13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-14, with 1,407 holding rows worth $3,323,534,000.
- Accession
- 0001085146-14-001693
- Filer
- CIK 822581
- Filed
- 2014-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 1,407 entries on the cover page, a total value of $3,323,534,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,323,534,000 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 |
|---|---|---|---|---|---|---|
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 10,000 | $344,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 16,644 | $341,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 24,023 | $340,000 | thousands by filing date | |
| PARTNERRE LTD | G6852T105 | COM | 3,102 | $339,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 10,075 | $338,000 | thousands by filing date | |
| GLIMCHER RLTY TR | 379302102 | SH BEN INT | 31,225 | $338,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 9,458 | $337,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 2,246 | $337,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 23,375 | $336,000 | thousands by filing date | |
| THE CENTRAL AND EASTERN EU I | 153436100 | COM | 11,392 | $334,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 7,566 | $334,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 4,269 | $331,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 1,750 | $330,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 25,009 | $329,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 19,000 | $327,000 | thousands by filing date | |
| RevShares Ultra Dividend Fund | 761396886 | COM | 11,350 | $327,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 14,430 | $326,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 21,690 | $326,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 26,219 | $325,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 25,298 | $325,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 23,271 | $325,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 64,856 | $324,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 21,351 | $324,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 6,840 | $320,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 3,766 | $319,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 22,370 | $319,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 6,974 | $319,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 10,237 | $319,000 | thousands by filing date | |
| DARLING INGREDIENTS INC COM | 237266101 | Stock | 15,200 | $318,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 3,800 | $318,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 13,721 | $318,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 16,906 | $318,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 8,958 | $317,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 9,100 | $316,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 26,428 | $316,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 3,251 | $315,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 11,178 | $311,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 13,408 | $311,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 3,772 | $310,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 14,675 | $310,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 14,600 | $310,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 4,238 | $309,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 9,812 | $307,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 14,731 | $306,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 33,300 | $304,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 12,003 | $304,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 4,760 | $304,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 25,432 | $303,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 58,496 | $301,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 6,938 | $301,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 4,950 | $300,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 8,554 | $300,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 10,700 | $300,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 7,392 | $299,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 11,070 | $299,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 24,264 | $298,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 6,816 | $298,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 6,405 | $297,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 10,825 | $297,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 41,264 | $296,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 2,016 | $296,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 7,139 | $296,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 9,126 | $296,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 10,658 | $296,000 | thousands by filing date | |
| MULTIMEDIA GAMES HOLDING CO | 625453105 | COM | 10,000 | $296,000 | thousands by filing date | |
| CHEESECAKE FACTORY INC | 163072101 | COM | 6,351 | $295,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 4,366 | $293,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 13,000 | $293,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 6,123 | $292,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 6,274 | $292,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 11,585 | $292,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 10,300 | $291,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY DEV CO | 48660Q102 | COM | 8,500 | $291,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 21,071 | $290,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 7,589 | $290,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 19,900 | $290,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 7,319 | $288,000 | thousands by filing date | |
| PROSHARES TR | 74347R248 | LARGE CAP CRE | 3,034 | $288,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 5,500 | $287,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 20,432 | $286,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 9,789 | $286,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 7,393 | $286,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 7,911 | $285,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 3,245 | $284,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 15,912 | $283,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 120,000 | $283,000 | thousands by filing date | |
| CBS OUTDOOR AMERICAS INC | 14987J106 | COMMON STOCK | 8,622 | $282,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 8,813 | $280,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 33,333 | $280,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 8,812 | $280,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 30,368 | $280,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 8,101 | $279,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 4,620 | $279,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 5,328 | $279,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,785 | $278,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 1,897 | $277,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 3,727 | $277,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 3,619 | $277,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 10,600 | $277,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 4,565 | $276,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 2,378 | $274,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,357 | $273,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 12,108 | $273,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 3,534 | $272,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 4,606 | $270,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 3,605 | $268,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 10,230 | $268,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 3,753 | $267,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,798 | $267,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 3,535 | $267,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 4,996 | $267,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 3,085 | $266,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 30,954 | $266,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R105 | CL A | 8,129 | $266,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 6,803 | $265,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 8,183 | $264,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 14,150 | $264,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 9,570 | $264,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,753 | $263,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 17,781 | $263,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 7,036 | $262,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 20,190 | $262,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 4,949 | $261,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 3,150 | $261,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 18,175 | $260,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 39,836 | $260,000 | thousands by filing date | |
| REVENUESHARES | 761396308 | EXCHANGE TRADED | 4,621 | $260,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 50,300 | $260,000 | thousands by filing date | |
| DEVRY INC DEL | 251893103 | COM | 6,137 | $260,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 23,821 | $259,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 19,372 | $258,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 9,712 | $258,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 18,683 | $257,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,700 | $256,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 26,012 | $256,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 7,046 | $255,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 23,632 | $255,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 7,762 | $255,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 18,888 | $255,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 2,719 | $254,000 | thousands by filing date | |
| BLOUNT INTL INC NEW | 095180105 | COM | 18,000 | $254,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 5,295 | $253,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 7,000 | $252,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 16,761 | $252,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 5,946 | $252,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 24,797 | $251,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 8,455 | $251,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 3,641 | $250,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 2,527 | $250,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 3,375 | $249,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 10,249 | $249,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 68,328 | $249,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 6,406 | $248,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 6,253 | $248,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 18,960 | $248,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 4,132 | $247,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 5,000 | $246,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 10,128 | $245,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 17,661 | $244,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 16,000 | $243,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 40,538 | $243,000 | thousands by filing date | |
| PROSHARES | 74347R826 | MUTUAL FUNDS EQ | 15,154 | $243,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 13,111 | $243,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 13,679 | $242,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 7,800 | $242,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 6,440 | $241,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 16,695 | $241,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 7,790 | $240,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 7,324 | $240,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 3,698 | $240,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 7,633 | $239,000 | thousands by filing date | |
| HORIZON PHARMA INC | 44047T109 | COM | 15,117 | $239,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 3,930 | $238,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 8,226 | $238,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 3,693 | $237,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 7,566 | $237,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 8,068 | $237,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 8,000 | $236,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,900 | $235,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 7,859 | $235,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 8,775 | $235,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 9,256 | $234,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 18,307 | $234,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 2,500 | $233,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,405 | $233,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 10,125 | $232,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 3,355 | $231,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 17,283 | $231,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 3,167 | $230,000 | thousands by filing date | |
| AZZ INC COM | 002474104 | Stock | 5,000 | $230,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 61,700 | $230,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 4,068 | $229,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 4,975 | $229,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 9,991 | $229,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 63,857 | $228,000 | thousands by filing date | |
| WISDOMTREE TR DREYFUS CMM FD | 97717X859 | COM | 11,124 | $228,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 12,000 | $227,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 2,175 | $226,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 6,746 | $226,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 3,205 | $226,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 5,061 | $226,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 16,070 | $225,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 6,574 | $225,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 27,430 | $225,000 | thousands by filing date | |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 10,931 | $225,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 9,438 | $224,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,700 | $224,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 22,974 | $224,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 4,072 | $224,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 5,783 | $223,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 1,547 | $223,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 11,841 | $223,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 15,041 | $223,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 21,500 | $221,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 24,900 | $221,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 2,356 | $219,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 22,149 | $218,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 28,489 | $218,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 9,666 | $217,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 6,200 | $217,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 2,242 | $217,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 20,186 | $216,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 12,070 | $216,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,226 | $215,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,803 | $214,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 3,863 | $214,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 4,981 | $213,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 3,921 | $212,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 7,579 | $212,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 4,475 | $212,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 11,450 | $212,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 16,894 | $212,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 3,535 | $211,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 61,050 | $211,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 11,500 | $211,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 78,900 | $211,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 29,439 | $211,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 11,403 | $210,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 7,407 | $210,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 4,835 | $209,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 2,102 | $209,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 4,345 | $209,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 2,475 | $208,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 475 | $208,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 3,284 | $206,000 | thousands by filing date | |
| EMERITUS CORP | 291005106 | COMMON STOCK | 6,474 | $205,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 6,893 | $205,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 5,978 | $203,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 3,200 | $203,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 14,819 | $203,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 14,500 | $203,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 6,901 | $203,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 25,101 | $203,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 18,000 | $202,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 5,737 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 9,000 | $201,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,350 | $200,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 1,817 | $200,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,000 | $200,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 22,100 | $197,000 | thousands by filing date | |
| Rentech Nitrogen Partners, LP | 760113100 | LTD | 11,552 | $196,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 13,004 | $194,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 20,350 | $194,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 10,341 | $193,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 11,073 | $192,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 14,770 | $192,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,800 | $191,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 123,050 | $191,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 12,698 | $190,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 102,155 | $190,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 11,748 | $189,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 28,435 | $188,000 | thousands by filing date | |
| GENPACT LIMITED SHS | G3922B107 | Stock | 10,612 | $186,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 18,760 | $185,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 11,755 | $184,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 73,050 | $183,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 13,150 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 13,543 | $180,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 18,059 | $179,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,510 | $178,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 86,000 | $177,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 12,425 | $175,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 31,500 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 11,900 | $174,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 31,000 | $171,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 13,900 | $170,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 14,724 | $168,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 20,000 | $167,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 10,146 | $166,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 18,310 | $166,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 10,138 | $166,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 23,529 | $166,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 19,000 | $164,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 12,013 | $164,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 11,100 | $164,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,010 | $161,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 15,942 | $160,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 16,033 | $160,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 14,000 | $156,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $155,000 | thousands by filing date | |
| CHEROKEE INC | 16444H102 | COM | 10,000 | $152,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 14,268 | $151,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 35,500 | $150,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,700 | $149,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 62,309 | $149,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 10,245 | $148,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 15,616 | $148,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 17,312 | $147,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 15,722 | $147,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 11,240 | $146,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 17,359 | $145,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 24,500 | $144,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 17,284 | $144,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 17,403 | $143,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 20,145 | $142,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 14,710 | $142,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 14,143 | $141,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 15,800 | $139,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,930 | $139,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 10,358 | $138,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 46,316 | $138,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 10,118 | $137,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 18,011 | $136,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 42,385 | $136,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 12,432 | $132,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 10,164 | $132,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 10,145 | $132,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 13,583 | $132,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 41,250 | $128,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 17,000 | $127,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 15,000 | $125,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 14,639 | $125,000 | thousands by filing date | |
| E HOUSE CHINA HLDGS LTD | 26852W103 | ADR | 14,424 | $125,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 30,000 | $124,000 | thousands by filing date | |
| FAB UNVL CORP COM | 302771100 | COM | 42,000 | $122,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 17,000 | $120,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 22,390 | $119,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 11,905 | $117,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 12,000 | $113,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 10,249 | $113,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032809 | COM | 10,288 | $112,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 155,425 | $111,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 37,000 | $108,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 29,289 | $108,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 41,950 | $107,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 25,850 | $107,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 17,492 | $101,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,074 | $101,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 10,178 | $98,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 13,224 | $98,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 38,000 | $95,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 18,900 | $95,000 | thousands by filing date | |
| Attunity Ltd | M15332121 | SHS NEW | 12,500 | $95,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 10,358 | $92,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 22,506 | $92,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 12,184 | $91,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 18,991 | $91,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 149,000 | $91,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 10,316 | $88,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 82,066 | $87,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,000 | $84,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 104,496 | $81,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 25,000 | $78,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 12,204 | $77,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,276 | $77,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 13,000 | $76,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 14,004 | $76,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 13,700 | $76,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 11,200 | $75,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 58,600 | $73,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 14,500 | $72,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 94,900 | $71,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 15,000 | $70,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 13,241 | $64,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 39,488 | $64,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 110,639 | $59,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 25,566 | $54,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 16,677 | $53,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 12,800 | $53,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 85,000 | $53,000 | thousands by filing date | |
| INSPIREMD INC | 45779A309 | COM | 18,101 | $53,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,000 | $51,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 28,500 | $51,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 20,000 | $51,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 16,000 | $50,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 46,443 | $46,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 10,700 | $46,000 | thousands by filing date | |
| AEROPOSTALE INC | 007865108 | COMMON STOCK | 11,900 | $42,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,000 | $31,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 41,000 | $24,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 14,801 | $23,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 33,565 | $23,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 27,000 | $23,000 | thousands by filing date | |
| BODY CENTRAL CORP | 09689U102 | COM | 23,791 | $21,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 34,000 | $17,000 | thousands by filing date | |
| ACURA PHARMACEUTICALS INC | 00509L703 | COM NEW | 15,000 | $16,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,500 | $15,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 29,369 | $14,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 50,000 | $14,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q141 | RIGHT 07/18/2014 | 86,475 | $14,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,000 | $12,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 10,000 | $11,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 10,000 | $11,000 | thousands by filing date | |
| GABELLI HLTHCARE & WELLNESS TRUST | 36246K137 | RTS | 23,878 | $9,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 22,000 | $7,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 32,817 | $4,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 16,672 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-001693 | this filing | 2014-08-14 | acceptance time not in the bulk data set |