13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-12, with 3,793 holding rows worth $167,583,793,000.
- Accession
- 0000950123-16-016860
- Filer
- CIK 820027
- Filed
- 2016-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A combination report, 7,150 entries on the cover page, a total value of $167,583,793,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $167,583,793,000 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 |
|---|---|---|---|---|---|---|
| AMTRUST FINL S PFDPFD SER D | 032359887 | PFD SER D | 8,600 | $218,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 20,200 | $218,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 10,927 | $218,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 21,675 | $217,000 | thousands by filing date | |
| HONG KONG | 43858F109 | USD | 9,048 | $217,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 13,888 | $217,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 12,426 | $216,000 | thousands by filing date | |
| PROSHARES TR | 74347X294 | HD REPLICATION | 5,256 | $216,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 5,313 | $216,000 | thousands by filing date | |
| MORGAN STANLEY CAPITAL TRUST 6.45% $1.6125 PFD | 61753R200 | PREFERRED | 8,436 | $216,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 13,427 | $214,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 23,382 | $214,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 47,594 | $214,000 | thousands by filing date | |
| FIRST TR BICK INDEX FD | 33733H107 | COM SHS | 10,702 | $214,000 | thousands by filing date | |
| SVENSKA CELLULOSA AB-SP ADR | 869587402 | COM | 6,815 | $213,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 5,462 | $212,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,006 | $212,000 | thousands by filing date | |
| Gabelli Equity Trust Inc 5.00000 Pfd | 362397861 | Stock | 8,477 | $212,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 11,804 | $210,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 8,048 | $208,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,766 | $208,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 16,816 | $207,000 | thousands by filing date | |
| JPMORGAN DVRSFD RTRN INTRNL EQT ETF | 46641Q209 | COM | 4,172 | $207,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 10,118 | $205,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 9,400 | $205,000 | thousands by filing date | put |
| SONIC HEALTHCARE LTD ADR ADR | 83546A104 | COM | 14,152 | $205,000 | thousands by filing date | |
| SOUTH32 LTD ADR SPONSORED | 84473L105 | COM | 37,371 | $204,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 23,565 | $204,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 3,218 | $203,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 14,531 | $202,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 65,390 | $202,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 8,269 | $202,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 9,613 | $201,000 | thousands by filing date | |
| INDEXIQ ETF TR IQ GLB | 45409B883 | RES ETF | 8,550 | $201,000 | thousands by filing date | |
| BAC CAPITAL TRUST VIII | 05518T209 | PRF | 7,838 | $201,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 12,149 | $200,000 | thousands by filing date | |
| Qwest Corp | 74913G105 | COM | 7,830 | $200,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q676 | ALERIAN ENERGY | 10,704 | $198,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 20,183 | $193,000 | thousands by filing date | |
| COLOPLAST AS UNSPONSORD ADR | 19624Y101 | Stock | 25,379 | $192,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 12,078 | $190,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 15,867 | $190,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 14,904 | $187,000 | thousands by filing date | |
| Ap Moller-Maersk | 00202F102 | Equity | 28,287 | $186,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 12,043 | $185,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 13,263 | $185,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 13,287 | $184,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 35,734 | $184,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 22,734 | $183,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 26,888 | $181,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 12,337 | $181,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 13,559 | $180,000 | thousands by filing date | |
| TELIA CO UNSPON ADR | 87960M205 | COM | 17,519 | $180,000 | thousands by filing date | |
| Credit Agricole Sa Unsponsored Adr | 225313105 | Equity | 33,590 | $179,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 76,547 | $179,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 15,181 | $177,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 11,816 | $176,000 | thousands by filing date | |
| TREASURY WINE ESTATES ADR | 89465J109 | COM | 23,555 | $175,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 15,953 | $174,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 13,603 | $174,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 226,103 | $173,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 19,872 | $172,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 25,765 | $172,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,496 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,738 | $166,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 11,687 | $164,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 37,639 | $164,000 | thousands by filing date | |
| HALYK SAVING-GDR | 46627J302 | COM | 38,483 | $162,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 20,473 | $162,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 10,400 | $162,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 12,981 | $159,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 23,131 | $159,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 20,861 | $158,000 | thousands by filing date | |
| Centrica PLC Spon ADR | 15639k300 | COM | 11,757 | $155,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 12,094 | $154,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 34,829 | $154,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 12,770 | $152,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 11,318 | $151,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 11,200 | $151,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 358,672 | $151,000 | thousands by filing date | |
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 12,766 | $150,000 | thousands by filing date | |
| DANSKE BANK AS ADR | 236363206 | COM | 10,443 | $149,000 | thousands by filing date | |
| RWE AG | 74975E303 | Equity | 11,267 | $146,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 10,141 | $146,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 10,788 | $145,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 24,982 | $144,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 10,844 | $142,000 | thousands by filing date | |
| TENAGA NASIONAL | 880277108 | Common Stock | 10,066 | $142,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 31,831 | $141,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 40,239 | $141,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 17,003 | $141,000 | thousands by filing date | |
| ABERDEEN ASSET MGMT PL ADR | 00300A104 | ADR | 17,853 | $141,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 34,640 | $139,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 28,653 | $134,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 35,580 | $134,000 | thousands by filing date | |
| ACCOR SA SPONSORED ADR | 00435F309 | COM | 15,533 | $130,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 11,128 | $129,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 10,595 | $127,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 12,450 | $126,000 | thousands by filing date | |
| HAMPTON ROADS BANKSHARES INC | 409321502 | COM | 70,931 | $126,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 21,896 | $125,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 18,500 | $125,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 3,900 | $125,000 | thousands by filing date | call |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 30,179 | $123,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 166,535 | $122,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 13,669 | $120,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 13,348 | $113,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 8,800 | $112,000 | thousands by filing date | call |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 14,919 | $112,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 19,739 | $110,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 11,600 | $110,000 | thousands by filing date | call |
| SPARTAN MTRS INC | 846819100 | COM | 27,799 | $110,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 17,476 | $108,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 25,962 | $107,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 16,686 | $107,000 | thousands by filing date | |
| THK CO LTD-UNSPON ADR | 872434105 | COM | 11,267 | $104,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 17,228 | $103,000 | thousands by filing date | |
| BB SEGURIDADE PARTI SPON ADR | 05541J103 | COM | 12,592 | $103,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 11,988 | $102,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 16,201 | $102,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 12,605 | $100,000 | thousands by filing date | |
| NUVECTRA CORP | 67075N108 | COM | 18,363 | $100,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 12,431 | $99,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 20,824 | $98,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 18,686 | $95,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 18,929 | $95,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 14,346 | $92,000 | thousands by filing date | |
| FINMECCANICA SPA-UNSPN ADR | 318027208 | COM | 14,492 | $91,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 10,833 | $90,000 | thousands by filing date | |
| QBE INSURANCE GROUP SPN ADR | 74728G605 | COM | 10,533 | $89,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 10,021 | $87,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 363,002 | $87,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 102,763 | $84,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 12,691 | $83,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 10,371 | $83,000 | thousands by filing date | |
| RSA INSURANCE GROUP PLC ADR | 74971A206 | ADR | 11,889 | $83,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 10,306 | $82,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 19,372 | $81,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 15,471 | $78,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 12,444 | $77,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 11,215 | $76,000 | thousands by filing date | |
| WEBSTER CITY FEDERAL BANCORP | 947692109 | COM | 10,080 | $76,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 12,100 | $75,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 16,321 | $75,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 900 | $75,000 | thousands by filing date | call |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,226 | $74,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 15,860 | $74,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 12,716 | $72,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 10,736 | $72,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 15,843 | $68,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 13,376 | $68,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 11,957 | $65,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 22,042 | $63,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 11,871 | $63,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 14,027 | $61,000 | thousands by filing date | |
| WOOLWORTHS HOLDINGS LTD | 98088R505 | COMMON | 10,208 | $61,000 | thousands by filing date | |
| EXXI 3 12/18 | 29274UAB7 | Bond 30/360P2 U | 17,330,000 | $61,000 | thousands by filing date | principal |
| MYLAN NV | N59465109 | SHS EURO | 1,300 | $60,000 | thousands by filing date | call |
| AFFYMETRIX INC | 00826T108 | COM | 4,300 | $60,000 | thousands by filing date | call |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 10,192 | $59,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 12,199 | $56,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 12,973 | $56,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 13,892 | $55,000 | thousands by filing date | |
| Penn Virginia Group | 707882502 | COM | 167,200 | $55,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 10,720 | $54,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 16,831 | $54,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 19,550 | $53,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 12,841 | $53,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,930 | $52,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 12,820 | $52,000 | thousands by filing date | |
| SCOR SPONSORED ADR | 80917Q106 | ADR | 14,834 | $51,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 12,911 | $51,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 24,110 | $51,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 18,000 | $50,000 | thousands by filing date | principal |
| Full Circle Capital Corp. | 359671104 | COM | 19,384 | $50,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 19,000 | $49,000 | thousands by filing date | principal |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 12,450 | $49,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 33,295 | $49,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 387,792 | $49,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 10,759 | $48,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 35,010 | $48,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 19,802 | $43,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 52,000 | $43,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 42,000 | $41,000 | thousands by filing date | principal |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 110,886 | $40,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 16,943 | $39,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 24,000 | $39,000 | thousands by filing date | principal |
| NELSON EDUCATION LTD | BAX5GUW92 | COM | 167,955 | $34,000 | thousands by filing date | |
| ARTHROCARE CORP | BAX4S8NE0 | COM | 82,114 | $34,000 | thousands by filing date | |
| PARKS! AMERICA INC | 701455107 | COM | 400,000 | $33,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,074 | $32,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 15,722 | $31,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 10,790 | $30,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 15,835 | $30,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 21,333 | $30,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 736,100 | $30,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 33,243 | $28,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 20,000 | $26,000 | thousands by filing date | principal |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 17,854 | $25,000 | thousands by filing date | |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 10,000 | $23,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 21,982 | $22,000 | thousands by filing date | |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 11,632 | $22,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 20,000 | $22,000 | thousands by filing date | principal |
| XPO LOGISTICS INC | 983793AA8 | NOTE | 11,000 | $21,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 25,000 | $20,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 17,000 | $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 |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 18,000 | $18,000 | thousands by filing date | principal |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 12,000 | $18,000 | thousands by filing date | principal |
| 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 |
| VANGUARD | 92205F106 | Domestic Common | 11,459 | $17,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 13,000 | $17,000 | thousands by filing date | principal |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $17,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 16,090 | $16,000 | 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 |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 29,250 | $16,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 18,000 | $16,000 | thousands by filing date | principal |
| CHROMADEX CORP | 171077100 | COMMON STOCK | 10,600 | $15,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 15,310 | $14,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 36,278 | $13,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 378,769 | $13,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 10,000 | $13,000 | thousands by filing date | principal |
| Li & Fung Ltd | 501897102 | Com | 11,606 | $13,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 13,000 | $13,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $12,000 | thousands by filing date | principal |
| CIENA CORP | 171779AE1 | NOTE | 12,000 | $12,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 11,386 | $11,000 | thousands by filing date | |
| QUANTUM ENERGY INC | 747645208 | COM | 83,700 | $11,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 14,000 | $10,000 | thousands by filing date | principal |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 14,622 | $9,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 15,116 | $9,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 13,000 | $8,000 | thousands by filing date | principal |
| COCRYSTAL PHARMA INC | 19188J102 | COMMON | 10,000 | $7,000 | thousands by filing date | |
| BIO-KEY INTERNATIONAL INC | 09060C200 | COM | 40,100 | $7,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $5,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 12,800 | $4,000 | thousands by filing date | |
| Torvec Inc | 891479107 | Com | 10,250 | $4,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $4,000 | thousands by filing date | |
| BALTIA AIR LINES INC COM | 058823105 | SHS | 1,968,333 | $3,000 | thousands by filing date | |
| AMERICAN FILMS INC | 026040105 | COM | 203,500 | $3,000 | thousands by filing date | |
| VIRTRA SYSTEMS INC | 92827K103 | COM | 17,000 | $2,000 | thousands by filing date | |
| CAMEO RESOURCES CORP | 133240101 | COM | 56,000 | $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 | |
| SUNERGY INC PAR $.001 | 86732G306 | COM | 1,464,555 | $1,000 | thousands by filing date | |
| ZAP COM STK | 98912M201 | COM | 26,500 | $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 | 219,327 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| QUIKSILVER INC | 74838C106 | COM | 10,700 | $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 | 59,265 | $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. |
| 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. |
| STEVIA CORP COM | 86031P106 | COM | 11,000 | $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 | 12,457 | $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. |
| AMERICAN GREEN INC COM | 02640N101 | Stock | 34,200 | $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. |
| 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. |
| ECAREER HOLDINGS INC | 27876J201 | COM | 16,014 | $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 | 45,131 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-016860 | this filing | 2016-05-12 | acceptance time not in the bulk data set |