13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-16, with 1,870 holding rows worth $7,554,366,000.
- Accession
- 0001085146-15-002363
- Filer
- CIK 1462245
- Filed
- 2015-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A combination report, 1,870 entries on the cover page, a total value of $7,554,366,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,554,366,000 with VALUE read as thousands by filing date, 13F file number 028-13510. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerAFFINITY INVESTMENT ADVISORS, LLC028-14467
- reports for this filerALLIANCEBERNSTEIN L.P.028-10562
- reports for this filerAllianz Global Investors U.S. LLC028-13991
- reports for this filerALTA CAPITAL MANAGEMENT LLC/028-05119
- reports for this filerAMI ASSET MANAGEMENT CORP028-11962
- reports for this filerANCHOR CAPITAL ADVISORS LLC028-01880
- reports for this filerAperio Group, LLC028-11964
- reports for this filerApex Capital Management028-11050
- reports for this filerAshfield Capital Partners, LLC028-12481
- reports for this filerAstor Asset Management, LLC028-13903
- reports for this filerATALANTA SOSNOFF CAPITAL, LLC028-01162
- reports for this filerATLANTA CAPITAL MANAGEMENT CO L L C028-05936
- reports for this filerBAHL & GAYNOR INC028-02825
- reports for this filerBlackRock Inc.028-12019
- reports for this filerBLAIR WILLIAM & CO/IL028-04871
- reports for this filerBRANDES INVESTMENT PARTNERS, LP028-05620
- reports for this filerBRC Investment Management LLC028-11434
- reports for this filerBrookmont Capital Management028-14438
- reports for this filerBROWN ADVISORY INC028-13997
- reports for this filerCAMBIAR INVESTORS LLC028-01398
- reports for this filerCAMPBELL NEWMAN ASSET MANAGEMENT INC028-02903
- reports for this filerCapital Wealth Planning, LLC028-15439
- reports for this filerClearbridge Investments, LLC028-11611
- reports for this filerCOLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC028-10477
- reports for this filerCONGRESS ASSET MANAGEMENT CO /MA028-03434
- reports for this filerCORBYN INVESTMENT MANAGEMENT INC/MD028-04242
- reports for this filerCS MCKEE LP028-01203
- reports for this filerCUMBERLAND ADVISORS INC028-11051
- reports for this filerDAVIS SELECTED ADVISERS028-04121
- reports for this filerDENVER INVESTMENT ADVISORS LLC028-05416
- reports for this filerDSM CAPITAL PARTNERS LLC028-10309
- reports for this filerEAGLE ASSET MANAGEMENT INC028-01666
- reports for this filerEAGLE GLOBAL ADVISORS LLC028-06213
- reports for this filerEARNEST PARTNERS LLC028-05269
- reports for this filerEATON VANCE MANAGEMENT028-04139
- reports for this filerEnergy Income Partners, LLC028-12170
- reports for this filerENVESTNET ASSET MANAGEMENT INC028-13411
- reports for this filerEQUITY INVESTMENT CORP/GA028-10606
- reports for this filerFEDERATED INVESTORS INC /PA/028-04375
- reports for this filerFRANKLIN RESOURCES INC028-00734
- reports for this filerFRED ALGER MANAGEMENT INC028-00869
- reports for this filerGLENMEDE TRUST CO NA028-00126
- reports for this filerGlovista Investments LLC028-14929
- reports for this filerHARDING LOEVNER LP028-04434
- reports for this filerHARRIS ASSOCIATES L P028-02013
- reports for this filerHaverford Financial Services, Inc.028-11678
- reports for this filerHaverford Trust Co028-02396
- reports for this filerHAYS ADVISORY LLC028-10649
- reports for this filerHEITMAN LLC028-12002
- reports for this filerHGK ASSET MANAGEMENT INC028-01321
- reports for this filerHorizon Investment Services, LLC028-12835
- reports for this filerHorizon Kinetics LLC028-14519
- reports for this filerInvesco Ltd.028-11246
- reports for this filerJPMORGAN CHASE & CO028-00694
- reports for this filerKAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC028-05792
- reports for this filerKENNEDY CAPITAL MANAGEMENT, INC.028-03133
- reports for this filerLATEEF INVESTMENT MANAGEMENT, L.P.028-05358
- reports for this filerLattice Strategies LLC028-15118
- reports for this filerLAZARD ASSET MANAGEMENT LLC028-10469
- reports for this filerCLEARBRIDGE, LLC028-01701
- reports for this filerLOGAN CAPITAL MANAGEMENT INC028-05837
- reports for this filerLONDON CO OF VIRGINIA028-10665
- reports for this filerLOOMIS SAYLES & CO L P028-00398
- reports for this filerLORD, ABBETT & CO. LLC028-00413
- reports for this filerMD SASS INVESTORS SERVICES INC028-04057
- reports for this filerMASSACHUSETTS FINANCIAL SERVICES CO /MA/028-04968
- reports for this filerMILLER HOWARD INVESTMENTS INC /NY028-03692
- reports for this filerNeuberger Berman Group LLC028-13573
- reports for this filerNEW AMSTERDAM PARTNERS LLC/NY028-05406
- reports for this filerNEWGATE CAPITAL MANAGEMENT LLC028-03871
- reports for this filerNGAM ADVISORS, L.P.028-05788
- reports for this filerNORTHERN TRUST CORP028-00290
- reports for this filerNUANCE INVESTMENTS, LLC028-13833
- reports for this filerNuveen Asset Management, LLC028-14498
- reports for this filerNWQ INVESTMENT MANAGEMENT COMPANY, LLC028-01474
- reports for this filerOAK ASSOCIATES LTD /OH/028-02338
- reports for this filerOFI SteelPath, Inc.028-15436
- reports for this filerO'SHAUGHNESSY ASSET MANAGEMENT, LLC028-12966
- reports for this filerPACIFIC INVESTMENT MANAGEMENT CO LLC028-10952
- reports for this filerPARAMETRIC PORTFOLIO ASSOCIATES LLC028-04558
- reports for this filerPOLEN CAPITAL MANAGEMENT LLC028-03687
- reports for this filerPRINCIPAL FINANCIAL GROUP INC028-10106
- reports for this filerPRINCIPAL GLOBAL INVESTORS028-01549
- reports for this filerPZENA INVESTMENT MANAGEMENT LLC028-03791
- reports for this filerREAVES W H & CO INC028-01347
- reports for this filerRENAISSANCE GROUP LLC028-04884
- reports for this filerRIVERBRIDGE PARTNERS LLC028-05655
- reports for this filerRNC CAPITAL MANAGEMENT LLC028-00970
- reports for this filerBoston Partners028-12484
- reports for this filerROOSEVELT INVESTMENT GROUP INC028-03511
- reports for this filerSalient Capital Advisors, LLC028-14184
- reports for this filerSANTA BARBARA ASSET MANAGEMENT, LLC028-05621
- reports for this filerSAROFIM FAYEZ028-00132
- reports for this filerSCHAFER CULLEN CAPITAL MANAGEMENT INC028-04691
- reports for this filerSOUTHERNSUN ASSET MANAGEMENT, LLC028-03489
- reports for this filerSYSTEMATIC FINANCIAL MANAGEMENT LP028-05015
- reports for this filerTCW GROUP INC028-02494
- reports for this filerTHOMAS WHITE INTERNATIONAL LTD028-05601
- reports for this filerADDITIONAL MANAGERS DO NOT FIT TEMPLATE
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 |
|---|---|---|---|---|---|---|
| ENERGEN CORP | 29265N108 | COM | 5,413 | $270,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 13,729 | $269,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 13,000 | $269,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 18,352 | $268,000 | thousands by filing date | |
| iShares S&P AMT-Free Municipal | 46429B580 | COM | 10,426 | $267,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 21,042 | $266,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 19,551 | $266,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 38,630 | $266,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 18,553 | $266,000 | thousands by filing date | |
| TRIMBLE INC COM | 896239100 | Stock | 16,217 | $265,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 5,641 | $265,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 18,738 | $265,000 | thousands by filing date | |
| NRG YIELD INC | 62942X405 | CL C | 22,866 | $265,000 | thousands by filing date | |
| POWERSHARES ACTIVE | 73935B805 | MNG ETF T S\&P.* DWNHDGE | 10,946 | $264,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 3,775 | $263,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 7,236 | $263,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 6,439 | $263,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 7,353 | $263,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 14,291 | $263,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 4,232 | $262,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 53,702 | $262,000 | thousands by filing date | |
| ISHARES TR | 464287127 | MORNINGSTR US EQ | 2,340 | $261,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 11,825 | $261,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 8,099 | $259,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 61,618 | $259,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 41,240 | $259,000 | thousands by filing date | |
| CURRENCYSHARES CANADIAN DOLLAR TRUST | 23129X105 | COM | 3,479 | $259,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 57,672 | $258,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 13,003 | $258,000 | thousands by filing date | |
| BARCLAYS BK PLC | 06739F390 | ADR 2 PREF 2 | 10,095 | $258,000 | thousands by filing date | |
| T-Mobile US,Inc. | 872590104 | COM | 6,427 | $257,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 5,796 | $257,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 53,872 | $256,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 6,427 | $256,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 5,590 | $255,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 5,841 | $252,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 7,011 | $251,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 3,656 | $251,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 3,701 | $251,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 15,596 | $250,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 4,061 | $250,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 14,679 | $248,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 84,160 | $248,000 | thousands by filing date | |
| RETAIL PPTYS AMER INC | 76131V202 | CL A | 17,430 | $247,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,359 | $245,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 17,601 | $245,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 1,644 | $244,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 9,723 | $244,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 4,533 | $244,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 12,708 | $243,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 3,297 | $242,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 4,549 | $242,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 4,220 | $242,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 28,097 | $241,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 3,606 | $241,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 1,765 | $240,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 3,009 | $239,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 4,502 | $239,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 15,560 | $239,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 17,615 | $239,000 | thousands by filing date | |
| FOSSIL GROUP INC | 34988V106 | COMMON STOCK | 4,261 | $239,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 18,441 | $238,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 11,989 | $237,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 14,220 | $237,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 41,822 | $236,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 4,857 | $236,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 16,352 | $236,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 18,130 | $236,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 7,702 | $236,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 9,594 | $235,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 3,197 | $235,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 15,358 | $234,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 13,418 | $234,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,892 | $234,000 | thousands by filing date | |
| GUGGENHEIM | 18383Q507 | EXCHANGE TRADED | 8,862 | $233,000 | thousands by filing date | |
| UTI WORLDWIDE INC | G87210103 | ORD | 50,120 | $232,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 8,500 | $231,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 8,399 | $230,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 4,176 | $230,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 4,712 | $230,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 15,000 | $229,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 6,262 | $229,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 14,395 | $229,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 28,615 | $228,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 19,077 | $228,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,412 | $228,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DIV ACHV | 73935X732 | ETF - EQUITY | 11,750 | $228,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 9,357 | $227,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 5,211 | $227,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 15,898 | $226,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 22,677 | $225,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 3,574 | $225,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 39,007 | $225,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 11,200 | $224,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 3,247 | $223,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 17,808 | $223,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 7,764 | $222,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 8,034 | $221,000 | thousands by filing date | |
| NATIONAL WESTERN | 638522102 | COMMON STOCK | 1,009 | $221,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 5,346 | $220,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 8,320 | $220,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 36,375 | $220,000 | thousands by filing date | |
| ISRA VANECK VECTORS ETF TR | 57061R676 | ETF | 7,625 | $220,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 1,263 | $219,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 12,146 | $218,000 | thousands by filing date | |
| INTERNATIONAL FLAVORS&FRAGRANC COM | 459506101 | Stock | 2,098 | $217,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 7,660 | $217,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 23,615 | $217,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,337 | $216,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 30,047 | $216,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 2,245 | $215,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 15,193 | $215,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 7,886 | $215,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 9,618 | $214,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 12,966 | $213,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 1,009 | $213,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 15,168 | $213,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 7,578 | $212,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 19,206 | $211,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 11,258 | $211,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 11,488 | $211,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 47,825 | $210,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 13,958 | $210,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 12,595 | $210,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 8,086 | $210,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 6,816 | $209,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 14,800 | $209,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 20,901 | $207,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 6,740 | $206,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 18,898 | $205,000 | thousands by filing date | |
| COMPUTER SCIENCES CORP | 205363104 | COM | 3,357 | $205,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 32,843 | $205,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 5,189 | $204,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 14,589 | $204,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 11,257 | $204,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 5,749 | $203,000 | thousands by filing date | |
| Invesco Large-Cap Growth | 73935X609 | ETF | 6,870 | $202,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 3,246 | $202,000 | thousands by filing date | |
| CURTISS WRIGHT CORP COM | 231561101 | Stock | 3,175 | $201,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 704 | $201,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 8,347 | $200,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 2,704 | $200,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 19,251 | $200,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 10,500 | $200,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 12,314 | $199,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 21,343 | $198,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 18,500 | $198,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 10,000 | $197,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 10,455 | $197,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 12,960 | $196,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 83,240 | $194,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 12,928 | $192,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 31,794 | $192,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 15,000 | $191,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 17,268 | $190,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 44,939 | $188,000 | thousands by filing date | |
| EXTENDED STAY AMER INC | 30224P200 | UNIT 99/99/9999B | 11,226 | $187,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 12,630 | $185,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 15,108 | $184,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 21,965 | $184,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 40,000 | $184,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,919 | $183,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 35,700 | $182,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 22,513 | $178,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 12,377 | $176,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 14,226 | $174,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 10,702 | $174,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 27,194 | $173,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 19,409 | $172,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 14,242 | $171,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 20,156 | $170,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 10,557 | $170,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 10,252 | $167,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 25,000 | $161,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 19,937 | $161,000 | thousands by filing date | |
| HANSEN MEDICAL INC COM NEW | 411307200 | Stock | 41,341 | $161,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 13,093 | $160,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 12,133 | $160,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 19,041 | $159,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 32,614 | $159,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,245 | $159,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 11,744 | $158,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 24,263 | $155,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 16,350 | $152,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 10,780 | $152,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 83,000 | $152,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 13,195 | $150,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 24,274 | $149,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 15,471 | $149,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,412 | $148,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 29,113 | $148,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 12,247 | $147,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 13,962 | $147,000 | thousands by filing date | |
| Scorpio Bulkers Inc. | Y7546A106 | EQ | 100,000 | $146,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 16,631 | $143,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 17,545 | $143,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 11,804 | $143,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 13,504 | $143,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 10,060 | $141,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 55,058 | $140,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 11,025 | $139,000 | thousands by filing date | |
| FIDUS INVESTMENT GROUP | 316500107 | COM | 10,000 | $138,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 15,451 | $137,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 20,061 | $136,000 | thousands by filing date | |
| TORTOISE ENERGY INDEPENDENC | 89148K101 | COM | 10,865 | $135,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,448 | $132,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 11,578 | $131,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 13,092 | $131,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,646 | $130,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 42,110 | $126,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 26,071 | $126,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 12,674 | $125,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 11,051 | $123,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 31,800 | $123,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 19,153 | $121,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,285 | $121,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 70,000 | $120,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 33,359 | $119,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 47,285 | $118,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 20,000 | $117,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 12,867 | $116,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 40,940 | $115,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 15,000 | $114,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 61,514 | $114,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 36,952 | $113,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 19,505 | $110,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,000 | $109,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 16,045 | $108,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 10,250 | $107,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 59,965 | $104,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 10,218 | $102,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 20,205 | $101,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 17,093 | $101,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 10,319 | $99,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 42,501 | $97,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 11,430 | $94,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 14,270 | $94,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 24,249 | $92,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 31,667 | $91,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 15,000 | $90,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 11,323 | $89,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D381 | Cmn | 13,000 | $85,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 37,600 | $83,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 21,830 | $82,000 | thousands by filing date | |
| HIGHWAY HLDGS LTD | G4481U106 | ORD | 15,894 | $81,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 10,814 | $80,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 12,175 | $80,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 15,937 | $80,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 40,090 | $79,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 14,735 | $78,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 10,177 | $78,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 29,330 | $78,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 200,313 | $78,000 | thousands by filing date | |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 36,100 | $77,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 10,200 | $77,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 66,400 | $76,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 16,474 | $75,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 17,180 | $74,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 35,872 | $74,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 48,867 | $72,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 11,025 | $72,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 11,000 | $65,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 45,000 | $63,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 10,562 | $59,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 25,000 | $59,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 53,100 | $59,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 17,200 | $57,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 12,000 | $56,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 35,200 | $55,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 29,990 | $53,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,875 | $52,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 19,530 | $52,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 16,568 | $51,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 10,280 | $51,000 | thousands by filing date | |
| COMMAND SEC CORP | 20050L100 | COM | 27,446 | $51,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 15,869 | $50,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 24,350 | $50,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 31,670 | $49,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $48,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 14,979 | $48,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 10,211 | $45,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 15,101 | $45,000 | thousands by filing date | |
| BIOCEPT INC | 09072V105 | COM | 18,900 | $45,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 16,389 | $44,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,123 | $44,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 13,096 | $42,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 10,000 | $40,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 17,859 | $38,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 23,985 | $36,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 169,200 | $35,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 34,200 | $33,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 96,500 | $33,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 55,450 | $32,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 18,303 | $31,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 100,000 | $31,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,600 | $30,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 29,000 | $29,000 | thousands by filing date | principal |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 14,224 | $29,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 13,328 | $29,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 48,500 | $28,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 28,000 | $27,000 | thousands by filing date | principal |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 12,960 | $27,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 12,800 | $26,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 30,000 | $26,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 27,540 | $26,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 28,000 | $26,000 | thousands by filing date | principal |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 10,134 | $25,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 13,500 | $25,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 19,000 | $25,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $25,000 | thousands by filing date | principal |
| Onconova Therapeutics | 68232V108 | Common | 18,278 | $25,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 24,000 | $25,000 | thousands by filing date | principal |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 24,000 | $24,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 23,000 | $24,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 30,000 | $24,000 | thousands by filing date | principal |
| Advanced Micro Devices,Inc. | 007903107 | COM | 14,294 | $23,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 24,000 | $23,000 | thousands by filing date | principal |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 31,000 | $23,000 | thousands by filing date | principal |
| SKYSTAR BIO-PHARMA CO | 830884300 | COM PAR $.001 | 22,845 | $22,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 26,000 | $22,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 25,000 | $22,000 | thousands by filing date | principal |
| EDGIO INC | 53261M104 | COM | 11,150 | $21,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 23,000 | $21,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 26,000 | $21,000 | thousands by filing date | principal |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 24,000 | $21,000 | thousands by filing date | principal |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 15,040 | $21,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 25,000 | $20,000 | thousands by filing date | principal |
| CORMEDIX INC | 21900C100 | COM | 10,001 | $20,000 | thousands by filing date | |
| Amedica Corporation | 023435100 | COM | 62,500 | $20,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 15,515 | $19,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 19,000 | $19,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 10,000 | $17,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 17,000 | $17,000 | thousands by filing date | principal |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 10,000 | $17,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 18,000 | $17,000 | thousands by filing date | principal |
| FULL HSE RESORTS INC | 359678109 | COM | 10,000 | $15,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 17,000 | $15,000 | thousands by filing date | principal |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 10,100 | $15,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 16,000 | $15,000 | thousands by filing date | principal |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 17,000 | $15,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 15,000 | $15,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 17,000 | $15,000 | thousands by filing date | principal |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 13,000 | $15,000 | thousands by filing date | principal |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 15,000 | $14,000 | thousands by filing date | principal |
| GIGA TRONICS INC | 375175106 | COM | 15,000 | $14,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 16,000 | $14,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 14,000 | $14,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 33,275 | $13,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 18,250 | $13,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 74,450 | $12,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 11,000 | $12,000 | thousands by filing date | principal |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 14,000 | $12,000 | thousands by filing date | principal |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 11,000 | $10,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 10,000 | $10,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 11,000 | $10,000 | thousands by filing date | principal |
| RUBICON MINERALS CORP | 780911103 | COM | 12,824 | $9,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 10,000 | $9,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 11,000 | $9,000 | thousands by filing date | principal |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 15,500 | $8,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 10,000 | $7,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 12,105 | $6,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 18,375 | $6,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 12,000 | $5,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 10,000 | $5,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 15,000 | $5,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 70,000 | $5,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 21,762 | $4,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 12,300 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-15-002363 | this filing | 2015-11-16 | acceptance time not in the bulk data set |