13F-HR filed by AMERIPRISE FINANCIAL INC
AMERIPRISE FINANCIAL INC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-08, with 3,832 holding rows worth $178,511,116,000.
- Accession
- 0000950123-16-021342
- Filer
- CIK 820027
- Filed
- 2016-11-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 7,133 entries on the cover page, a total value of $178,511,116,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $178,511,116,000 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 |
|---|---|---|---|---|---|---|
| SUN HUNG K | 86676H302 | USD | 15,899 | $244,000 | thousands by filing date | |
| COLONY FINL INC PFD SER A 8. | 19624R205 | PFD | 9,525 | $244,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 9,884 | $243,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 15,067 | $243,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,273 | $243,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 16,316 | $243,000 | thousands by filing date | |
| ATLAS COPCO AB SP ADR A NEW | 049255706 | COM | 8,024 | $242,000 | thousands by filing date | |
| VOCERA COMMUNICATIONS INC | 92857F107 | COMMON STOCK | 14,274 | $242,000 | thousands by filing date | |
| ISHARES TR | 464288711 | GLOB UTILITS ETF | 5,034 | $239,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 3,184 | $239,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 6,768 | $238,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 21,896 | $238,000 | thousands by filing date | |
| SVENSKA CELLULOSA AB-SP ADR | 869587402 | COM | 8,035 | $238,000 | thousands by filing date | |
| BANK AMERICA CORP 1 625 PFD | 060505310 | PREFERRED | 8,802 | $238,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 30,331 | $237,000 | thousands by filing date | |
| TURKIYE GARANTI BANK | 900148701 | COM | 86,968 | $237,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 15,035 | $236,000 | thousands by filing date | |
| SEIKO EPSON CORP FSPONSORED ADR 1 ADR REPS 0.5 ORD SHS | 81603X108 | AMERICAN DEPOSITORY | 24,601 | $236,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M878 | GUGGEN DEFN EQTY | 6,034 | $236,000 | thousands by filing date | |
| AMTRUST FINL S PFDPFD SER D | 032359887 | PFD SER D | 9,100 | $235,000 | thousands by filing date | |
| Grupo Financiero Banorte SAB de CV | 40052P107 | ADR | 8,907 | $234,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,498 | $233,000 | thousands by filing date | |
| PACER FDS TR | 69374H204 | TRENDP US MID CP | 9,083 | $232,000 | thousands by filing date | |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 8,208 | $232,000 | thousands by filing date | |
| WH GROUP LTD ADR | 92890T106 | COMMON | 14,186 | $231,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 7,442 | $230,000 | thousands by filing date | |
| Daiwa Securities Group Inc Sp | 234064301 | ADR | 40,462 | $227,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 10,084 | $226,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 65,481 | $225,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 8,200 | $224,000 | thousands by filing date | call |
| PACER FDS TR | 69374H105 | TRENDP US LAR CP | 9,631 | $223,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 13,333 | $223,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 14,033 | $220,000 | thousands by filing date | |
| AMARANTH PARTNRS LLC | 023025992 | LP | 284,026 | $220,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 8,521 | $219,000 | thousands by filing date | |
| SAFRAN S A SPON ADR | 786584102 | ADUS | 12,138 | $218,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 15,266 | $217,000 | thousands by filing date | |
| BANK MANDIRI TBK ADR | 69367U105 | COM | 25,231 | $216,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 7,506 | $215,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 10,937 | $215,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 2,066 | $214,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 4,059 | $214,000 | thousands by filing date | |
| JAPAN EXCHANGE GROUP ADR | 471059105 | COM | 27,694 | $214,000 | thousands by filing date | |
| Pandora Media | 698341104 | COM | 7,066 | $214,000 | thousands by filing date | |
| Laaco Ltd L P Uts | 505346106 | COM | 99 | $213,000 | thousands by filing date | |
| Anywhere Real Estate Inc | 75605Y106 | Common Stock | 8,178 | $212,000 | thousands by filing date | |
| Mercedes Benz Group Ag Reg Shs | d1668r123 | USD | 3,013 | $212,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524763 | FUNDAMENTAL US S | 6,761 | $211,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 206,593 | $211,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 23,321 | $210,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 18,063 | $208,000 | thousands by filing date | |
| CenturyLink SnNotes 7.0% 2050 | 74913G402 | PFD | 8,117 | $208,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 53,506 | $207,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 1,748 | $206,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 27,014 | $206,000 | thousands by filing date | |
| MS&AD INS GROUP HLDGS ADR | 553491101 | COM | 14,791 | $206,000 | thousands by filing date | |
| SONIC HEALTHCARE LTD ADR ADR | 83546A104 | COM | 11,997 | $205,000 | thousands by filing date | |
| ABERDEEN ASSET MGMT PL ADR | 00300A104 | ADR | 23,992 | $205,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 477 | $204,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 1,873 | $202,000 | thousands by filing date | |
| APPLE HOSPITALITY REIT INC COM NEW | 03784Y200 | REIT | 10,901 | $202,000 | thousands by filing date | |
| TESCO PLC SPONSORED ADR | 881575302 | ADUS | 28,483 | $202,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,411 | $202,000 | thousands by filing date | |
| CLP HOLDINGS LTD SPONS ADR | 18946Q101 | COM | 19,250 | $202,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 20,634 | $201,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 7,115 | $201,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 11,227 | $201,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 7,889 | $200,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,510 | $200,000 | thousands by filing date | |
| ROLLS-ROYCE HOLDINGS P FSPONSORED ADR 1 ADR REPS 1 ORD SHS | 775781206 | AMERICAN DEPOSITORY | 21,437 | $200,000 | thousands by filing date | |
| SWISSCOM AG-SPONSORED ADR | 871013108 | COM | 4,197 | $200,000 | thousands by filing date | |
| PENNYMAC MTG INVT TR COM | 70931T103 | REIT | 12,643 | $197,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 10,516 | $192,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 22,584 | $187,000 | thousands by filing date | |
| PING AN INSURANCE GROUP ADR RE | 72341E304 | ADR | 17,430 | $186,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 16,007 | $186,000 | thousands by filing date | |
| COLOPLAST AS UNSPONSORD ADR | 19624Y101 | Stock | 23,848 | $186,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 103,222 | $184,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 78,141 | $184,000 | thousands by filing date | |
| COCA-COLA AMATIL LTD | 191085208 | COM | 22,816 | $184,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 11,000 | $183,000 | thousands by filing date | |
| DEUTSCHE BOERSE UNSPONSORD ADR | 251542106 | COM | 23,673 | $183,000 | thousands by filing date | |
| SUBSEA 7 SA | 864323100 | COM | 16,769 | $181,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 24,911 | $180,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,571 | $177,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 75,818 | $177,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 16,770 | $174,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 23,500 | $172,000 | thousands by filing date | |
| Ap Moller-Maersk | 00202F102 | Equity | 23,152 | $171,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 12,700 | $171,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 12,824 | $171,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 28,613 | $170,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 18,295 | $168,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 98,316 | $166,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 11,212 | $165,000 | thousands by filing date | |
| DANSKE BANK AS ADR | 236363206 | COM | 11,108 | $164,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 12,238 | $163,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 10,211 | $163,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 70,515 | $163,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 11,210 | $162,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 14,331 | $161,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 11,372 | $161,000 | thousands by filing date | |
| ANR PRF SERIES A INC | 03634H308 | PRF | 27,269 | $161,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 191,741 | $159,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 75,896 | $159,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 17,820 | $158,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,421 | $158,000 | thousands by filing date | |
| COMMERZBANK AG SPONS ADR | 202597605 | COM | 24,069 | $157,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 10,392 | $156,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 16,170 | $155,000 | thousands by filing date | |
| TREASURY WINE ESTATES ADR | 89465J109 | COM | 18,005 | $155,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 18,715 | $153,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 45,434 | $153,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 13,560 | $152,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 13,135 | $152,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 20,083 | $151,000 | thousands by filing date | |
| SHOPRITE HOLDINGS-SPN ADR | 82510E209 | ADR | 10,720 | $151,000 | thousands by filing date | |
| GAZPROM OAO-SPON ADR | 368287991 | COM | 35,017 | $147,000 | thousands by filing date | |
| DUNDEE CORPORATION | 264901109 | COMMON STK | 27,900 | $145,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 19,185 | $142,000 | thousands by filing date | |
| HENNES AND MAURITZ AB UNSP ADR | 425883105 | COM | 24,995 | $140,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 30,675 | $138,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 11,990 | $137,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,293 | $137,000 | thousands by filing date | |
| Keppel Ltd Sponsored | 492051305 | ADR | 16,987 | $136,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 15,750 | $135,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 23,111 | $132,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 12,503 | $132,000 | thousands by filing date | |
| ENEL SOCIETA PER AZIONI UNSPON | 29265w207 | COM | 30,033 | $132,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 11,437 | $132,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 27,491 | $131,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 11,216 | $129,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 18,000 | $128,000 | thousands by filing date | |
| Carter Validus Mission Critica | 146282108 | COM | 12,500 | $126,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 10,570 | $125,000 | thousands by filing date | |
| KINGFISHER PLC SPONSORED ADR C | 495724403 | USD | 12,673 | $125,000 | thousands by filing date | |
| CARREFOUR SA | 144430204 | USD | 24,036 | $124,000 | thousands by filing date | |
| CIELO SA | 171778202 | Common Stock | 12,077 | $122,000 | thousands by filing date | |
| MARKS & SP | 570912105 | USD | 13,982 | $120,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 20,205 | $118,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 18,133 | $116,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 21,879 | $116,000 | thousands by filing date | |
| NORSK HYDRO AS SPONS ADR | 656531605 | COM | 26,727 | $116,000 | thousands by filing date | |
| ANGLO AMERICAN PLC ADR | 03485P300 | ADR | 18,233 | $115,000 | thousands by filing date | |
| KBS REAL ESTATE INVT TR INC | 482422102 | SHS | 29,094 | $115,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 11,037 | $111,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 22,480 | $111,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 13,325 | $110,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 13,300 | $110,000 | thousands by filing date | |
| DEX MEDIA 7/16 | BAX63QZ09 | COM | 51,678 | $109,000 | thousands by filing date | |
| NMI HLDGS INC | 629209305 | COM | 13,851 | $106,000 | thousands by filing date | |
| DAI NIPPON PRINTING LTD | 233806306 | COMMON STOCK | 10,786 | $106,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 11,912 | $106,000 | thousands by filing date | |
| THK CO LTD-UNSPON ADR | 872434105 | COM | 10,479 | $103,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 18,385 | $103,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 12,955 | $103,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 10,953 | $102,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 11,975 | $102,000 | thousands by filing date | |
| GLENCORE PLC | 37827X100 | UNSP ADR | 18,209 | $101,000 | thousands by filing date | |
| FRANKLIN BSP LENDING C COM | 12325J101 | COM | 11,161 | $99,000 | thousands by filing date | |
| BB SEGURIDADE PARTI SPON ADR | 05541J103 | COM | 10,529 | $97,000 | thousands by filing date | |
| CORPORATE CAP TR INC | 219880101 | COM | 11,062 | $97,000 | thousands by filing date | |
| AKBANK TURK ANONIM SIRKETI ADR | 009719501 | COM | 18,203 | $96,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 118,000 | $94,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 15,415 | $93,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 29,287 | $92,000 | thousands by filing date | |
| E.ON AG ADR | 268780103 | ADR | 12,717 | $91,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 28,444 | $89,000 | thousands by filing date | |
| CHINA SHENHUA UNSPONS ADR | 16942A302 | COM | 11,298 | $89,000 | thousands by filing date | |
| CITY DEVELOPMENTS-SPONS ADR | 177797305 | COM | 13,398 | $89,000 | thousands by filing date | |
| LEONARDO SPA-ADR | 52660W101 | COM | 15,410 | $86,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 10,635 | $86,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,290 | $85,000 | thousands by filing date | |
| ASCENT RESOURCES - SERIES B UNITS | CT1193414 | COM | 8,250,869 | $83,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 10,933 | $81,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 10,565 | $79,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 12,750 | $79,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 42,135 | $78,000 | thousands by filing date | |
| AMEC FOSTER WHEELER PLC | 00167X205 | SPONSORED ADR | 10,417 | $77,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,034 | $75,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 12,100 | $75,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 12,707 | $73,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 11,872 | $70,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 10,818 | $69,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 10,384 | $67,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 17,369 | $66,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 14,542 | $65,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 13,565 | $65,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 14,992 | $65,000 | thousands by filing date | |
| URANIUM PARTN CORP COM | 917017105 | Common Stock | 21,600 | $65,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 26,762 | $65,000 | thousands by filing date | |
| FIRST PACIFIC CO LTD | 335889200 | COMMON STOCK-FO | 17,923 | $64,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 11,961 | $63,000 | thousands by filing date | |
| UNICHARM CORP SPONSORED ADR | 90460M204 | COM | 12,168 | $62,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 12,076 | $61,000 | thousands by filing date | |
| GAMESA CORP TECN-UNSPON ADR | 36468A106 | COM | 12,450 | $61,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 15,454 | $60,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 15,525 | $57,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 15,594 | $57,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 129,032 | $55,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 12,086 | $54,000 | thousands by filing date | |
| VARDE INV PARTNER LP | 922155999 | LP | 84,561 | $53,000 | thousands by filing date | |
| PORSCHE AUTOMOBILUNSP ADR | 73328P106 | COM | 10,256 | $52,000 | thousands by filing date | |
| SUMITOMO MITSUI TRUST HOLDINGS | 86562X106 | USD | 15,473 | $51,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 18,042 | $50,000 | thousands by filing date | |
| SAFEWAY INC PDC CVR | BAX524Z92 | COM | 386,365 | $48,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES HOLDINGS P | 02077Y208 | PRF | 27,269 | $46,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 15,068 | $45,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 42,000 | $43,000 | thousands by filing date | principal |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 22,000 | $42,000 | thousands by filing date | principal |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 14,000 | $42,000 | thousands by filing date | principal |
| ADCARE HEALTH SYSTEMS INC | 00650W300 | COM NEW | 20,000 | $42,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 15,000 | $41,000 | thousands by filing date | principal |
| JARDEN CORP | 471109AH1 | NOTE 1.87 | 19,000 | $40,000 | thousands by filing date | principal |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,000 | $39,000 | thousands by filing date | |
| PARKS! AMERICA INC | 701455107 | COM | 400,000 | $38,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 21,917 | $37,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 10,250 | $30,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 18,512 | $29,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 36,243 | $29,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 900 | $29,000 | thousands by filing date | put |
| FEDERAL NATL MTG ASSN | 313586109 | COM | 15,668 | $26,000 | thousands by filing date | |
| BOMBARDIER INC FCLASS B | 097751200 | COM | 18,750 | $26,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 17,000 | $23,000 | thousands by filing date | principal |
| NETSUITE INC | 64118Q107 | COM | 200 | $22,000 | thousands by filing date | put |
| HONG KONG AND CHINA GAS SP ADR | 438550303 | COM | 10,717 | $21,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 675,100 | $21,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,553 | $19,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 12,000 | $19,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 11,400 | $19,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 11,000 | $18,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 15,000 | $18,000 | thousands by filing date | principal |
| URTHECAST CORP COM | 91731X102 | Common Stock | 22,000 | $18,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 18,000 | $17,000 | thousands by filing date | principal |
| Female Health Company | 314462102 | COM | 13,879 | $17,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 18,000 | $17,000 | thousands by filing date | principal |
| MTG CORP | 313400301 | COM | 10,707 | $16,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 14,000 | $16,000 | thousands by filing date | principal |
| GROWBLOX SCIENCES INC | 399847102 | COM | 50,000 | $16,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 14,000 | $15,000 | thousands by filing date | principal |
| VANGUARD | 92205F106 | Domestic Common | 16,582 | $15,000 | thousands by filing date | |
| NELSON EDUCATION LTD | BAX5GUW92 | COM | 167,955 | $15,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 14,000 | $14,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 12,000 | $14,000 | thousands by filing date | principal |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 13,000 | $13,000 | thousands by filing date | principal |
| NEONODE INC | 64051M402 | COM NEW | 10,975 | $13,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 13,000 | $13,000 | thousands by filing date | principal |
| WABASH NATL CORP | 929566AH0 | CNV | 10,000 | $13,000 | thousands by filing date | principal |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 12,000 | $12,000 | thousands by filing date | principal |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,960 | $12,000 | thousands by filing date | |
| ILLUMINA INC | 452327AH2 | NOTE 0.500% 6/1 | 11,000 | $12,000 | thousands by filing date | principal |
| Galena Biopharma Inc | 363256108 | COM | 35,149 | $12,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,100 | $12,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 13,000 | $12,000 | thousands by filing date | principal |
| Liquefied Natural Gas Ltd Com | Q5570T107 | COM | 25,000 | $12,000 | thousands by filing date | |
| MILLENNIUM HEALTH LLC | BAX5NUSL2 | COM | 16,788 | $12,000 | thousands by filing date | |
| AMERICAN FILMS INC | 026040105 | COM | 203,500 | $11,000 | thousands by filing date | |
| BIO-KEY INTERNATIONAL INC | 09060C200 | COM | 40,100 | $11,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 10,000 | $10,000 | thousands by filing date | principal |
| Li & Fung Ltd | 501897102 | Com | 10,296 | $10,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 24,650 | $8,000 | thousands by filing date | |
| SOLARCITY CORP | 83416TAA8 | NOTE 2.750%11/0 | 10,000 | $8,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 378,233 | $6,000 | thousands by filing date | |
| TITAN MEDICAL INC. | 88830X108 | COM | 22,000 | $6,000 | thousands by filing date | |
| VARDE FUND V LP NEW | VARVLP009 | LP | 30,000,000 | $6,000 | thousands by filing date | |
| THERALASE TECHNOLOGIES F | 88337V100 | FGC | 17,245 | $5,000 | thousands by filing date | |
| VIRTRA SYSTEMS INC | 92827K103 | COM | 17,000 | $5,000 | thousands by filing date | |
| COCRYSTAL PHARMA INC | 19188J102 | COMMON | 10,000 | $5,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 14,320 | $4,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 12,000 | $3,000 | thousands by filing date | |
| CAMEO RESOURCES CORP | 133240101 | COM | 56,000 | $3,000 | thousands by filing date | |
| UMED HOLDINGS INC | 90288A101 | COM | 12,500 | $2,000 | thousands by filing date | |
| BALTIA AIR LINES INC COM | 058823105 | SHS | 1,968,333 | $1,000 | thousands by filing date | |
| ECOSPHERE TECHNOLOGIES INC COM | 27922x105 | COM | 14,700 | $1,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 16,369 | $1,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 16,144 | $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 | |
| PRIMA BIOMED LTD | Q7750W108 | COM | 20,000 | $1,000 | thousands by filing date | |
| QUANTUM ENERGY INC | 747645208 | COM | 20,000 | $1,000 | thousands by filing date | |
| OILSANDS QUEST INC COM | 678046103 | COM | 38,050 | $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. |
| Amerityre Corp | 03073V107 | Equity | 20,500 | $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. |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 10,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| LABOR SMART INC | 50541a108 | COM | 125,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DEBT RESOLVE INC XXXREGISTRATION REVOKED BY THE SEC EFF: 05/28/21 | 24276R206 | COMMON STOCK | 18,000 | $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. |
| SPYGLASS RES CORP COM | 852193101 | COM | 12,521 | $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. |
| GPSIndustriesInc.(Delisted12/18/12,CH117/09) | 383870102 | COMMON | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| UNIVERSITY GENERAL HEALTH SYSTEM | 914270103 | COM | 14,911 | $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. |
| 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. |
| Mirant Corp (Worthless) | 604675991 | COM | 26,956 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MF GLOBAL HOLDINGS LTD | 55277J108 | COMMON | 100,000 | $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. |
| VIASPACE INC | 92554W106 | COM | 195,000 | $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. |
| ROCK CREEK PHARMA XXXREGISTRATION REVOKED BY THE SEC EFF: 02/14/23 | 772081204 | COMMON STOCK | 42,546 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 12,265 | $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. |
| NEW WORLD GOLD CORPORATION COM | 649285103 | COM | 2,100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GROWLIFE INC COM | 39985X104 | Stock | 42,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| REGENECA INC | 75887R100 | Stock | 85,000 | $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. |
| TRIUS THERAPEUTICS INC CVR | 896CVR990 | COM | 188,529 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MICRO-ASI INC/TX | 594961104 | COM | 20,000 | $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 | 27,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BONANZA OIL & GAS INC | 097839104 | COM | 26,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GOIP GLOBAL INC | 36293V200 | 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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000950123-16-021342 | this filing | 2016-11-08 | acceptance time not in the bulk data set |