13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-11, with 3,919 holding rows worth $170,359,874,000.
- Accession
- 0000950123-16-014114
- Filer
- CIK 820027
- Filed
- 2016-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A combination report, 7,371 entries on the cover page, a total value of $170,359,874,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $170,359,874,000 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, LLC028-10477
- reports for this filerAmeriprise Trust Co028-10458
- reports for this filerAmeriprise Certificate Co028-00140
- reports for this filerRiverSource Life Insurance Co028-00143
- reports for this filerRiverSource Life Insurance Co of New York028-10460
- reports for this filerThreadneedle Asset Management Holdings LTD028-10644
- reports for this filerAmeriprise Financial Services, Inc.028-14918
- included 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288117 | INTL TREA BD ETF | 3,245 | $291,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W562 | US SMALLCAP FUND | 3,824 | $290,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 14,302 | $287,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 8,184 | $287,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 9,056 | $287,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 7,035 | $287,000 | thousands by filing date | |
| Penn Virginia Group | 707882502 | COM | 168,350 | $287,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 34,909 | $286,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 17,255 | $286,000 | thousands by filing date | |
| GENERAL ELEC CAP $1.219 PFD | 369622410 | PREFERRED | 11,130 | $286,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 10,903 | $286,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 30,671 | $285,000 | thousands by filing date | |
| Repsol YPF SA-old ticker | 76026t205 | COM | 25,642 | $285,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 6,456 | $284,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 6,348 | $283,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 6,852 | $283,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 10,006 | $281,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 14,881 | $281,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 10,058 | $281,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 16,956 | $281,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,622 | $280,000 | thousands by filing date | |
| TECHTRONIC INDS LTD SPONSORED ADR | 87873R101 | COM | 13,707 | $280,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 23,064 | $278,000 | thousands by filing date | |
| QWEST CORP | 74913G204 | PFD | 10,913 | $278,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 12,542 | $275,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 29,130 | $274,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 12,559 | $273,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 24,439 | $273,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 5,411 | $273,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 34,937 | $273,000 | thousands by filing date | |
| DBX ETF TR | 233051846 | XTRACK INTL REAL | 12,341 | $272,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 17,577 | $271,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 21,332 | $270,000 | thousands by filing date | |
| SLM CORP 6% SR NTMAT 12/15/43CALLABLE 12/15/08 | 78442P304 | EQUITIES | 16,348 | $270,000 | thousands by filing date | |
| BancOfCalifornia 8.00. Cal2018 | 05990k403 | PFD | 10,153 | $270,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 6,372 | $269,000 | thousands by filing date | |
| UTGR INC | BAX39CVC9 | COM | 5,526 | $269,000 | thousands by filing date | |
| TENNESSEE VALLEY AUTHORITY | 880591409 | Pref | 10,783 | $268,000 | thousands by filing date | |
| SVENSKA CELLULOSA AB-SP ADR | 869587402 | COM | 9,277 | $268,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 5,315 | $267,000 | thousands by filing date | |
| GRIFOLS S A | 398438408 | SP ADR REP B NVT | 8,184 | $265,000 | thousands by filing date | |
| MORGAN STANLEY | 61762V200 | Common Stock | 9,245 | $265,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 39,300 | $265,000 | thousands by filing date | |
| GLORI ENERGY INC | 379606106 | Cmn | 749,751 | $265,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 22,024 | $264,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 8,603 | $264,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 10,692 | $263,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 4,034 | $263,000 | thousands by filing date | |
| CAMDEN NATIONAL CORP | 133034108 | COMMON STOCK | 5,944 | $262,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X632 | INTL UTILT ETF | 16,276 | $262,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 16,606 | $261,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 27,297 | $260,000 | thousands by filing date | |
| PROSHARES TR | 74347B813 | mc | 6,733 | $259,000 | thousands by filing date | |
| PERSIMMON UNSPONSORD ADR | 715318101 | ADR | 4,259 | $258,000 | thousands by filing date | |
| IMPERIAL OIL LTD COM NEW | 453038408 | Stock | 7,837 | $256,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 12,849 | $256,000 | thousands by filing date | |
| CIELO SA | 171778202 | Common Stock | 30,804 | $256,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 8,146 | $256,000 | thousands by filing date | |
| CHINA EASTN AIRLS LTD | 16937R104 | SPON ADR CL H | 9,015 | $254,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 17,626 | $253,000 | thousands by filing date | |
| CSL LIMITED ADR | 12637N204 | COM | 6,589 | $253,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 81,905 | $252,000 | thousands by filing date | |
| GEMALTO NV-SPONSORED ADR | 36863N208 | COM | 8,381 | $252,000 | thousands by filing date | |
| WH GROUP LTD ADR | 92890T106 | COMMON | 22,304 | $251,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 62,020 | $249,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 6,457 | $248,000 | thousands by filing date | |
| HITACHI LTD | 433578507 | COM | 4,354 | $248,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 14,269 | $248,000 | thousands by filing date | |
| SPECTRUM BRANDS HLDGS INC | 84763R101 | COM | 2,439 | $247,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 10,672 | $247,000 | thousands by filing date | |
| ETFS PRECIOUS METALSBASKET TR ETFS PHYSICAL PM BASKET SHS | 26922W109 | ETF | 4,731 | $247,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,596 | $245,000 | thousands by filing date | |
| LUXOTTICA GROUP SPA ADR | 55068R202 | SPONS ADR | 3,770 | $245,000 | thousands by filing date | |
| CURRENCYSHS BRIT POUND STER | 23129S106 | BRIT POUND STE | 1,695 | $245,000 | thousands by filing date | |
| ISHARES TR | 46432FAT4 | 2016 CP TM ETF | 2,433 | $245,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 7,255 | $244,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 44,890 | $243,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 2,351 | $243,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 14,099 | $242,000 | thousands by filing date | |
| SES | 817712995 | GDR | 8,700 | $242,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 9,044 | $241,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 10,551 | $240,000 | thousands by filing date | |
| RWE AG | 74975E303 | Equity | 18,984 | $240,000 | thousands by filing date | |
| GLOBAL PMTS INC | 37940X102 | COM | 3,700 | $239,000 | thousands by filing date | put |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 18,282 | $239,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 19,498 | $237,000 | thousands by filing date | |
| SWATCH GROUP AG ADR | 870123106 | USD | 13,701 | $237,000 | thousands by filing date | |
| Newcrest Mining ADS | 651191108 | ADR | 25,041 | $237,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 240,000 | $237,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 7,823 | $236,000 | thousands by filing date | |
| Tri City Bankshares Corp | 895364107 | Com | 13,749 | $236,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 21,310 | $235,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 222,682 | $234,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 16,976 | $234,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 17,138 | $233,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 37,997 | $233,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 776,600 | $233,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 22,849 | $232,000 | thousands by filing date | |
| OTSUKA HOLDINGS CO LTD UNSPONS ADR | 689164101 | FOREIGN | 12,961 | $231,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 8,933 | $231,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 9,242 | $231,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 16,922 | $230,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 15,707 | $229,000 | thousands by filing date | |
| RBS CAPITAL FUNDING | 74928P207 | PRF | 9,204 | $229,000 | thousands by filing date | |
| BAC CAPITAL TRUST I | 060505344 | Common | 8,550 | $229,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 14,310 | $227,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 84,207 | $227,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 10,864 | $227,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 8,635 | $226,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 8,637 | $225,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 3,721 | $223,000 | thousands by filing date | |
| ATLAS COPCO AB SP ADR A NEW | 049255706 | COM | 9,083 | $222,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 5,283 | $222,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 15,658 | $222,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 8,333 | $222,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,900 | $221,000 | thousands by filing date | |
| CALAMOS DY COM NPV | 12811V105 | COM | 12,223 | $221,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 10,482 | $220,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 7,954 | $220,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 12,675 | $220,000 | thousands by filing date | |
| UNIVAR INC | 91336L107 | COMMON STOCK | 12,891 | $219,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A789 | ST STR SP INS | 3,134 | $218,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 14,545 | $217,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 14,589 | $217,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,712 | $217,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 284,026 | $217,000 | thousands by filing date | |
| iShares U.S. Medical Devices ETF | 464288810 | SHS | 1,766 | $216,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 19,628 | $216,000 | thousands by filing date | |
| ITOCHU CORP SPONS ADR | 465717106 | FOREIGN | 9,117 | $215,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 16,484 | $215,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 5,882 | $213,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 7,029 | $211,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 16,817 | $211,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 10,777 | $211,000 | thousands by filing date | |
| COLOPLAST AS UNSPONSORD ADR | 19624Y101 | Stock | 26,019 | $211,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 12,026 | $210,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 13,618 | $210,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 21,337 | $210,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 15,874 | $210,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 7,018 | $209,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 12,472 | $209,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 36,424 | $208,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 5,158 | $207,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 23,832 | $207,000 | thousands by filing date | |
| TECHNIP NEW SPONSORED ADR | 878546209 | COM | 16,500 | $207,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 8,498 | $207,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 25,019 | $206,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 49,742 | $206,000 | thousands by filing date | |
| CIE GENERALE DES ETABLISSEMENTS MICHELIN SCA UNSPONS ADR | 59410T106 | FOREIGN | 10,775 | $206,000 | thousands by filing date | |
| AMERICAN ENERGY - UTICA LLC PIK | 025644AA3 | CONV BND | 5,158,725 | $206,000 | thousands by filing date | principal |
| POWERSHARES ETF TRUST | 73935X385 | ENERGY SEC POR | 6,114 | $205,000 | thousands by filing date | |
| Countrywide Capital V | 222388209 | COM | 7,992 | $205,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 14,866 | $204,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 53,505 | $204,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 11,989 | $204,000 | thousands by filing date | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 13,300 | $203,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 21,853 | $196,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 16,843 | $194,000 | thousands by filing date | |
| MAZDA MOTOR CORP ADR | 578787103 | COM | 18,687 | $193,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 17,358 | $191,000 | thousands by filing date | |
| HALYK SAVING-GDR | 46627J302 | COM | 38,483 | $190,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 16,554 | $188,000 | thousands by filing date | |
| Shin Etsu Chem Co Ltd | 824551105 | ADR | 13,942 | $188,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 30,947 | $188,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 14,584 | $187,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 10,369 | $185,000 | thousands by filing date | |
| SUN HUNG K | 86676H302 | USD | 15,136 | $184,000 | thousands by filing date | |
| KIRIN BREWERY CO ADR | 497350306 | COM | 13,524 | $183,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 19,742 | $183,000 | thousands by filing date | |
| NINTENDO LTD FSPONSORED ADR 1 ADR REP 0.25 ORD SHS | 654445303 | Equity | 10,246 | $177,000 | thousands by filing date | |
| UNITED STS 12 MONTH OIL FD L | 91288V103 | UNIT BEN INT | 10,371 | $177,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,813 | $177,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 13,320 | $176,000 | thousands by filing date | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 46,290 | $176,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 11,537 | $174,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,152 | $173,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 22,073 | $171,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 12,878 | $170,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 11,816 | $169,000 | thousands by filing date | |
| TOKYO ELECTRON LTD ADR | 889110102 | COM | 11,175 | $169,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 19,245 | $168,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 16,608 | $164,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 31,798 | $162,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 42,493 | $160,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 10,595 | $160,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 12,000 | $158,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,377 | $156,000 | thousands by filing date | |
| UNITED SECURITY BANCSHARES | 911459105 | COM | 17,415 | $155,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,109 | $150,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 32,280 | $149,000 | thousands by filing date | |
| THK CO LTD-UNSPON ADR | 872434105 | COM | 16,193 | $149,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 11,774 | $147,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 17,246 | $147,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 27,718 | $147,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 11,760 | $146,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 42,976 | $145,000 | thousands by filing date | |
| KOBE STEEL LTD-SPONS ADR | 499892107 | COM | 26,498 | $145,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 13,746 | $144,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460303 | SP ADR PFD NEW | 28,637 | $144,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 11,200 | $142,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 19,680 | $141,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 10,760 | $141,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 41,082 | $141,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 11,053 | $140,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 1,447,680 | $138,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 16,379 | $137,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 14,034 | $137,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 27,734 | $136,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 73,943 | $136,000 | thousands by filing date | |
| ATLANTIA SPA-UNSPONSORED ADR | 048173108 | COM | 10,321 | $136,000 | thousands by filing date | |
| HOLCIM LTD SPONSORED ADR | 50586V108 | ADR | 13,455 | $136,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,685 | $135,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 10,162 | $133,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 25,198 | $133,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 100,000 | $131,000 | thousands by filing date | principal |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 60,850 | $130,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,101 | $128,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 29,090 | $125,000 | thousands by filing date | |
| Prosiebensat 1 Media SE | 743476202 | COM | 10,035 | $125,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 13,836 | $124,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 11,152 | $123,000 | thousands by filing date | |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 166,314 | $121,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 35,479 | $120,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 15,412 | $119,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 12,169 | $118,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 13,570 | $118,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 37,295 | $114,000 | thousands by filing date | |
| Ap Moller-Maersk | 00202F102 | Equity | 17,108 | $112,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 113,301 | $108,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,157 | $107,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 32,082 | $107,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 13,400 | $106,000 | thousands by filing date | call |
| TEEKAY CORPORATION | Y8564W103 | COM | 10,628 | $105,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 15,381 | $104,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 23,229 | $104,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 27,131 | $103,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 13,196 | $101,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 43,013 | $100,000 | thousands by filing date | |
| VEDANTA LTD | 92242Y100 | SPONSORED ADR | 17,895 | $100,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 11,550 | $100,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 10,976 | $99,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 16,800 | $98,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 14,734 | $97,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,837 | $96,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 14,498 | $95,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 17,315 | $94,000 | thousands by filing date | |
| ASTRA INTERNATIONAL ADR | 69367X109 | COM | 11,023 | $94,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 14,969 | $94,000 | thousands by filing date | |
| ACCOR SA SPONSORED ADR | 00435F309 | COM | 10,665 | $93,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 11,400 | $92,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 11,542 | $91,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 17,472 | $88,000 | thousands by filing date | |
| LOCALIZA RENT A CAR SPN ADR | 53956W300 | COM | 14,414 | $88,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 21,339 | $87,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 10,735 | $87,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 12,419 | $86,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 13,891 | $84,000 | thousands by filing date | |
| MILLENNIUM HEALTH LLC | BAX5NUSL2 | COM | 16,788 | $84,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 14,784 | $82,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 13,141 | $81,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 12,984 | $81,000 | thousands by filing date | |
| BB SEGURIDADE PARTI SPON ADR | 05541J103 | COM | 12,684 | $76,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 12,100 | $76,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 10,860 | $74,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 23,379 | $74,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 12,864 | $73,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $73,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 10,430 | $70,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 13,853 | $70,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 28,250 | $70,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 16,240 | $69,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 11,305 | $68,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 12,120 | $68,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 14,721 | $67,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 14,277 | $67,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 23,247 | $65,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 10,225 | $64,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 12,975 | $62,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $62,000 | thousands by filing date | |
| GAS NATURAL SDG-UNSPON ADR | 367205200 | ADR | 15,329 | $62,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 13,188 | $61,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 10,373 | $60,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 10,600 | $60,000 | thousands by filing date | put |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 13,350 | $59,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 10,520 | $58,000 | thousands by filing date | |
| Banco Do Brasil Sa Spons Adr Ea Repr 1 O | 059578104 | Equity | 15,296 | $58,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 11,684 | $54,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 391,900 | $54,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 15,421 | $51,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 35,004 | $51,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 10,543 | $49,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 18,000 | $49,000 | thousands by filing date | principal |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 19,762 | $49,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 13,490 | $46,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 15,740 | $42,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 42,000 | $42,000 | thousands by filing date | principal |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 19,000 | $41,000 | thousands by filing date | principal |
| MCDERMOTT INTL INC | 580037109 | COM | 11,786 | $40,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 24,000 | $39,000 | thousands by filing date | principal |
| GLENCORE PLC | 37827X100 | UNSP ADR | 13,414 | $37,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 14,723 | $36,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 866,100 | $36,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $31,000 | thousands by filing date | |
| Ind & Comm BK of China | Y3990B112 | COM | 49,000 | $30,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 20,000 | $27,000 | thousands by filing date | principal |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 13,379 | $26,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,275 | $26,000 | thousands by filing date | |
| PARKS! AMERICA INC | 701455107 | COM | 485,000 | $26,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 10,000 | $25,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 21,760 | $23,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 18,675 | $23,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 383,379 | $23,000 | thousands by filing date | |
| END 5 1/2 07/15/16 | 29257MAE0 | NOTE 5.500% 7/1 | 4,468,199 | $23,000 | thousands by filing date | principal |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 14,000 | $22,000 | thousands by filing date | principal |
| 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 |
| KINROSS GOLD CORP | 496902404 | COM | 11,352 | $21,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 25,000 | $20,000 | thousands by filing date | principal |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 15,310 | $20,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 23,000 | $20,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 18,000 | $20,000 | thousands by filing date | principal |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 11,125 | $19,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 11,961 | $19,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 18,519 | $19,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 17,665 | $19,000 | thousands by filing date | |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 11,000 | $19,000 | thousands by filing date | principal |
| MTG CORP | 313400301 | COM | 11,171 | $18,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 13,872 | $18,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 18,000 | $18,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 21,057 | $18,000 | thousands by filing date | |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 10,417 | $17,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 17,000 | $17,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 11,000 | $17,000 | thousands by filing date | principal |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 12,000 | $17,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 18,000 | $17,000 | thousands by filing date | principal |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $17,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 14,000 | $16,000 | thousands by filing date | principal |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 18,000 | $16,000 | thousands by filing date | principal |
| WABASH NATL CORP | 929566AH0 | CNV | 13,000 | $16,000 | thousands by filing date | principal |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 15,393 | $16,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 15,722 | $15,000 | thousands by filing date | |
| Li & Fung Ltd | 501897102 | Com | 11,606 | $15,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $13,000 | thousands by filing date | principal |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 10,000 | $13,000 | thousands by filing date | principal |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 10,600 | $13,000 | thousands by filing date | |
| 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 |
| CIENA CORP | 171779AE1 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | principal |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 28,750 | $11,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 12,448 | $10,000 | thousands by filing date | |
| INTELGENX TECHNOLOGIES CORP COM | 45822R101 | COM | 20,000 | $10,000 | thousands by filing date | |
| KEURIG GREEN MTN INC | 49271M100 | COM | 100 | $9,000 | thousands by filing date | put |
| COCRYSTAL PHARMA INC | 19188J102 | COMMON | 10,000 | $9,000 | thousands by filing date | |
| Cal Dive International | 12802TAB7 | CONV BOND | 1,749,000 | $9,000 | thousands by filing date | principal |
| MECHEL OAO | 583840103 | SPONSORED ADR | 10,350 | $8,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 13,000 | $6,000 | thousands by filing date | principal |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $6,000 | thousands by filing date | |
| BIO-KEY INTERNATIONAL INC | 09060C200 | COM | 40,000 | $6,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 24,387 | $5,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 12,800 | $4,000 | thousands by filing date | |
| BALTIA AIR LINES INC COM | 058823105 | SHS | 1,968,333 | $3,000 | thousands by filing date | |
| Torvec Inc | 891479107 | Com | 10,250 | $3,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 13,415 | $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 | 17,000 | $2,000 | thousands by filing date | |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $1,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,385 | $1,000 | thousands by filing date | |
| ERHC ENERGY INC | 26884J104 | COM | 425,000 | $1,000 | thousands by filing date | |
| Sigma Labs Inc | 826598104 | Common Stock | 15,000 | $1,000 | thousands by filing date | |
| ECAREER HOLDINGS INC | 27876J201 | COM | 16,014 | $1,000 | thousands by filing date | |
| CANNABIS SCIENCE INC XXX | 137648101 | COM | 10,285 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 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 | 219,327 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY STAR URANIUM & METAL | 53123T206 | COM | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CYGNUS E-TRANSACTION GROUP | 23255V105 | COM | 51,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AIG Fractional CUSIP | ACG874152 | Com | 87,326 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FRAC ENBRIDGE ENERGY MGMT | CKC50X106 | EQUITY | 57,216 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GERBER SCIENTIFIC INC RTS | 37373ESC5 | WT | 124,138 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| 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. |
| 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. |
| 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. |
| SUN-TIMES MEDIA GROUP INC CLASS A COM USD0.01 NO STOCKHOLDER EQU | 86688Q100 | COM | 25,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEW WORLD GOLD CORPORATION COM | 649285103 | COM | 2,100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| VIVA WORLD TRADE INC | 928519107 | COM | 10,000 | $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. |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 14,435 | $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. |
| NELSON EDUCATION LTD | BAX5GUW92 | COM | 167,955 | $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. |
| EDUCATION MANAGEMENT LLC | 28140M871 | COM | 2,303,005 | $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. |
| MAGNUM HUNTER RESOURCES CORP | 55973B110 | COMMON STOCK | 45,239 | $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 0000950123-16-014114 | this filing | 2016-02-11 | acceptance time not in the bulk data set |