13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-12, with 1,417 holding rows worth $3,361,996,000.
- Accession
- 0001085146-14-002205
- Filer
- CIK 822581
- Filed
- 2014-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 1,417 entries on the cover page, a total value of $3,361,996,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,361,996,000 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 |
|---|---|---|---|---|---|---|
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 36,793 | $355,000 | thousands by filing date | |
| NASDAQ PREM INCM & GRW FD IN | 63110R105 | COM | 18,360 | $354,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 18,433 | $353,000 | thousands by filing date | |
| REGAL ENTMT GROUP | 758766109 | CL A | 17,711 | $352,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 4,626 | $351,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 24,300 | $351,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 15,921 | $350,000 | thousands by filing date | |
| LENNAR CORP CL A | 526057104 | Stock | 9,000 | $349,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 5,762 | $349,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 16,215 | $349,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 15,319 | $349,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W133 | EMERG CUR STR FD | 17,692 | $348,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 3,650 | $344,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 3,048 | $344,000 | thousands by filing date | |
| BOTTOMLINE TECH INC DEL | 101388106 | COM | 12,407 | $342,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 6,389 | $342,000 | thousands by filing date | |
| BASSETT FURNITURE INDS INC COM | 070203104 | Stock | 25,009 | $342,000 | thousands by filing date | |
| ARROWMARK FINANCIAL CORP | 861780104 | COM | 13,545 | $341,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 6,394 | $341,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 29,951 | $339,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 7,342 | $339,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 6,843 | $338,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 5,929 | $337,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 7,528 | $337,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 64,846 | $337,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 4,489 | $336,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 10,237 | $334,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 14,329 | $333,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 18,115 | $333,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 17,123 | $332,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 23,280 | $332,000 | thousands by filing date | |
| NUVASIVE INC | 670704105 | COM | 9,496 | $331,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 39,810 | $331,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 7,800 | $329,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 8,007 | $329,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 28,119 | $328,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 24,468 | $328,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 3,225 | $327,000 | thousands by filing date | |
| EMPIRE ST RLTY OP L P | 292102308 | UNIT LTD PRT 250 | 21,874 | $326,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 20,233 | $325,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 7,851 | $323,000 | thousands by filing date | |
| KAISER ALUMINUM CORP | 483007704 | COM PAR $0.01 | 4,238 | $323,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 22,302 | $320,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 23,581 | $320,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 16,899 | $319,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 21,648 | $318,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 20,539 | $315,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 3,100 | $314,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R605 | DORSEY WRT 5 ETF | 15,418 | $314,000 | thousands by filing date | |
| Taiwan Fund Inc/The/Md | 874036106 | COM | 16,644 | $314,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 9,100 | $313,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 41,657 | $313,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678107 | COM | 4,706 | $312,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 2,313 | $311,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,154 | $311,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 22,390 | $310,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 11,105 | $309,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 29,800 | $309,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 20,002 | $308,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 25,700 | $308,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 21,500 | $307,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 4,432 | $307,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 3,199 | $307,000 | thousands by filing date | |
| PROSHARES TR SHORT QQQ (PSQ) | 74347R602 | ETF | 19,500 | $307,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 9,972 | $305,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 11,470 | $305,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 2,402 | $303,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 12,003 | $302,000 | thousands by filing date | |
| Mkt Vectors Semiconductor ETF | 57060U233 | Equity | 5,875 | $300,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 3,067 | $298,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 7,842 | $298,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 13,400 | $298,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 4,610 | $294,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 49,100 | $294,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 21,381 | $294,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 6,305 | $293,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 14,000 | $293,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 8,050 | $293,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 12,241 | $293,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 4,281 | $292,000 | thousands by filing date | |
| BP PRUDHOE BAY RTY TR | 055630107 | TRUS | 3,096 | $292,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 3,644 | $290,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 6,938 | $289,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 2,196 | $288,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 4,572 | $288,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 6,756 | $287,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 9,578 | $287,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 8,804 | $287,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 23,908 | $287,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 33,400 | $286,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 56,091 | $283,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 26,618 | $283,000 | thousands by filing date | |
| BALLY TECHNOLOGIES | 05874B107 | COMMON STOCK | 3,500 | $282,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 4,177 | $281,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 6,200 | $281,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 4,120 | $281,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 11,385 | $281,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 8,813 | $280,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 4,212 | $280,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 3,925 | $280,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 162,602 | $280,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 10,150 | $279,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 11,025 | $279,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 17,110 | $278,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,357 | $277,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 8,888 | $277,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 4,760 | $277,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 3,664 | $275,000 | thousands by filing date | |
| ROPER TECHNOLOGIES INC COM | 776696106 | Stock | 1,877 | $275,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 2,600 | $275,000 | thousands by filing date | |
| CM FIN INC COM | 12574Q103 | COM | 20,800 | $275,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 8,910 | $275,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,692 | $274,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061201 | SHSHLD YIELD ETF | 9,065 | $274,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 27,250 | $274,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 7,339 | $273,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 10,169 | $273,000 | thousands by filing date | |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 7,762 | $272,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 3,943 | $271,000 | thousands by filing date | |
| CBS OUTDOOR AMERICAS INC | 14987J106 | COMMON STOCK | 9,045 | $271,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 8,783 | $270,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 3,448 | $270,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 4,385 | $269,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 20,000 | $269,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 10,700 | $268,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 8,337 | $266,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 4,815 | $265,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 19,903 | $265,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 3,658 | $264,000 | thousands by filing date | |
| DOUGLAS EMMETT INC | 25960P109 | COM | 10,300 | $264,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 10,600 | $264,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 16,898 | $264,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 14,900 | $263,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 18,389 | $262,000 | thousands by filing date | |
| KINDER MORGAN MANAGEMENT LLC | 49455U100 | SHS | 2,781 | $261,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 5,250 | $260,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 19,138 | $259,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 6,667 | $259,000 | thousands by filing date | |
| PARTNERRE LTD | G6852T105 | COM | 2,350 | $258,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 20,189 | $257,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 15,305 | $257,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 4,999 | $257,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L860 | QUALT DIVD IDX | 7,350 | $256,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 7,850 | $256,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 7,640 | $256,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 28,600 | $255,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 8,128 | $255,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 7,186 | $255,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 4,835 | $254,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 8,618 | $250,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 13,760 | $250,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 3,726 | $249,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 26,565 | $249,000 | thousands by filing date | |
| ATLAS ENERGY LP | 04930A104 | COM UNITS LP | 5,641 | $248,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 6,224 | $247,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 9,200 | $247,000 | thousands by filing date | |
| iShares S&P Small-Cap 600 Value ETF | 464287879 | SHS | 2,293 | $246,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 11,030 | $245,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,845 | $245,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163U106 | COM | 7,616 | $243,000 | thousands by filing date | |
| TAMINCO CORP | 87509U106 | COM | 9,280 | $242,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 33,333 | $241,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 50,300 | $241,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 5,491 | $240,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 30,580 | $239,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 10,037 | $239,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 11,275 | $238,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 61,020 | $238,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 14,407 | $238,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 24,500 | $238,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 5,788 | $237,000 | thousands by filing date | |
| ATLAS PIPELINE PARTNERS LP | 049392103 | UNIT L P INT | 6,500 | $237,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,145 | $236,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 40,538 | $236,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 10,700 | $236,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 6,501 | $236,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P509 | SPON ADR NEW2014 | 6,116 | $236,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,722 | $235,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 4,833 | $235,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 9,116 | $235,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 97,000 | $235,000 | thousands by filing date | |
| QUEST DIAGNOSTICS INC COM | 74834L100 | Stock | 3,851 | $234,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 4,769 | $234,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,375 | $234,000 | thousands by filing date | |
| MS INDIA INVESTMENT (CL END) | 61745C105 | IFD | 9,408 | $234,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 3,463 | $234,000 | thousands by filing date | |
| Concur Technologies, Inc. | 206708109 | COM | 1,841 | $234,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,900 | $233,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 18,800 | $233,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 18,226 | $233,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,700 | $232,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,890 | $231,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 16,181 | $230,000 | thousands by filing date | |
| ANNIES INC | 03600T104 | COM | 5,000 | $230,000 | thousands by filing date | |
| APCO OIL & GAS INTERNATIONAL | g0471f109 | SHS | 17,872 | $230,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 8,000 | $228,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 3,032 | $228,000 | thousands by filing date | |
| REXNORD CORP | 76169B102 | COMMON STOCK | 8,000 | $228,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 8,509 | $228,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 75,357 | $228,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,045 | $226,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 8,800 | $226,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 8,000 | $224,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 6,710 | $223,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 4,366 | $222,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 6,873 | $222,000 | thousands by filing date | |
| COCA COLA ENTERPRISES INC NE | 19122T109 | COM | 5,010 | $222,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 3,168 | $221,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 7,000 | $219,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 16,303 | $219,000 | thousands by filing date | |
| HERBALIFE LTD | G4412G101 | COM SHS | 4,976 | $218,000 | thousands by filing date | |
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 13,865 | $218,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 24,563 | $217,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 10,900 | $217,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 5,803 | $215,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 12,350 | $215,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 8,523 | $215,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 117,573 | $215,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 34,200 | $215,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 10,262 | $214,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 2,163 | $213,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 3,930 | $213,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,281 | $212,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 23,186 | $211,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,486 | $211,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 7,776 | $211,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 17,500 | $211,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 18,683 | $211,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 8,500 | $211,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 9,550 | $210,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 17,640 | $210,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 4,750 | $210,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 3,130 | $208,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 4,981 | $207,000 | thousands by filing date | |
| ANGIES LIST INC | 034754101 | COM | 32,435 | $207,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 3,276 | $206,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 14,073 | $206,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 3,921 | $205,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 3,543 | $205,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 17,363 | $205,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 10,419 | $205,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 8,775 | $205,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 3,825 | $204,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 7,024 | $204,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 20,500 | $204,000 | thousands by filing date | |
| SILICON LABORATORIES INC COM | 826919102 | Stock | 5,000 | $203,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 4,549 | $203,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 15,661 | $202,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 10,999 | $202,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 3,625 | $201,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 5,968 | $201,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 4,675 | $201,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 317 | $200,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 18,656 | $200,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 11,250 | $199,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 14,500 | $198,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 28,700 | $197,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 16,908 | $197,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 15,400 | $197,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,000 | $197,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 28,528 | $194,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 22,717 | $193,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 11,500 | $190,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,350 | $190,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 13,648 | $187,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 120,000 | $186,000 | thousands by filing date | |
| INTERVEST BANCSHARES CORP-A | 460927106 | COM | 19,321 | $185,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 10,705 | $183,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 23,434 | $183,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 10,693 | $183,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 12,674 | $181,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 21,794 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 13,543 | $180,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 10,500 | $180,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 17,081 | $177,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 11,078 | $177,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,334 | $177,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 22,750 | $176,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 15,240 | $175,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 94,286 | $175,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 11,133 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 11,900 | $174,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 18,750 | $173,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 45,331 | $173,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 68,409 | $170,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 80,028 | $170,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 10,700 | $169,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 177,500 | $169,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 12,028 | $168,000 | thousands by filing date | |
| TRADE STR RESIDENTIAL INC | 89255N203 | COM NEW | 23,478 | $168,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,520 | $167,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 12,200 | $166,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 12,283 | $164,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 14,356 | $163,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 11,721 | $162,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 14,859 | $161,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 14,847 | $160,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 10,281 | $160,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 31,900 | $158,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 17,810 | $158,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 19,000 | $157,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 10,550 | $153,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 15,709 | $152,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 10,715 | $151,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 14,000 | $151,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 53,000 | $151,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 15,942 | $150,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 12,000 | $149,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $149,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 15,878 | $147,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 10,600 | $143,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 21,087 | $143,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 17,312 | $142,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,500 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 10,491 | $140,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 12,000 | $140,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 30,000 | $140,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 10,500 | $138,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 123,050 | $138,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 20,335 | $136,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 10,118 | $136,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 15,800 | $133,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,307 | $132,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 10,870 | $131,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 16,278 | $131,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 91,949 | $130,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 22,000 | $124,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 10,000 | $124,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 10,264 | $123,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 79,895 | $122,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 18,200 | $122,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 10,337 | $122,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 13,125 | $119,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 18,404 | $117,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 100,900 | $117,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 14,303 | $116,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 11,500 | $115,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 12,100 | $113,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 41,585 | $112,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 11,905 | $109,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 12,139 | $107,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 12,954 | $107,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 13,500 | $105,000 | thousands by filing date | |
| IRIDEX CORP | 462684101 | COM | 15,000 | $105,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 10,525 | $103,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 40,889 | $101,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 104,600 | $100,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 15,535 | $99,000 | thousands by filing date | |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 16,903 | $99,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 20,100 | $97,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 12,000 | $92,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 11,222 | $91,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 15,767 | $87,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 13,490 | $86,000 | thousands by filing date | |
| KOREA EQUITY FUND | 50063B104 | MUTUAL FUNDS EQ | 10,358 | $86,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 12,202 | $84,000 | thousands by filing date | |
| ATRIUM THERAPEUTICS INC | N71546100 | COM | 10,000 | $84,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 25,000 | $84,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 27,829 | $83,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,000 | $82,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 39,364 | $82,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826T108 | COM | 10,000 | $80,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 131,117 | $79,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,383 | $79,000 | thousands by filing date | |
| AKERS BIOSCIENCES INC | 00973E102 | COM | 21,600 | $78,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 19,440 | $76,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 37,000 | $75,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 10,000 | $75,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 56,000 | $73,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 15,500 | $71,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 10,300 | $70,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 1,194,052 | $69,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 15,000 | $68,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 25,000 | $68,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 10,000 | $65,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 88,251 | $65,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 58,000 | $64,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 15,000 | $62,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 18,500 | $62,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 13,241 | $62,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 72,370 | $62,000 | thousands by filing date | |
| OI S.A. | 670851203 | SPN ADR REP PFD | 83,679 | $59,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 11,200 | $57,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 10,794 | $54,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 14,500 | $53,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 12,200 | $49,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 17,500 | $49,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 36,403 | $49,000 | thousands by filing date | |
| INTERNET PATENTS CORP | 46063G101 | COM | 16,000 | $49,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 11,500 | $48,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 26,470 | $48,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 10,900 | $47,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 13,700 | $46,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 36,950 | $44,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 22,000 | $37,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,051 | $35,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 13,504 | $32,000 | thousands by filing date | |
| NTN BUZZTIME INC | 629410309 | COM | 95,798 | $32,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 54,602 | $31,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 42,276 | $29,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 15,836 | $26,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,000 | $22,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 17,800 | $19,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 10,000 | $18,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 29,369 | $14,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 30,000 | $12,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 18,978 | $12,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 10,000 | $9,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 10,000 | $9,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 31,000 | $9,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 10,000 | $7,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,500 | $7,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 10,000 | $5,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 23,000 | $4,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 32,817 | $4,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 10,000 | $3,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 12,650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-002205 | this filing | 2014-11-12 | acceptance time not in the bulk data set |