13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-08, with 1,221 holding rows worth $3,354,668,000.
- Accession
- 0001085146-16-004186
- Filer
- CIK 822581
- Filed
- 2016-08-08
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 1,221 entries on the cover page, a total value of $3,354,668,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,354,668,000 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 |
|---|---|---|---|---|---|---|
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 16,600 | $275,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 5,750 | $274,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 4,274 | $273,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 4,697 | $272,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 5,688 | $271,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 52,112 | $271,000 | thousands by filing date | |
| PROSHARES SHORT | 74347R396 | PSHS SH MSCI EMR | 10,315 | $271,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 4,922 | $267,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 5,700 | $264,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 3,334 | $263,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 23,330 | $263,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 3,924 | $263,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 5,820 | $259,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B597 | VAR RATE PFD POR | 10,419 | $259,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 15,550 | $257,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 15,083 | $257,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 10,058 | $257,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 8,000 | $256,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,207 | $256,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 1,517 | $255,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 10,842 | $254,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 1,957 | $254,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 12,259 | $254,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,623 | $254,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 300 | $253,000 | thousands by filing date | |
| PROSHARES TR | 74347R701 | PSHS SHORT DOW30 | 11,853 | $253,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 379 | $251,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 22,259 | $251,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 17,250 | $248,000 | thousands by filing date | |
| GRANITE CONSTR INC COM | 387328107 | Stock | 5,415 | $247,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 26,351 | $246,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 6,483 | $246,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 10,139 | $246,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 7,726 | $246,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 12,064 | $244,000 | thousands by filing date | |
| FIRST TR VALUE LINE 100 ETF | 33735G107 | COM SHS | 12,000 | $244,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 6,463 | $242,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 4,625 | $242,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 28,015 | $240,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 25,784 | $239,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 4,225 | $236,000 | thousands by filing date | |
| NVR INC COM | 62944T105 | Stock | 132 | $235,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 17,097 | $233,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 4,650 | $231,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 7,275 | $230,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 29,400 | $229,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 4,379 | $228,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 12,360 | $228,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 2,100 | $227,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 13,750 | $227,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 6,205 | $225,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 13,750 | $225,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 7,591 | $224,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 5,000 | $224,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 12,521 | $224,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 14,375 | $224,000 | thousands by filing date | |
| RELYPSA INC | 759531106 | Common Stock | 12,033 | $222,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 1,677 | $221,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 7,186 | $221,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 2,150 | $220,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 3,875 | $220,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 40,104 | $220,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 13,919 | $220,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 6,500 | $220,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 13,975 | $219,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,704 | $219,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 8,732 | $219,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 6,150 | $219,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 14,076 | $219,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 8,029 | $218,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 166 | $216,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 9,034 | $216,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 6,406 | $215,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 39,000 | $214,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,809 | $213,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 6,127 | $212,000 | thousands by filing date | |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 6,442 | $212,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 1,841 | $211,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 4,662 | $211,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 16,680 | $209,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 4,100 | $207,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 30,400 | $207,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 3,735 | $206,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 2,849 | $205,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 11,181 | $205,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 18,935 | $205,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 5,909 | $205,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 10,550 | $204,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 12,387 | $204,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 3,390 | $203,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 17,350 | $203,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 4,958 | $203,000 | thousands by filing date | |
| EQUITY LIFESTYLE PROPERTIES COM | 29472R108 | REIT | 2,520 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,379 | $202,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 8,500 | $202,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 8,288 | $202,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 8,751 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 19,680 | $202,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 13,175 | $201,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 21,182 | $201,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 43,300 | $198,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 13,774 | $197,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 10,000 | $197,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 86,759 | $193,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 18,555 | $192,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 16,700 | $188,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 18,170 | $187,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,234 | $186,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 14,273 | $185,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 31,000 | $185,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 12,225 | $184,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 12,100 | $183,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 30,000 | $182,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 22,764 | $182,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 23,983 | $175,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 29,500 | $174,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 12,582 | $172,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,400 | $167,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,073 | $161,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 13,450 | $160,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 12,855 | $159,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,350 | $159,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 32,075 | $159,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 10,500 | $156,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 35,300 | $155,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 16,959 | $154,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $154,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 54,800 | $153,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,471 | $152,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,579 | $150,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 12,180 | $148,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 35,000 | $148,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 22,546 | $148,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 13,100 | $147,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 22,477 | $146,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 13,032 | $142,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 11,000 | $141,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 20,214 | $141,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 10,000 | $140,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 12,700 | $139,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,413 | $138,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 103,000 | $137,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 12,405 | $135,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,161 | $133,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 12,862 | $132,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 11,384 | $131,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 17,000 | $130,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 10,046 | $129,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 16,788 | $128,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 11,100 | $125,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 10,596 | $124,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 14,300 | $123,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 26,155 | $119,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 14,556 | $118,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 11,700 | $118,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 112,300 | $118,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 10,800 | $118,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 11,244 | $117,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 27,930 | $110,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 10,400 | $110,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 20,100 | $110,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,810 | $109,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 18,000 | $108,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 30,350 | $108,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 11,711 | $108,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 14,867 | $107,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 39,826 | $103,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 24,944 | $97,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 18,700 | $96,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 37,000 | $93,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 45,500 | $91,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 16,395 | $88,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 73,590 | $86,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 51,600 | $82,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 17,500 | $81,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,014 | $80,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 19,509 | $76,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 24,982 | $74,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 15,100 | $74,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 15,200 | $74,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 14,000 | $73,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 20,300 | $71,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 13,500 | $69,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 12,452 | $68,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 28,549 | $65,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 27,770 | $64,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 10,100 | $63,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 16,000 | $61,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 26,000 | $49,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 10,631 | $47,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 14,563 | $46,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 14,275 | $46,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 15,975 | $40,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 15,000 | $38,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 11,100 | $36,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 77,600 | $36,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 26,000 | $36,000 | thousands by filing date | |
| AEMETIS INC | 00770K202 | COM NEW | 15,283 | $35,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 29,000 | $33,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 23,420 | $32,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 15,327 | $29,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 17,499 | $29,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 48,500 | $28,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 12,110 | $27,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 20,000 | $26,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 19,350 | $25,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 15,000 | $24,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 11,295 | $24,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 14,925 | $21,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 10,400 | $17,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,000 | $15,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 33,500 | $15,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 13,321 | $11,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 10,000 | $10,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 10,000 | $10,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $9,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 14,700 | $7,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 81,300 | $7,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 112,000 | $7,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 20,000 | $5,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 47,868 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004186 | this filing | 2016-08-08 | acceptance time not in the bulk data set |