13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-01, with 1,314 holding rows worth $2,844,859,000.
- Accession
- 0001085146-13-001779
- Filer
- CIK 822581
- Filed
- 2013-11-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 1,314 entries on the cover page, a total value of $2,844,859,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,844,859,000 with VALUE read as thousands by filing date, 13F file number 028-04046. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 3,500 | $280,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,637 | $279,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 8,622 | $279,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 8,309 | $279,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 11,941 | $279,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 9,100 | $277,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 29,639 | $277,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 31,700 | $276,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 6,303 | $275,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,609 | $275,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 2,623 | $275,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 4,630 | $274,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 71,760 | $273,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 6,499 | $273,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 6,500 | $273,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 21,100 | $272,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 2,435 | $272,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,230 | $271,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 4,050 | $271,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,560 | $269,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 3,651 | $269,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 6,615 | $268,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 2,608 | $267,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 15,032 | $267,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 7,935 | $266,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 16,915 | $265,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 10,000 | $264,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 3,425 | $264,000 | thousands by filing date | |
| Crosstex Energy, Inc. | 22765Y104 | LTD | 12,660 | $264,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 62,500 | $263,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 6,567 | $263,000 | thousands by filing date | |
| NYSE EURONEXT | 629491101 | COM | 6,260 | $263,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 5,914 | $260,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 2,967 | $260,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 9,097 | $260,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 11,237 | $259,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 3,901 | $259,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 20,500 | $258,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 6,789 | $258,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 6,300 | $257,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,450 | $257,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 21,050 | $256,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 6,545 | $256,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 6,440 | $255,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 8,556 | $255,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 5,650 | $254,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 7,825 | $254,000 | thousands by filing date | |
| SYNAGEVA BIOPHARMA CORP | 87159A103 | COM | 4,000 | $254,000 | thousands by filing date | |
| ANNIES INC | 03600T104 | COM | 5,169 | $254,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 7,500 | $253,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 10,055 | $253,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 7,314 | $253,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 4,100 | $252,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 34,000 | $251,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 2,949 | $251,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 4,022 | $251,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 6,001 | $251,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 83,045 | $251,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 9,895 | $250,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 2,830 | $250,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 4,983 | $249,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 17,402 | $248,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 5,500 | $247,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 10,980 | $247,000 | thousands by filing date | |
| ISHARES TR | 464287887 | S&P SML 600 GWT | 2,266 | $246,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 5,008 | $246,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 3,285 | $244,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 32,430 | $242,000 | thousands by filing date | |
| MWI VETERINARY SUPPLY INC | 55402X105 | COM | 1,617 | $242,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 3,549 | $241,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,519 | $241,000 | thousands by filing date | |
| PHARMACYCLICS INC | 716933106 | COM | 1,741 | $241,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 19,399 | $240,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,312 | $239,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 2,903 | $239,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 44,161 | $239,000 | thousands by filing date | |
| CAPLEASE INC | 140288101 | COM | 28,100 | $239,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 11,838 | $239,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 45,337 | $238,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 18,252 | $238,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 11,718 | $238,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 10,557 | $237,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 18,161 | $237,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 10,380 | $237,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 4,950 | $236,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 19,000 | $236,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 14,100 | $236,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 2,451 | $233,000 | thousands by filing date | |
| MEDASSETS INC | 584045108 | COM | 9,165 | $233,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,700 | $232,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 18,000 | $231,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 18,876 | $231,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 4,186 | $229,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 5,696 | $229,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,250 | $228,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 4,735 | $228,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,471 | $227,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 9,575 | $225,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 14,908 | $225,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 9,869 | $225,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 15,875 | $224,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 15,975 | $224,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 7,000 | $223,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 3,896 | $222,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 15,884 | $222,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 2,851 | $222,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 4,000 | $222,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 41,000 | $221,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 15,015 | $221,000 | thousands by filing date | |
| CRIMSON EXPLORATION INC | 22662K207 | COM NEW | 73,500 | $221,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 21,500 | $221,000 | thousands by filing date | |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 18,218 | $221,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 19,533 | $219,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 32,500 | $219,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,485 | $218,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 2,748 | $218,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 12,600 | $218,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 6,647 | $218,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,958 | $218,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 26,643 | $217,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 3,788 | $217,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 11,122 | $217,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 9,200 | $217,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 5,251 | $216,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 92,800 | $216,000 | thousands by filing date | |
| FIRST CASH FINL SVCS INC | 31942D107 | COM | 3,726 | $216,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 6,819 | $215,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 5,000 | $214,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 6,645 | $213,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 22,723 | $213,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 6,376 | $213,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 31,100 | $213,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,988 | $212,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 24,000 | $212,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 79,574 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 2,852 | $211,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 2,500 | $211,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 16,794 | $211,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 30,194 | $210,000 | thousands by filing date | |
| BABCOCK & WILCOX CO NEW | 05615F102 | COM | 6,240 | $210,000 | thousands by filing date | |
| ACCELRYS INC | 00430U103 | COM | 21,321 | $210,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 27,834 | $210,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 11,850 | $209,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 13,200 | $209,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 4,353 | $209,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 7,636 | $208,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 17,315 | $207,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 10,000 | $207,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 5,107 | $207,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 64,106 | $206,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 2,068 | $205,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 9,200 | $205,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 13,603 | $204,000 | thousands by filing date | |
| PHILIPPINE LONG DISTANCE TEL | 718252604 | SPONSORED ADR | 3,000 | $204,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 3,674 | $203,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 2,719 | $202,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 57,140 | $202,000 | thousands by filing date | |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 19,750 | $201,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 17,134 | $201,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 17,376 | $201,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 15,050 | $194,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 33,650 | $194,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 11,500 | $192,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 33,333 | $192,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 19,700 | $192,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 12,166 | $190,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 10,713 | $190,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 11,600 | $188,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 12,786 | $188,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 15,770 | $185,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 21,084 | $183,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 71,000 | $182,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 228,325 | $180,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 17,500 | $180,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 13,906 | $178,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,350 | $177,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 14,700 | $176,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 29,730 | $175,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,000 | $174,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 27,879 | $173,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,533 | $171,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 13,100 | $171,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 11,900 | $170,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 16,990 | $170,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,110 | $169,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 17,312 | $168,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 14,000 | $167,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 47,115 | $167,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 20,053 | $166,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 44,685 | $164,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 13,630 | $163,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 12,800 | $161,000 | thousands by filing date | |
| BITAUTO HLDGS LTD | 091727107 | SPONSORED ADS | 10,000 | $161,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $160,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 10,247 | $160,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 39,700 | $159,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 10,844 | $158,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 11,095 | $158,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 185,563 | $155,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 12,136 | $154,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 16,165 | $153,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 16,500 | $152,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 10,999 | $152,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 11,000 | $152,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 10,700 | $151,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 17,229 | $151,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 24,270 | $148,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 16,018 | $147,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 113,771 | $147,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 14,912 | $146,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 18,300 | $145,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 11,000 | $144,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 45,000 | $143,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 17,798 | $142,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 15,627 | $141,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 60,000 | $140,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 17,400 | $139,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 22,375 | $136,000 | thousands by filing date | |
| FLOW INTL CORP | 343468104 | COM | 33,443 | $133,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 10,170 | $132,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 13,192 | $131,000 | thousands by filing date | |
| Cole Real Estate Investments | 19329V105 | COM | 10,500 | $129,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 105,596 | $128,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 14,000 | $127,000 | thousands by filing date | |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 21,638 | $127,000 | thousands by filing date | |
| BOISE INC | 09746Y105 | COMMON STOCK | 10,099 | $127,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 12,432 | $125,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 105,000 | $125,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,307 | $122,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 35,450 | $120,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 30,000 | $117,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 17,425 | $116,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 20,474 | $116,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 154,780 | $116,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 86,000 | $116,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 15,590 | $115,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 16,895 | $114,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 12,100 | $111,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 55,662 | $111,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14,546 | $109,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 17,500 | $107,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 14,845 | $106,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 10,934 | $105,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,000 | $104,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 11,000 | $104,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 27,600 | $103,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 17,331 | $99,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 70,600 | $99,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 24,752 | $98,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 14,989 | $93,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 37,000 | $92,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 27,500 | $86,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 12,775 | $85,000 | thousands by filing date | |
| EDGEN GROUP INC | 28014Q107 | CL A | 11,000 | $84,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 19,010 | $83,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 11,835 | $83,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 11,384 | $82,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 24,000 | $79,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 15,000 | $79,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 25,000 | $79,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 16,800 | $76,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 47,133 | $74,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 18,741 | $74,000 | thousands by filing date | |
| SIRIUS XM RADIO INC | 82967N108 | COM | 18,830 | $73,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 20,000 | $72,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 35,000 | $71,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 60,101 | $70,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 11,661 | $69,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 19,588 | $66,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 29,000 | $66,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 10,879 | $65,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 118,045 | $65,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 20,000 | $63,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 40,072 | $61,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 15,700 | $60,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,000 | $56,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 39,984 | $55,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 25,981 | $53,000 | thousands by filing date | |
| MPG OFFICE TR INC | 553274101 | COM | 16,700 | $52,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 16,000 | $51,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 16,000 | $50,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 43,256 | $50,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 51,000 | $49,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 28,149 | $48,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 16,500 | $42,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 13,700 | $41,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 21,000 | $40,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 10,000 | $39,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 11,500 | $38,000 | thousands by filing date | |
| VELTI PLC ST HELIER | G93285107 | SHS | 100,000 | $36,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 15,000 | $35,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 99,351 | $35,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 42,100 | $33,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 30,000 | $32,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 12,276 | $28,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R204 | COM | 149,051 | $27,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 10,500 | $26,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 15,000 | $26,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 15,400 | $26,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 12,000 | $25,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 22,750 | $22,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 10,000 | $21,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 10,000 | $20,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,000 | $20,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,000 | $17,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 60,000 | $17,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 30,000 | $14,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 17,701 | $14,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 10,000 | $12,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 12,000 | $10,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 10,000 | $3,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 10,000 | $3,000 | thousands by filing date | |
| LONE PINE RES INC | 54222A106 | COM | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMITHFIELD FOODS INC | 832248108 | COM | 18,430 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-13-001779 | this filing | 2013-11-01 | acceptance time not in the bulk data set |