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 |
|---|---|---|---|---|---|---|
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 9,580 | $285,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 2,141 | $285,000 | thousands by filing date | |
| HONG KONG | 43858F109 | USD | 12,243 | $284,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 9,495 | $284,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 13,812 | $284,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 5,996 | $282,000 | thousands by filing date | |
| COMMONWEALTH BK AUS-SP ADR | 202712600 | COM | 5,329 | $282,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 10,900 | $282,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 9,474 | $281,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 5,870 | $281,000 | thousands by filing date | |
| REVENUESHARES ETF TR | 761396209 | MID CAP FD | 6,273 | $281,000 | thousands by filing date | |
| ROYAL DSM N V SPON ADR | 780249108 | COM | 24,180 | $281,000 | thousands by filing date | |
| GROUPE CGI INC | 39945C109 | CL A SUB VTG | 7,735 | $280,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 17,277 | $279,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 18,105 | $278,000 | thousands by filing date | |
| CIELO SA | 171778202 | Common Stock | 29,970 | $278,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $278,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 10,410 | $278,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 13,172 | $276,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 20,848 | $276,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524771 | FUNDAMENTAL US L | 10,259 | $275,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 5,378 | $275,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 3,745 | $275,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 10,934 | $275,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 7,821 | $274,000 | thousands by filing date | |
| SYSMEX COR | 87184P109 | USD | 10,324 | $274,000 | thousands by filing date | |
| SES | 817712995 | GDR | 8,700 | $274,000 | thousands by filing date | |
| ADECCO GROUP AG ADR | 006754204 | COM | 7,482 | $273,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 12,871 | $272,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 7,631 | $272,000 | thousands by filing date | |
| GENERAL ELEC CAP $1.219 PFD | 369622410 | PREFERRED | 10,565 | $269,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 16,902 | $269,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 5,242 | $267,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 4,222 | $266,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 39,121 | $266,000 | thousands by filing date | |
| Atos SE | 04962A105 | Common Stock | 17,450 | $266,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 11,683 | $265,000 | thousands by filing date | |
| ANGLO AMERICAN PLC - UNSPON ADR | 03485P201 | COM | 63,040 | $265,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 14,314 | $265,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 23,180 | $263,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 2,097 | $263,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 7,289 | $262,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 16,500 | $262,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 10,725 | $262,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 10,762 | $260,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 12,662 | $260,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 29,228 | $260,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 24,109 | $259,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 40,056 | $258,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 14,253 | $257,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 10,375 | $257,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,555 | $256,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 9,919 | $256,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,336 | $255,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 2,871 | $255,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 3,440 | $255,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 14,794 | $255,000 | thousands by filing date | |
| DOMINION ENERGY MIDSTRM PRTN | 257454108 | COM UT REP LTD | 9,416 | $253,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,946 | $251,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 81,905 | $251,000 | thousands by filing date | |
| J P MORGAN EXCHANGE-TRADED F | 46641Q100 | DIV RTN GLB EQ | 5,278 | $250,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,782 | $249,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 7,835 | $248,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 17,701 | $248,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 7,010 | $248,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 24,306 | $248,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 32,500 | $247,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 77,850 | $247,000 | thousands by filing date | |
| Astellas Pharma Inc ADR | 04623U102 | USD | 18,988 | $245,000 | thousands by filing date | |
| ISHARES TR | 46432FAT4 | 2016 CP TM ETF | 2,433 | $245,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 8,444 | $244,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 5,457 | $243,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 27,285 | $242,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 19,610 | $241,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 19,010 | $241,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 2,814 | $240,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 20,064 | $239,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 21,284 | $239,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 5,315 | $239,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 17,717 | $239,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 6,785 | $237,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 8,445 | $235,000 | thousands by filing date | |
| EXPERIAN GP LTD ADR | 30215C101 | FOREIGN | 14,618 | $235,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP $1.625 PFD | 38144G184 | PREFERRED | 8,906 | $235,000 | thousands by filing date | |
| ZILLOW GROUP INC CL C CAP STK | 98954M200 | Stock | 8,599 | $233,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 18,282 | $233,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 595,674 | $232,000 | thousands by filing date | |
| KAO CORP SPONSORED ADR | 485537302 | COM | 5,113 | $232,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 23,058 | $232,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 3,266 | $231,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 7,838 | $230,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 25,533 | $229,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,609 | $227,000 | thousands by filing date | |
| HALYK SAVING-GDR | 46627J302 | COM | 38,483 | $227,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 17,366 | $226,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 23,421 | $225,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 8,190 | $225,000 | thousands by filing date | |
| WH GROUP LTD ADR | 92890T106 | COMMON | 22,486 | $225,000 | thousands by filing date | |
| MARKET VECTORS ETF TR JR GOLD | 57061R544 | GOLD MINER ETF | 11,413 | $224,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 8,501 | $223,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,324 | $223,000 | thousands by filing date | |
| Alliance Global Group Inc | 01861B101 | Com | 13,698 | $223,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 15,427 | $222,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 316,848 | $221,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 8,667 | $221,000 | thousands by filing date | |
| MAXPOINT INTERACTIVE INC | 57777M102 | Cmn | 54,181 | $221,000 | thousands by filing date | |
| Swiss Re Ltd. | 870886108 | COM | 10,248 | $220,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 27,937 | $220,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 23,782 | $219,000 | thousands by filing date | |
| CURRENCYSHARES EURO TRUST | 23130C108 | COMMON STOCK | 1,998 | $219,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 26,381 | $218,000 | thousands by filing date | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 45,515 | $217,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 5,228 | $217,000 | thousands by filing date | |
| EAST JAPAN RAILWAY-UNSP ADR | 273202101 | COM | 15,345 | $217,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 5,082 | $217,000 | thousands by filing date | |
| AB VOLVO B ADR | 928856400 | ADR | 22,709 | $217,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 7,837 | $216,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 29,563 | $216,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 284,026 | $216,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 15,792 | $216,000 | thousands by filing date | |
| BAC CAPITAL TRUST I | 060505344 | Common | 8,395 | $216,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 15,935 | $215,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 18,429 | $215,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 21,455 | $215,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,666 | $215,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 11,955 | $214,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 5,481 | $214,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 28,578 | $213,000 | thousands by filing date | |
| ACCOR SA SPONSORED ADR | 00435F309 | COM | 22,515 | $212,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 8,055 | $212,000 | thousands by filing date | |
| VOLKSWAGEN AG REPSTG PFD | 928662402 | COM | 9,537 | $212,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,537 | $211,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 15,189 | $211,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 6,688 | $211,000 | thousands by filing date | |
| FIRST NORTHERN COMMUNITY BAN | 335925103 | COMMON STOCK | 26,409 | $210,000 | thousands by filing date | |
| ISHARES TR | 464289313 | 2016 S&P AMTFR | 7,907 | $210,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 3,593 | $209,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 11,216 | $208,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 19,019 | $208,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 13,900 | $207,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 15,365 | $207,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 10,585 | $206,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 33,681 | $206,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 9,273 | $206,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,885 | $205,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 5,113 | $205,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 8,042 | $205,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 13,597 | $203,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 4,944 | $203,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 15,777 | $203,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,441 | $202,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 16,477 | $202,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 16,204 | $201,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 16,855 | $201,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 9,431 | $200,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 6,591 | $200,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 5,936 | $200,000 | thousands by filing date | |
| KIRIN BREWERY CO ADR | 497350306 | COM | 15,083 | $199,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,463 | $198,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 10,854 | $197,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 10,761 | $197,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 44,426 | $196,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 40,167 | $195,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,605 | $195,000 | thousands by filing date | |
| INFINEON TECHNOLOGIES-ADR | 45662N103 | COMMON STOCKS | 16,942 | $192,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 15,547 | $191,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 51,727 | $189,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 15,466 | $184,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 58,669 | $182,000 | thousands by filing date | |
| SUN HUNG K | 86676H302 | USD | 13,592 | $180,000 | thousands by filing date | |
| SMITHS GROUP ADR | 83238P203 | COM | 11,622 | $178,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 12,173 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,534 | $176,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 19,045 | $175,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 28,541 | $174,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 21,113 | $173,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 21,041 | $172,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 13,738 | $171,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,825 | $166,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,013 | $165,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,993 | $161,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 15,471 | $161,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 12,811 | $161,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 14,178 | $154,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 15,831 | $152,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 31,964 | $152,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 33,621 | $152,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 11,927 | $152,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 183,094 | $150,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 14,282 | $149,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 15,191 | $147,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 77,608 | $147,000 | thousands by filing date | |
| TECHNIP NEW SPONSORED ADR | 878546209 | COM | 12,414 | $147,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,109 | $144,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 14,905 | $143,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 11,200 | $141,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 23,639 | $141,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 11,560 | $139,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 11,760 | $139,000 | thousands by filing date | |
| Prosiebensat 1 Media SE | 743476202 | COM | 11,234 | $137,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 10,125 | $135,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,575 | $133,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 14,573 | $133,000 | thousands by filing date | |
| COLOPLAST AS UNSPONSORD ADR | 19624Y101 | Stock | 18,529 | $132,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 36,844 | $131,000 | thousands by filing date | |
| TENAGA NASIONAL | 880277108 | Common Stock | 11,949 | $130,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 12,027 | $128,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,561 | $127,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 22,945 | $126,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 19,680 | $125,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 12,542 | $123,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 18,741 | $123,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 12,851 | $122,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 14,760 | $118,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 13,389 | $115,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 27,901 | $115,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 16,091 | $114,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 33,996 | $113,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 113,896 | $112,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 29,810 | $109,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 21,134 | $109,000 | thousands by filing date | |
| PC TEL INC | 69325Q105 | COM | 18,150 | $109,000 | thousands by filing date | |
| ISHARES INC | 464286368 | MSCI GL SL MET | 11,598 | $109,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 25,322 | $108,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 12,852 | $107,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 19,009 | $107,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,837 | $106,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 11,923 | $105,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,265 | $105,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 32,564 | $105,000 | thousands by filing date | |
| ABERDEEN ASSET MGMT PL ADR | 00300A104 | ADR | 11,516 | $104,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 13,026 | $101,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 34,279 | $100,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 22,867 | $94,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 11,538 | $94,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 11,415 | $93,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 14,271 | $90,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 11,903 | $88,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 17,174 | $87,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 30,450 | $87,000 | thousands by filing date | |
| SHANDA GAMES LTD | 81941U105 | SP ADR REPTG A | 12,601 | $85,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 26,715 | $84,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 13,100 | $83,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 13,273 | $82,000 | thousands by filing date | |
| THK CO LTD-UNSPON ADR | 872434105 | COM | 10,214 | $82,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 13,308 | $82,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 14,784 | $80,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 10,135 | $79,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 12,460 | $77,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 16,513 | $76,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 13,419 | $76,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $74,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 10,206 | $72,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 12,360 | $71,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 12,940 | $69,000 | thousands by filing date | |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 11,571 | $69,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 18,242 | $68,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 29,513 | $67,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 11,665 | $67,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 10,865 | $64,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 14,168 | $64,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $64,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 12,136 | $63,000 | thousands by filing date | |
| EDUCATION MANAGEMENT LLC | 28140M871 | COM | 2,303,005 | $62,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 12,964 | $61,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 22,877 | $61,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 57,460 | $59,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 37,060 | $58,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 19,080 | $56,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 10,960 | $55,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 12,448 | $55,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 12,418 | $54,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 12,112 | $54,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 391,996 | $54,000 | thousands by filing date | |
| EDF-UNSPON ADR | 285039103 | COM | 14,900 | $53,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 12,055 | $49,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 49,000 | $48,000 | thousands by filing date | principal |
| Banco Do Brasil Sa Spons Adr Ea Repr 1 O | 059578104 | Equity | 12,196 | $47,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 11,435 | $47,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 18,235 | $46,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 18,000 | $44,000 | thousands by filing date | principal |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 42,000 | $43,000 | thousands by filing date | principal |
| Lineage, Inc. | 536020100 | COM | 15,709 | $42,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 12,872 | $42,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 12,284 | $41,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 966,100 | $40,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 11,095 | $39,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 13,420 | $38,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 19,000 | $38,000 | thousands by filing date | principal |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 13,883 | $37,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 24,000 | $36,000 | thousands by filing date | principal |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $36,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 15,310 | $35,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 10,665 | $34,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 22,725 | $29,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 11,599 | $28,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 14,158 | $28,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $28,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 20,000 | $27,000 | thousands by filing date | principal |
| PARKS! AMERICA INC | 701455107 | COM | 485,000 | $27,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,575 | $26,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 14,516 | $25,000 | thousands by filing date | |
| MTG CORP | 313400301 | COM | 11,171 | $24,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 11,179 | $22,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 20,000 | $22,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 17,000 | $22,000 | thousands by filing date | principal |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 11,193 | $21,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 20,267 | $20,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 25,000 | $20,000 | thousands by filing date | principal |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 23,000 | $20,000 | thousands by filing date | principal |
| Li & Fung Ltd | 501897102 | Com | 14,016 | $20,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 18,000 | $20,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 14,000 | $19,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 17,000 | $17,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 18,000 | $17,000 | thousands by filing date | principal |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 15,865 | $17,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 18,000 | $17,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 11,000 | $16,000 | thousands by filing date | principal |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $16,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 12,000 | $15,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 11,000 | $14,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $13,000 | thousands by filing date | principal |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 14,000 | $13,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 13,000 | $13,000 | thousands by filing date | principal |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 10,000 | $12,000 | thousands by filing date | principal |
| CIENA CORP | 171779AE1 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 10,600 | $12,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 13,000 | $11,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | principal |
| MCEWEN MNG INC | 58039P107 | COM | 12,800 | $11,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 10,350 | $9,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 1,749,000 | $9,000 | thousands by filing date | principal |
| BALTIA AIR LINES INC COM | 058823105 | SHS | 1,968,333 | $8,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 32,230 | $8,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,448 | $8,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 4,510,000 | $8,000 | thousands by filing date | principal |
| BIODEL INC | 09064M204 | COM | 15,000 | $7,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J102 | COMMON | 10,000 | $6,000 | thousands by filing date | |
| BIO-KEY INTERNATIONAL INC | 09060C200 | COM | 40,000 | $6,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $5,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 34,000 | $4,000 | thousands by filing date | principal |
| Torvec Inc | 891479107 | Com | 10,250 | $4,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 10,100 | $3,000 | thousands by filing date | |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $2,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 11,485 | $2,000 | thousands by filing date | |
| ALPHA BANK AE-SPON ADR | 02071M101 | COM | 51,380 | $2,000 | thousands by filing date | |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $2,000 | thousands by filing date | |
| VIRTRA SYSTEMS INC | 92827K103 | COM | 22,000 | $2,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,435 | $2,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,385 | $1,000 | thousands by filing date | |
| ERHC ENERGY INC | 26884J104 | COM | 425,000 | $1,000 | thousands by filing date | |
| NEW WORLD GOLD CORPORATION COM | 649285103 | COM | 2,100,000 | $1,000 | thousands by filing date | |
| Sigma Labs Inc | 826598104 | Common Stock | 15,000 | $1,000 | thousands by filing date | |
| Ivanhoe Energy Inc | 465790509 | Common Stock | 10,000 | $1,000 | thousands by filing date | |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 45,314 | $1,000 | thousands by filing date | |
| FIRST PL FINL CORP COM | 33610t109 | COM | 25,190 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIRST HORIZON NAT'L FRACTIONAL | DCA517101 | COMMON STOCK | 134,548 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COLONIAL BANCGROUP INC | 195493309 | COMMON STOCK | 21,027 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW YORK REGIONAL RAIL CORP | 649768108 | SHS | 375,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EVERGREEN ENERGY INC | 30024B203 | COMMON STOCK | 19,248 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPONGETECH DELIVERY XXXREGISTRATION REVOKED BY THE SEC EFF: 10/21/23 | 849109103 | STOK | 222,327 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 20,625 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYGNUS E-TRANSACTION GROUP | 23255V105 | COM | 51,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIG Fractional CUSIP | ACG874152 | Com | 87,326 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRAC ENBRIDGE ENERGY MGMT | CKC50X106 | EQUITY | 57,216 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GERBER SCIENTIFIC INC RTS | 37373ESC5 | WT | 124,138 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RHODES COMPANIES | 762356XX6 | COM | 109,053 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FAIRLANE MANAGEMENT CORP | 305059107 | COM | 52,004 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FLASHPOINT TECHNOLOGY | 33899A979 | COM | 246,914 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AT HOME CORPORATION | 045919AF4 | CONV BND | 4,193,138 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| HAIGHTS CROSS COMM INC | 405990425 | COM | 302,134 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HANEI CORP | 409998168 | COM | 49,382 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NPF12 2002-2 A ESCROW | 629ESC9J5 | COM | 10,000,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FIVE STAR QUAL FRACTIONS | DDJ32D101 | COM | 23,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CALPINE CORP ESCROW 4 | 131ESC9C1 | COM | 29,236,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| RAM CAPITAL LLC | 749200994 | LP | 3,654,271 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AVIZA TECHNOLOGY INC | 05381A105 | COM | 13,037 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BHM TECHNOLOGIES LLC | 059998948 | COM | 151,041 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN RARE EARTHS & | 02916V100 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SINOFRESH HEALTHCARE INC | 82935D109 | COM | 23,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NCT Group Inc | 62888Q109 | COM | 23,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| XSUNX INC | 98385L102 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NORTH AMERICAN OIL AND GAS ORD | 65704V202 | COM | 12,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 13,368 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMR Corp Escrow | 001ESC102 | COM | 237,666 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACK DRAGON RESOURCE COS INC | 09202T103 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKOUT MEDIA CORP. | 09250l101 | COM | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ONCOLOGIX TECH INC | 68230M209 | Equities | 11,225 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Xhibit Corp Inc | 98419u102 | U.S. COMMON STOCK | 11,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSENSA HLDGS CVR | N71CVR992 | COM | 16,099 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SOCIAL MEDIA VENTURES INC | 833626104 | COM | 250,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WI-TRON INC | 96684U104 | COM | 300,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KWIKWEB.COM INC | 501526107 | COM | 21,885 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDISYS TECHNOLOGIES INC | 584953103 | COM | 44,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SENDTEC INC | 81688A106 | COM | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HIGHLINE TECHNICAL INNOVATIO | 43112C108 | COM | 31,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRATOCOMM CORP | 863095105 | COM | 15,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ARKANOVA ENERGY CORP | 040732109 | COM | 26,316 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
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 |