADR | 17,928 | $871,000 | thousands by filing date | |
| OIL GAS OR OTHER MINERALS DEEMED WORTHLESS | 9O7217227 | COM | 1 | $871,000 | thousands by filing date | |
| RED ELECTRICA ADR | 756568101 | COM | 52,614 | $870,000 | thousands by filing date | |
| SAMSUNG ELECTR-GDR | CM5495209 | GDR | 1,838 | $869,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 55,689 | $868,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 16,612 | $864,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 40,977 | $861,000 | thousands by filing date | |
| Australia & New Zealand Bankin | 052528304 | ADR | 44,832 | $859,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 27,121 | $858,000 | thousands by filing date | |
| ISHARES TR | 46432FAD9 | 2016 INVTGR BD | 8,678 | $856,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 27,063 | $855,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 45,256 | $855,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 13,174 | $853,000 | thousands by filing date | |
| REXAM PLC | 761655604 | COMMON | 21,663 | $852,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 99,058 | $849,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 34,853 | $847,000 | thousands by filing date | |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 62,351 | $838,000 | thousands by filing date | |
| DAIKIN INDS LTD UNSPONS ADR | 23381B106 | FOREIGN | 7,506 | $838,000 | thousands by filing date | |
| Informa PLC | 45672B305 | COM | 48,318 | $838,000 | thousands by filing date | |
| Sodexo | 833792104 | COM | 50,713 | $837,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 42,581 | $837,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 19,361 | $836,000 | thousands by filing date | |
| SYMRISE AG UNSPONS ADR | 87155N109 | FOREIGN | 55,825 | $834,000 | thousands by filing date | |
| SGS SA UNSPONSORED ADR | 818800104 | ADUS | 47,855 | $833,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 20,072 | $833,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 37,701 | $832,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 10,180 | $831,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 2,219 | $830,000 | thousands by filing date | |
| ALERIS INTERNATIONAL INC | U01995148 | COM | 25,910 | $829,000 | thousands by filing date | |
| FORUM ENERGY TECHNOLOGIES | 34984V100 | COMMON STOCK | 67,625 | $826,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 22,480 | $824,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 111,557 | $824,000 | thousands by filing date | |
| Public Storage 5.3 | 74460W800 | PFD | 33,833 | $820,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 36,119 | $817,000 | thousands by filing date | |
| BEL FUSE INC | 077347300 | CL B | 41,962 | $816,000 | thousands by filing date | |
| ISHARES INDIA 50 ETF | 464289529 | UIT EXCHANGE TRADED | 29,232 | $816,000 | thousands by filing date | |
| AXA SA FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 054536107 | ADR | 33,011 | $811,000 | thousands by filing date | |
| NIVALIS THERAPEUTICS INC | 65481J109 | COM | 62,515 | $811,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 37,422 | $809,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 8,951 | $808,000 | thousands by filing date | |
| AGILYSYS INC | 00847J105 | COM | 72,130 | $802,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 93,545 | $800,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 39,380 | $798,000 | thousands by filing date | |
| RECKITT BENCKISER-SPON AD | 756255204 | ADR | 43,410 | $797,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 83,177 | $797,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W364 | BRCLYS NEGTV DUR | 18,139 | $794,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 33,502 | $790,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 77,305 | $789,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 187,190 | $786,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 29,664 | $786,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 222,040 | $784,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 14,072 | $784,000 | thousands by filing date | |
| SEABOARD CORP DEL | 811543107 | COM | 254 | $782,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 209,968 | $779,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 130,155 | $779,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 28,265 | $777,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 14,860 | $774,000 | thousands by filing date | |
| SENECA FOODS CORP NEW | 817070501 | CL A | 29,250 | $771,000 | thousands by filing date | |
| PRIMERO MINING CORP | 74164WAA4 | CONV BND | 769,000 | $769,000 | thousands by filing date | principal |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 25,517 | $760,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 103,300 | $760,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M423 | GUGG BULL 2015 | 27,475 | $757,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 32,944 | $755,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 25,926 | $753,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 8,477 | $749,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 5,050 | $747,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L100 | MORNSTAR USMKT | 9,191 | $743,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.2% $1.55 PFD | 38144X500 | PREFERRED | 28,935 | $741,000 | thousands by filing date | |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 201,670 | $740,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 21,426 | $739,000 | thousands by filing date | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 152,826 | $738,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 20,780 | $737,000 | thousands by filing date | |
| SANTEN PHARMACEUTICAL UN ADR | 80287P100 | COM | 54,999 | $736,000 | thousands by filing date | |
| BARCLAYS BANK PLC 8.125% P | 06739H362 | ADR PFD SR 5 | 28,467 | $736,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 26,204 | $735,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 37,766 | $734,000 | thousands by filing date | |
| ASSOC BRITISH FOODS UNSP ADR | 045519402 | COM | 14,377 | $731,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 113,441 | $730,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 40,725 | $724,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 370,270 | $722,000 | thousands by filing date | |
| KASIKORNBANK PCL UNSPON ADR | 485785109 | COM | 37,847 | $718,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,898 | $717,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 36,162 | $717,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.125% $1.53125 PFD | 38145X111 | PREFERRED | 28,317 | $717,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 10,091 | $716,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 12,951 | $716,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 106,378 | $715,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 89,417 | $714,000 | thousands by filing date | |
| BB&T CORP 5.625% PFD | 054937404 | ps | 28,629 | $710,000 | thousands by filing date | |
| DAIMLER A G ADR F SPONSORED AD | 233825108 | ADR | 9,740 | $710,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 31,100 | $708,000 | thousands by filing date | call |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 45,780 | $708,000 | thousands by filing date | |
| ETRACS Wells Fargo Busine | 902641588 | ETRAC WELLS BDCI | 35,549 | $707,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 17,252 | $706,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 9,958 | $703,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 26,613 | $703,000 | thousands by filing date | |
| HRG GROUP INC COM | 40434J100 | Stock | 59,926 | $703,000 | thousands by filing date | |
| KBC GROUP | 48241F104 | USD | 22,260 | $700,000 | thousands by filing date | |
| Komatsu Ltd. | 500458401 | COM | 47,292 | $697,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 18,174 | $694,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 49,317 | $690,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549203 | COMMON STOCK | 498,111 | $688,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 73,795 | $687,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 53,389 | $685,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 18,600 | $685,000 | thousands by filing date | call |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 55,760 | $684,000 | thousands by filing date | |
| UNITED OVERSEAS BK LTD SPONSOR | 911271302 | ADUS | 26,196 | $684,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 20,768 | $682,000 | thousands by filing date | |
| GUARANTY BANCORP | 40075T607 | COM | 41,295 | $680,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 9,135 | $678,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 9,283 | $675,000 | thousands by filing date | |
| Koninklijke KPN NV | 780641205 | ADR | 177,866 | $675,000 | thousands by filing date | |
| MORGAN STANLEY CAP TRUST #4 PF | 617462205 | PREFERR | 26,621 | $674,000 | thousands by filing date | |
| SANLAM LTD-SPONSORED ADR | 80104Q208 | COM | 77,336 | $670,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 33,070 | $668,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 24,737 | $667,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 69,762 | $663,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 32,271 | $660,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 53,849 | $659,000 | thousands by filing date | |
| MEDIOLANUM SPA UNSPONSORED ADR | 58502L104 | EQUITY | 32,347 | $658,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 35,523 | $655,000 | thousands by filing date | |
| ASSURED GUARANTY MUNI | 04623A403 | PRF | 26,593 | $649,000 | thousands by filing date | |
| DOUGLAS DYNAMICS INC | 25960R105 | COM | 32,485 | $645,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 34,631 | $645,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 31,213 | $644,000 | thousands by filing date | |
| DBX ETF TR | 233051820 | XTRACK MSCI ALL | 28,416 | $642,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 12,396 | $639,000 | thousands by filing date | |
| MITSUBISHI | 606783207 | USD | 31,064 | $638,000 | thousands by filing date | |
| Pernod Ricard SA ADR | 714264207 | COM | 31,699 | $637,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 24,827 | $635,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 63,757 | $634,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 18,684 | $634,000 | thousands by filing date | |
| DEUTSCHE STRATEGIC INCOME TR | 25160F109 | SHS | 61,078 | $628,000 | thousands by filing date | |
| ASHTEAD GROUP PLC | 045055100 | COMMON STK | 11,095 | $627,000 | thousands by filing date | |
| RYOHIN KEIKAKU CO UNSP ADR | 78392U105 | COM | 15,410 | $626,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 18,762 | $624,000 | thousands by filing date | |
| BANK AMERICA CORP | 060505583 | Common Stock | 30,549 | $624,000 | thousands by filing date | |
| DAVIDE CAMPARI-MILANO ADR | 23857W105 | ADR | 158,200 | $618,000 | thousands by filing date | |
| Industria De Diseno Textil SA | 455793109 | ADR | 36,962 | $617,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 49,700 | $616,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 28,014 | $615,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 29,262 | $612,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 173,820 | $612,000 | thousands by filing date | |
| ISHARES TR | 46432F875 | MRNGSTR INC ETF | 25,975 | $611,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 184,281 | $608,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 46,823 | $607,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 13,253 | $606,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 17,356 | $606,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 13,692 | $604,000 | thousands by filing date | |
| BRAMBLES LTD SPONSORED ADR | 105105209 | COM | 43,943 | $604,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 11,026 | $602,000 | thousands by filing date | |
| Canadian Energy Service | 13566W108 | COM | 130,596 | $602,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 6,175 | $599,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 34,350 | $597,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 51,906 | $597,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 79,485 | $597,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 42,023 | $592,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 46,035 | $591,000 | thousands by filing date | |
| AURICO METALS | 05157J108 | COM | 1,170,797 | $591,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 5,952 | $590,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B654 | PWRSH S&P500HI | 18,701 | $589,000 | thousands by filing date | |
| ZURICH INS GROUP LTD SPONSORED | 989825104 | COM | 23,940 | $588,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 12,251 | $588,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 24,349 | $587,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 15,347 | $587,000 | thousands by filing date | |
| ENOVIS CORP | 194014106 | COMMON STOCK | 19,545 | $584,000 | thousands by filing date | |
| NISSAN MOTOR CO LTD SPONSORED ADR | 654744408 | USD | 31,402 | $584,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 33,197 | $583,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 18,764 | $580,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 34,483 | $579,000 | thousands by filing date | |
| INTESA SANPAOLO S P A SPONSORE | 46115H107 | ADUS | 27,216 | $579,000 | thousands by filing date | |
| BRIDGESTONE CORP ADR | 108441205 | USD | 33,326 | $579,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 781,137 | $578,000 | thousands by filing date | |
| Deutsche Post AG | 25157Y202 | Equity | 20,731 | $576,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W874 | GUG S&P500 EWCON | 5,423 | $576,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 36,880 | $575,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 30,589 | $574,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 59,681 | $574,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 32,754 | $572,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 18,803 | $572,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882403 | CONV PRF | 168,350 | $571,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 4,293 | $570,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 23,585 | $567,000 | thousands by filing date | |
| Societe Generale | 83364L109 | Equity | 63,139 | $564,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 33,215 | $563,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 10,886 | $561,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 82,673 | $561,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 25,080 | $559,000 | thousands by filing date | |
| YOUKU.COM INC | 98742U100 | COMMON STOCK-FO | 31,341 | $557,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33733A102 | CHINDIA ETF | 21,867 | $557,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 32,300 | $554,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 10,741 | $554,000 | thousands by filing date | |
| IMPERIAL TOBACCO GROUP-ADR | 453142101 | ADR | 5,320 | $554,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 92,535 | $554,000 | thousands by filing date | |
| MUNICH RE GROUP UNSPONSORED ADR | 626188106 | Common stock | 29,572 | $553,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 42,584 | $552,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 4,974 | $551,000 | thousands by filing date | |
| MEDIANEWS GROUP | U58991834 | COM | 15,756 | $551,000 | thousands by filing date | |
| ISHARES TR | 46429B564 | IBONDS SEP19 ETF | 21,546 | $551,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 78,790 | $548,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 10,751 | $546,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H511 | ADS7.75%PFD S4 | 21,042 | $544,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 4,206 | $541,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 22,700 | $541,000 | thousands by filing date | put |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 26,794 | $541,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 12,038 | $540,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 31,975 | $540,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 9,712 | $539,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 5,966 | $539,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 9,089 | $539,000 | thousands by filing date | |
| Tri City Bankshares Corp | 895364107 | Com | 31,249 | $537,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 32,944 | $536,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 20,928 | $536,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 5,753 | $534,000 | thousands by filing date | |
| MORGAN STANLEY PFD A 1/1000 | 61747S504 | PREFERR | 26,619 | $531,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 31,488 | $529,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 15,087 | $528,000 | thousands by filing date | |
| Citigroup Inc | 172967358 | COM | 19,565 | $527,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 39,523 | $526,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 16,230 | $526,000 | thousands by filing date | |
| ENERGY XXI BERMUDA LTD CONV PFD $14.0625 | 29274U309 | PREFERRED | 35,006 | $525,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 17,863 | $523,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 11,137 | $522,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M266 | CLAYMORE EXCHANGE TRD FD TR | 25,000 | $521,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M258 | CLAYMORE EXCHANGE TRD FD TR | 25,181 | $519,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M365 | GUG BUL 2020 HY | 21,978 | $517,000 | thousands by filing date | |
| BMW UNSPONSORED ADR | 072743206 | ADR | 17,541 | $516,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524789 | FUNDAMENTAL US B | 18,969 | $515,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 53,622 | $513,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 74,236 | $507,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 87,688 | $505,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 39,553 | $505,000 | thousands by filing date | |
| Zions Bancorp Pfd Ser L | 989701818 | Pfd | 17,919 | $504,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 5,002 | $502,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 18,814 | $501,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 9,071 | $501,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 5,294 | $500,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 32,890 | $497,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 183,665 | $497,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 6,465 | $496,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 7,299 | $496,000 | thousands by filing date | |
| CHINA CONSTR BANK CORP ADR | 168919108 | ADR | 37,094 | $495,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 44,649 | $494,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 7,599 | $492,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 18,012 | $492,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 19,165 | $492,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153204 | COM NEW | 14,481 | $490,000 | thousands by filing date | |
| ADIDAS AG ADR | 00687A107 | ADUS | 12,301 | $489,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 52,522 | $488,000 | thousands by filing date | |
| HCI 8 01/30/20 | 40416E301 | PRF | 19,067 | $488,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 17,681 | $486,000 | thousands by filing date | |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 10,565 | $482,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 4,341 | $481,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 11,142 | $479,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 35,710 | $479,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H305 | ETN DJUBS GRNS37 | 14,408 | $479,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 4,113 | $478,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 17,268 | $477,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 41,104 | $477,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 14,841 | $477,000 | thousands by filing date | |
| ARKEMA SPO | 041232109 | USD | 7,348 | $476,000 | thousands by filing date | |
| IND & COMM BK OF-UNSPON ADR | 455807107 | COM | 41,015 | $475,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 30,251 | $475,000 | thousands by filing date | |
| PRUDENTIAL FIN 5.75%52 | 744320607 | ps | 18,822 | $474,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 8,533 | $473,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 18,901 | $473,000 | thousands by filing date | |
| TOKIO MARINE HOLDINGS INC ADR | 889094108 | ADUS | 12,571 | $472,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 80,893 | $471,000 | thousands by filing date | |
| ALTERA CORP | 021441100 | COM | 9,400 | $471,000 | thousands by filing date | put |
| REX ENERGY CORPORATION | 761565100 | COM | 227,060 | $470,000 | thousands by filing date | |
| SECOM CO LTD UNSP ADR | 813113206 | COM | 31,104 | $466,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 11,939 | $465,000 | thousands by filing date | |
| IPATH DJ UBS COFFEE SUBINDEX | 06739H297 | COMMON | 23,581 | $464,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 4,786 | $462,000 | thousands by filing date | |
| ISHARES TR | 46432FAG2 | 2018 INVTGR BD | 4,630 | $461,000 | thousands by filing date | |
| CRH PLC ADS | 12626K203 | ADR | 17,201 | $459,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 9,960 | $455,000 | thousands by filing date | |
| TELSTRA CORP LTD | 87969N204 | SPON ADR FINAL | 22,197 | $454,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 31,961 | $452,000 | thousands by filing date | |
| CURRENCYSHS JAPANESE YEN TR | 23130A102 | JAPANESE YEN | 5,577 | $451,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 13,190 | $451,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 2,283 | $449,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 7,700 | $449,000 | thousands by filing date | call |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 15,326 | $449,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 88,816 | $448,000 | thousands by filing date | |
| SVENSKA HANDELSB A UNSP ADR | 86959C103 | COM | 62,370 | $447,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q876 | GLOB GLD&P ETF | 37,653 | $446,000 | thousands by filing date | |
| ISHARES B-CA | 46432F404 | COM | 9,940 | $445,000 | thousands by filing date | |
| SONOVA HOLDING AG UNSPONSORED ADR | 83569C102 | USD | 17,236 | $444,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 49,291 | $443,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 61,984 | $443,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 52,683 | $443,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 41,925 | $443,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 4,444 | $441,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 33,939 | $440,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 88,698 | $440,000 | thousands by filing date | |
| Vanguard S&P 500 Growth ETF | 921932505 | SHS | 4,545 | $439,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 6,631 | $439,000 | thousands by filing date | |
| JPMorgan Chase preferred | 48127X542 | PFD | 17,450 | $436,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 3,700 | $435,000 | thousands by filing date | call |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 3,798 | $434,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 103,892 | $434,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 14,591 | $434,000 | thousands by filing date | |
| RELX NV | 75955B102 | SPONSORED ADR | 26,311 | $433,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 80,351 | $430,000 | thousands by filing date | |
| POWER SOLUTIONS INTERNATIONA | 73933G202 | COMMON STOCK | 18,860 | $429,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 4,692 | $426,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 13,516 | $425,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 42,532 | $424,000 | thousands by filing date | |
| ISHARES TR | 46432FAN7 | 2023 INVTGR BD | 4,352 | $422,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 12,967 | $421,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 80,366 | $420,000 | thousands by filing date | |
| iShares Global Tech ETF | 464287291 | SHS | 4,650 | $418,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 7,526 | $418,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 29,148 | $417,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 10,856 | $415,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 7,253 | $414,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 33,250 | $413,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 28,080 | $412,000 | thousands by filing date | |
| DNB ASA-SPONSOR ADR | 23328E106 | COM | 3,190 | $412,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 27,076 | $411,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W398 | NEGT DUR HIG YLD | 20,461 | $409,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 54,897 | $408,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 7,947 | $408,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 23,662 | $407,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 16,734 | $406,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 15,823 | $406,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 41,993 | $403,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 12,459 | $402,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 55,585 | $402,000 | thousands by filing date | |
| SKY PLC SPONSORED ADR | 83084V106 | Stock | 6,383 | $402,000 | thousands by filing date | |
| HMH PUBLISHERS LLC | CM0005552 | COM | 18,619 | $400,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 10,658 | $398,000 | thousands by filing date | |
| Grupo Financiero Banorte SAB de CV | 40052P107 | ADR | 16,181 | $398,000 | thousands by filing date | |
| AIR LIQUIDE ADR | 009126202 | COM | 16,785 | $397,000 | thousands by filing date | |
| IBERDROLA SA SPON ADR | 450737101 | ADUS | 14,926 | $397,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 3,455 | $396,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 49,810 | $393,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 90,022 | $391,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 18,497 | $391,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 28,465 | $391,000 | thousands by filing date | |
| PANASONIC HLDGS CORP F | 69832A205 | ADR | 38,578 | $390,000 | thousands by filing date | |
| JAGUAR MNG INC COM NEW | 47009M400 | Stock | 2,658,666 | $389,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 49,230 | $386,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 5,920 | $385,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 23,579 | $385,000 | thousands by filing date | |
| COMPASS EMP FDS TR | 20452Y783 | 100 ENH VOLA ETF | 11,146 | $383,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 32,000 | $381,000 | thousands by filing date | call |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 12,302 | $380,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 79,800 | $379,000 | thousands by filing date | call |
| SAMSONITE GROUP S A | 79604U107 | AMERICAN DEPOSITARY RECEIPTS | 22,911 | $379,000 | thousands by filing date | |
| MORGAN STNLY CAP 5.75%33 | 617466206 | ps | 15,135 | $379,000 | thousands by filing date | |
| OIL GAS OR OTHER MINERALS DEEMED WORTHLESS | 9O7217193 | COM | 1 | $378,000 | thousands by filing date | |
| Unibail-Rodamco SE | 904587102 | Common Stock | 14,518 | $376,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 45,282 | $373,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 13,019 | $373,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 46,682 | $372,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 9,755 | $372,000 | thousands by filing date | |
| DENSO CORPORATION-UNSPON ADR | 24872B100 | COM | 17,506 | $372,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 14,546 | $372,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 32,693 | $370,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 14,626 | $370,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 403,106 | $369,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 37,934 | $368,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A599 | ST STR SW SERV | 7,870 | $368,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 16,105 | $368,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 60,834 | $367,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 8,090 | $366,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 6,093 | $365,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 14,500 | $364,000 | thousands by filing date | call |
| CONCORDIA HEALTHCARE CORP | 206519100 | COM | 8,552 | $364,000 | thousands by filing date | |
| DAYCO LLC | 570388108 | COM | 9,586 | $364,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 15,952 | $363,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 25,155 | $362,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 17,198 | $361,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 35,036 | $360,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 14,444 | $360,000 | thousands by filing date | |
| SAFEWAY INC CASA LEY CVR | BAX524ZC5 | COM | 391,996 | $360,000 | thousands by filing date | |
| AIRBUS SE UNSPONSORED ADR | 009279100 | COM | 24,517 | $359,000 | thousands by filing date | |
| MITSUBISHI ELEC CORP ADR | 606776201 | COM | 19,513 | $358,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 6,019 | $357,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 16,504 | $356,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 16,599 | $356,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 11,259 | $353,000 | thousands by filing date | |
| DELHAIZE GROUP - SPONS ADR | 29759W101 | SPON | 15,955 | $353,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 14,507 | $352,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 26,249 | $352,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 4,099 | $350,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 6,500 | $349,000 | thousands by filing date | put |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 9,149 | $349,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 1,451,725 | $348,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 13,578 | $348,000 | thousands by filing date | |
| ITV ADR | 45069P107 | Common Stock | 9,381 | $347,000 | thousands by filing date | |
| TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS | 874060205 | ADR | 15,807 | $346,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 10,516 | $346,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 17,857 | $346,000 | thousands by filing date | |
| SSE PLC SPONSORED ADR | 78467K107 | ADR | 15,159 | $345,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 1,041,180 | $344,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 8,181 | $342,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 9,465 | $342,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 47,886 | $341,000 | thousands by filing date | |
| FUJIFILM HLDGS CORP ADR | 35958N107 | ADR | 9,128 | $341,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 8,645 | $340,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B800 | NYLI MERGER ARBI | 12,196 | $339,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 24,128 | $338,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 9,174 | $338,000 | thousands by filing date | |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 62,986 | $338,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 3,287 | $337,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 19,464 | $337,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 6,481 | $336,000 | thousands by filing date | |
| PRUDENTIAL FINANCIAL INC | 744320706 | PRF | 13,336 | $336,000 | thousands by filing date | |
| NIDEC CORP | 654090109 | COMMON STOCK-FO | 19,322 | $335,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 27,158 | $334,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 19,982 | $334,000 | thousands by filing date | |
| CAP GEMINI SA ADR | 139098107 | COM | 7,534 | $332,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 7,920 | $329,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 41,930 | $329,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 16,945 | $328,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 22,200 | $326,000 | thousands by filing date | call |
| Goldman Sachs Series D Pref | 38144G804 | Preferred Stock | 16,310 | $324,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 6,142 | $324,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 6,996 | $323,000 | thousands by filing date | |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 9,538 | $323,000 | thousands by filing date | |
| JPMORGAN CHASE & CO | 48127A161 | PREFERRED STOCK | 12,047 | $323,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 172,283 | $322,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 7,643 | $321,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 4,602 | $319,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 8,406 | $316,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 3,999 | $315,000 | thousands by filing date | |
| ENGIE SA ADR | 29286D105 | ADR | 19,601 | $315,000 | thousands by filing date | |
| TORAY INDUSTRIES UNSPON ADR | 890880206 | COM | 3,644 | $315,000 | thousands by filing date | |
| ING GROUP NV 7.2% $1.8 PFD | 456837301 | PREFERRED | 11,665 | $313,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 7,047 | $312,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 11,248 | $311,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 40,221 | $311,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 15,729 | $311,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 11,351 | $310,000 | thousands by filing date | |
| EG DJ EMRG MKT CNSUMR TITA | 268461779 | EGS EMKTCONS ETF | 14,236 | $309,000 | thousands by filing date | |
| AMERICAN ENERGY - UTICA LLC PIK | 025644AA3 | CONV BND | 5,158,725 | $309,000 | thousands by filing date | principal |
| 51JOB INC | 316827104 | SPONSORED ADS | 11,270 | $308,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 15,864 | $307,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 26,390 | $306,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E104 | CAP STRENGTH ETF | 8,454 | $303,000 | thousands by filing date | |
| DASSAULT SYSTEMES SA ADR | 237545108 | USD | 4,113 | $303,000 | thousands by filing date | |
| Volkswagen Ag Preferred ADR | 928662303 | COM | 16,670 | $303,000 | thousands by filing date | |
| CORUS ENTERTAINMENT INC-B SH | 220874101 | COM | 28,464 | $302,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 16,782 | $300,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 28,284 | $299,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 10,438 | $298,000 | thousands by filing date | |
| MADISON SQUARE GARDEN CO | 55826P100 | CL A | 4,133 | $298,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 8,674 | $297,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 12,180 | $297,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 28,877 | $297,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 15,166 | $296,000 | thousands by filing date | |
| ML PFD CAPITAL TRUST V PFD | 59021K205 | PFD | 11,594 | $296,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 13,113 | $295,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 8,302 | $295,000 | thousands by filing date | |
| MURATA MANUFACTURING CO LTD | 626425102 | International Equities, EAFE, Large Cap | 9,083 | $294,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 4,988 | $293,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 47,573 | $293,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 2,911 | $292,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 17,707 | $292,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 12,045 | $290,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 22,803 | $290,000 | thousands by filing date | |
| WELLS FARGO & COMPANY 5.125% P | 949746721 | PREFERR | 12,075 | $290,000 | thousands by filing date | |
| SUNTORY BEVERAGE & FOOD LTD AD | 86803T104 | ADR | 15,067 | $289,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 3,634 | $288,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 62,460 | $286,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-15-011519 | this filing | 2015-11-12 | acceptance time not in the bulk data set |