13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-12, with 1,375 holding rows worth $3,126,328,000.
- Accession
- 0001085146-14-000472
- Filer
- CIK 822581
- Filed
- 2014-02-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 1,375 entries on the cover page, a total value of $3,126,328,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,126,328,000 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 |
|---|---|---|---|---|---|---|
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 9,749 | $309,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 20,000 | $309,000 | thousands by filing date | |
| NUSTAR GP HOLDINGS LLC | 67059L102 | COMMON STOCK | 10,980 | $309,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 5,402 | $309,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 40,700 | $308,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 6,012 | $307,000 | thousands by filing date | |
| AGCO CORP | 001084102 | COM | 5,131 | $304,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 10,399 | $302,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 4,900 | $302,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 6,411 | $301,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 6,325 | $301,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 13,021 | $298,000 | thousands by filing date | |
| ASIA PAC FD INC | 044901106 | COM | 28,250 | $297,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 24,362 | $296,000 | thousands by filing date | |
| HEIDELBERG MATLS AG FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS | 427093109 | ADR | 45,250 | $296,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 2,225 | $293,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 16,500 | $291,000 | thousands by filing date | |
| ATMOS ENERGY CORP COM | 049560105 | Stock | 6,400 | $291,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 5,122 | $291,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 5,000 | $291,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 4,952 | $290,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 2,591 | $288,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 3,660 | $288,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 21,747 | $288,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 8,675 | $286,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 4,741 | $286,000 | thousands by filing date | |
| NEW SOURCE ENERGY PARTNERS L | 64881E109 | CMN | 12,237 | $286,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 13,000 | $285,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 2,622 | $285,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 6,147 | $284,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 13,650 | $284,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 20,300 | $283,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 31,310 | $282,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 7,046 | $281,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 2,967 | $281,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 6,300 | $280,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 4,995 | $279,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 3,969 | $279,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 24,441 | $278,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 6,938 | $278,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 10,888 | $278,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 30,593 | $277,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 21,282 | $276,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 3,466 | $275,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 4,950 | $274,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 4,999 | $273,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 20,851 | $273,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 43,100 | $272,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 4,198 | $271,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 1,195 | $269,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 31,000 | $269,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 26,455 | $269,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 10,900 | $269,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 6,400 | $268,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 16,241 | $268,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 5,397 | $268,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 2,208 | $268,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 20,100 | $267,000 | thousands by filing date | |
| EVERYWARE GLOBAL INC | 300439106 | COM | 32,189 | $267,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 10,210 | $267,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,420 | $266,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 10,000 | $266,000 | thousands by filing date | |
| UDR INC COM | 902653104 | REIT | 11,333 | $265,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,490 | $265,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 4,083 | $265,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 27,129 | $264,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 11,349 | $264,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 44,153 | $263,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 19,000 | $263,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 14,822 | $261,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 9,912 | $260,000 | thousands by filing date | |
| REGAL REXNORD CORPORATION | 758750103 | COM | 3,525 | $260,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 9,297 | $260,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 2,970 | $259,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 10,988 | $259,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 11,627 | $258,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 23,033 | $258,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 4,350 | $257,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 7,001 | $257,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 5,085 | $257,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 2,786 | $257,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 3,850 | $257,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 25,215 | $257,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 8,458 | $257,000 | thousands by filing date | |
| CALPINE CORP | 131347304 | COM | 13,200 | $257,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 50,909 | $256,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 19,745 | $256,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 2,744 | $256,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 5,599 | $255,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 6,415 | $255,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 11,900 | $255,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 4,760 | $255,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 7,677 | $255,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,346 | $254,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 16,000 | $254,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 18,672 | $254,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 19,161 | $254,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 4,000 | $252,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 5,791 | $252,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 57,227 | $252,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 4,481 | $251,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 4,500 | $251,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 13,100 | $250,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 2,500 | $250,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 5,661 | $250,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 4,656 | $249,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 3,179 | $248,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 46,500 | $248,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 10,101 | $248,000 | thousands by filing date | |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 4,145 | $248,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 5,015 | $247,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 25,662 | $247,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 12,690 | $247,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 13,200 | $246,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 13,864 | $246,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 10,637 | $246,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,379 | $244,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 15,906 | $244,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R775 | ACTIVE BD ETF | 2,310 | $242,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 24,126 | $241,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 8,656 | $241,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 6,709 | $241,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 10,300 | $240,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 5,500 | $238,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 2,730 | $238,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 10,085 | $236,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 9,152 | $236,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,700 | $236,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 5,716 | $236,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 45,774 | $236,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 1,988 | $235,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 17,739 | $235,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 12,000 | $235,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 4,706 | $235,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 15,800 | $234,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 7,324 | $234,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 5,600 | $234,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 6,128 | $234,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 8,547 | $234,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 17,924 | $232,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 8,759 | $232,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 60,134 | $232,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 6,408 | $232,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 2,451 | $231,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 15,921 | $229,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 18,020 | $229,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 17,689 | $228,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 2,719 | $228,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 8,572 | $228,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 5,195 | $227,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 45,400 | $227,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 3,216 | $226,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 10,400 | $226,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 5,203 | $226,000 | thousands by filing date | |
| MOLYCORP INC $0.055 PFD | 608753208 | PREFERRED | 18,500 | $226,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 6,097 | $225,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,318 | $225,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 2,541 | $224,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T107 | COM | 7,300 | $224,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 15,000 | $224,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 11,240 | $224,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 6,047 | $224,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 6,000 | $223,000 | thousands by filing date | |
| MOLSON COORS BEVERAGE CO CL B | 60871R209 | Stock | 3,966 | $223,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 1,610 | $223,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 17,564 | $223,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 6,673 | $223,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 7,280 | $223,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 24,900 | $223,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 14,056 | $222,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 5,243 | $222,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 14,643 | $221,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 7,275 | $220,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 28,604 | $220,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,721 | $218,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 5,000 | $217,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 6,370 | $216,000 | thousands by filing date | |
| INSTEEL INDS INC | 45774W108 | COM | 9,500 | $216,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 11,454 | $216,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 41,630 | $216,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 7,382 | $215,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,640 | $214,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,684 | $214,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 2,330 | $214,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 5,500 | $213,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 4,305 | $212,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 50,300 | $212,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 9,200 | $212,000 | thousands by filing date | |
| METROCORP BANCSHARES INC | 591650106 | COM | 14,081 | $212,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 33,333 | $211,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 3,969 | $210,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 14,944 | $210,000 | thousands by filing date | |
| FIRST INDL RLTY TR INC COM | 32054K103 | REIT | 12,000 | $209,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 11,983 | $209,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 17,653 | $209,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 22,600 | $209,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 12,061 | $208,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 8,402 | $208,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 11,500 | $207,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 9,924 | $207,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 16,512 | $207,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 7,054 | $205,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,803 | $204,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 6,032 | $204,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 65,000 | $204,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 6,140 | $203,000 | thousands by filing date | |
| HELIOS HIGH YIELD FD | 42328Q109 | COM | 20,920 | $203,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 3,872 | $202,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 8,719 | $202,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 2,900 | $201,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 2,556 | $201,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 16,980 | $201,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 5,093 | $200,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 4,301 | $200,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 11,726 | $199,000 | thousands by filing date | |
| PACTERA TECHNOLOGY INTERNATIONAL | 695255109 | COMMON STOCK-FO | 27,891 | $199,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 11,123 | $198,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 13,918 | $198,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 27,083 | $197,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 23,610 | $197,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 91,800 | $197,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 11,403 | $196,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 22,725 | $194,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 27,430 | $194,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 14,580 | $191,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,350 | $191,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 10,542 | $191,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,000 | $189,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 20,966 | $188,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 60,961 | $188,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 15,100 | $188,000 | thousands by filing date | |
| ASIAINFO-LINKAGE INC | 04518A104 | COM | 15,550 | $186,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 26,000 | $186,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 14,938 | $184,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 15,854 | $184,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 17,312 | $182,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 11,695 | $182,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 15,986 | $182,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 14,800 | $181,000 | thousands by filing date | |
| ACCELRYS INC | 00430U103 | COM | 18,981 | $181,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 14,000 | $180,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 15,381 | $180,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 11,700 | $178,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 15,500 | $178,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 19,662 | $175,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 14,664 | $174,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,833 | $173,000 | thousands by filing date | |
| GLOBAL X FDS GLB X | 37950E499 | FERTIL | 15,152 | $173,000 | thousands by filing date | |
| DYNAMICS RESEARCH CORP | 268057106 | COM | 15,000 | $172,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 17,542 | $169,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 12,801 | $169,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 44,285 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 12,100 | $166,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 12,115 | $164,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 10,180 | $163,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 36,700 | $154,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,008 | $151,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 18,172 | $151,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 13,500 | $151,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 16,000 | $150,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 18,300 | $150,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 10,981 | $150,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 10,250 | $149,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 14,765 | $145,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 12,065 | $144,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 60,882 | $142,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 12,432 | $141,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 17,568 | $140,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 40,000 | $139,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,713 | $138,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 14,866 | $137,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 96,109 | $136,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 10,358 | $135,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 13,060 | $135,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 86,000 | $135,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 17,338 | $134,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $134,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 64,600 | $134,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 25,000 | $134,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 27,600 | $134,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 23,081 | $132,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 12,989 | $131,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 45,000 | $131,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 10,632 | $130,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 24,500 | $130,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 30,000 | $130,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 12,500 | $130,000 | thousands by filing date | |
| ACCRETIVE HEALTH INC | 00438V103 | COMMON STOCK | 14,100 | $129,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 36,450 | $128,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 14,079 | $127,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982105 | SHS | 147,279 | $126,000 | thousands by filing date | |
| OXIGENE INC | 691828404 | COM PAR$.001 | 50,000 | $126,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 10,074 | $125,000 | thousands by filing date | |
| NTS INC NEV COM | 62943b105 | COM | 63,278 | $125,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125C109 | COM | 13,200 | $124,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 13,685 | $123,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 14,000 | $122,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 14,400 | $122,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 11,026 | $122,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 17,000 | $121,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 10,586 | $121,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 30,850 | $120,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14,859 | $118,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 20,651 | $116,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 13,218 | $115,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,307 | $115,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 14,224 | $109,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 14,500 | $107,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 30,000 | $107,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 14,845 | $106,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 26,341 | $105,000 | thousands by filing date | |
| EDWARDS GROUP LTD | 281736108 | SPONSORED ADR | 10,000 | $102,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,123 | $100,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 12,000 | $100,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 12,555 | $99,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 12,000 | $99,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 107,000 | $99,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 17,385 | $98,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 149,980 | $98,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 10,700 | $97,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 23,791 | $94,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 105,596 | $93,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 55,000 | $92,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 11,000 | $89,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 12,184 | $88,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 11,000 | $87,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 24,000 | $86,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 161,125 | $86,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 12,624 | $84,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,276 | $83,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 16,000 | $82,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 80,108 | $80,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 37,000 | $75,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 17,300 | $75,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 10,600 | $75,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 97,900 | $75,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 40,001 | $71,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 15,000 | $71,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 118,045 | $70,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 99,351 | $63,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 25,101 | $62,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 19,980 | $57,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 61,772 | $55,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 16,500 | $54,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 16,000 | $50,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 11,200 | $49,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 39,984 | $48,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 22,000 | $47,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 13,700 | $47,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 42,000 | $46,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 39,491 | $46,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 20,000 | $46,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 10,741 | $42,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 12,000 | $40,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 29,056 | $39,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 18,655 | $38,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 20,498 | $37,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 16,900 | $34,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 10,600 | $34,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 25,400 | $33,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 10,000 | $29,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,000 | $28,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 15,000 | $25,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 38,000 | $25,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 16,500 | $24,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 11,000 | $22,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,000 | $17,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 14,500 | $17,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 15,000 | $14,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,000 | $13,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 11,000 | $13,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 30,000 | $11,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 29,819 | $10,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 10,400 | $3,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 10,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000472 | this filing | 2014-02-12 | acceptance time not in the bulk data set |