13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-11, with 1,771 holding rows worth $7,904,745,000.
- Accession
- 0001085146-16-004246
- Filer
- CIK 1462245
- Filed
- 2016-08-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A combination report, 1,771 entries on the cover page, a total value of $7,904,745,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,904,745,000 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 filer12th Street Asset Management Company, LLC028-16737
- 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 filerAMG Funds LLC028-11395
- 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 filerBELMONT ASSET MANAGEMENT 028-10518
- reports for this filerBlackRock (Isle of Man) Ltd028-13740
- reports for this filerBLACKROCK CAPITAL MANAGEMENT INC028-10210
- reports for this filerBlackRock Investment Management, LLC028-12016
- reports for this filerBlackRock Inc.028-12019
- reports for this filerBLAIR WILLIAM & CO/IL028-04871
- reports for this filerBoston Partners028-12484
- 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 filerBrown Advisory LLC028-05775
- reports for this filerCAMBIAR INVESTORS LLC028-01398
- reports for this filerCAMPBELL NEWMAN ASSET MANAGEMENT INC028-02903
- reports for this filerCapital Innovations LLC028-15733
- 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 filerDF DENT & CO INC028-03691
- 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 filerGW&K Investment Management, LLC028-04145
- 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 ASSET MANAGEMENT LLC028-06986
- reports for this filerHorizon Investment Services, LLC028-12835
- reports for this filerHorizon Kinetics LLC028-14519
- reports for this filerInvesco Global Asset Management (N.A.), Inc. 028-05685
- reports for this filerInvesco Ltd.028-11246
- reports for this filerISTHMUS PARTNERS, LLC028-16855
- reports for this filerJPMORGAN CHASE & CO028-00694
- reports for this filerKarpus Management, Inc.028-11445
- reports for this filerKAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT LLC028-05792
- reports for this filerKENNEDY CAPITAL MANAGEMENT, INC.028-03133
- reports for this filerLaffer Investments028-10975
- 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 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 filerMariner Wealth Advisors-NYC, LLC028-16888
- 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 filerMONTAG & CALDWELL, LLC028-00288
- reports for this filerNATIXIS028-12482
- reports for this filerNeuberger Berman Group LLC028-13573
- reports for this filerNEUBERGER BERMAN LLC028-00454
- 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 filerNUVEEN INVESTMENTS INC028-11405
- reports for this filerNWQ INVESTMENT MANAGEMENT COMPANY, LLC028-01474
- reports for this filerOAK ASSOCIATES LTD /OH/028-02338
- reports for this filerOAK RIDGE INVESTMENTS LLC028-06668
- reports for this filerOFI SteelPath, Inc.028-15436
- 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 |
|---|---|---|---|---|---|---|
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 42,800 | $198,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 12,623 | $196,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 36,079 | $194,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 35,454 | $194,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 4,196 | $193,000 | thousands by filing date | |
| CNB FINANCIAL CORP PA | 126128107 | COMMON STOCK | 10,751 | $190,000 | thousands by filing date | |
| Accelerate Diagnostics | 00430H102 | COM | 13,062 | $188,000 | thousands by filing date | |
| UBS GROUP AG SHS | H42097107 | Stock | 14,506 | $187,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 10,394 | $187,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,969 | $187,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 16,304 | $186,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 166,700 | $185,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 18,958 | $182,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 10,481 | $182,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 10,762 | $182,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,245 | $179,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,373 | $179,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 11,248 | $179,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 14,739 | $178,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 16,271 | $178,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 30,605 | $178,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 27,194 | $178,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 50,048 | $177,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 11,670 | $174,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 411,614 | $174,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 14,201 | $173,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 11,470 | $173,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 12,133 | $171,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 20,000 | $171,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 23,863 | $170,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 10,305 | $168,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 39,985 | $167,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 15,204 | $165,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 54,900 | $164,000 | thousands by filing date | call |
| LAKELAND INDS INC | 511795106 | COM | 18,859 | $164,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 18,500 | $163,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 21,671 | $162,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 10,561 | $162,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 10,097 | $160,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 26,071 | $160,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 38,238 | $158,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,280 | $157,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 336,098 | $157,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 15,890 | $156,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 50,100 | $156,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 50,000 | $153,000 | thousands by filing date | put |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 18,317 | $153,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 11,497 | $153,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 27,183 | $153,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,825 | $153,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 14,255 | $152,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,688 | $152,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 14,206 | $151,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 215,000 | $150,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,991 | $147,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 18,665 | $147,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 73,000 | $146,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 10,544 | $145,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 25,066 | $143,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 13,313 | $143,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 10,617 | $142,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 17,884 | $141,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 35,275 | $140,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 14,229 | $140,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 15,892 | $140,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 10,065 | $140,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 15,500 | $139,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 11,579 | $139,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 11,557 | $139,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 138,000 | $139,000 | thousands by filing date | principal |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 24,486 | $138,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 41,759 | $137,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 23,425 | $135,000 | thousands by filing date | |
| INTERSECT ENT INC | 46071F103 | COM | 10,440 | $134,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 30,130 | $133,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 12,985 | $133,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 15,471 | $132,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 11,200 | $132,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 27,300 | $130,000 | thousands by filing date | put |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 20,775 | $128,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 53,865 | $127,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 10,545 | $126,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 21,218 | $125,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 11,450 | $123,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 13,406 | $121,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 12,674 | $121,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 16,262 | $120,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 20,129 | $120,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 31,286 | $119,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154N530 | DB 3X SHRT UST | 40,000 | $119,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,000 | $116,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 15,483 | $116,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 17,989 | $115,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 165,000 | $109,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 26,272 | $105,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,285 | $104,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 29,113 | $104,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 16,096 | $102,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 10,532 | $100,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 36,952 | $100,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 14,919 | $99,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 11,025 | $97,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 20,000 | $96,000 | thousands by filing date | call |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 10,273 | $95,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 10,000 | $92,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 36,125 | $89,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 11,592 | $86,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 39,100 | $85,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 159,466 | $84,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 13,333 | $83,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 33,940 | $82,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 63,749 | $82,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 113,020 | $81,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 30,000 | $80,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 10,783 | $79,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 20,215 | $79,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 20,668 | $79,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 59,500 | $79,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 11,184 | $78,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 25,256 | $77,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 15,706 | $77,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 12,153 | $76,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 15,396 | $76,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 16,357 | $76,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 42,001 | $76,000 | thousands by filing date | |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 7,801 | $72,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 14,654 | $71,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 15,000 | $70,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 11,480 | $70,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 18,000 | $69,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 11,102 | $67,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 19,200 | $65,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 12,000 | $64,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 10,000 | $62,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 4,000 | $60,000 | thousands by filing date | call |
| SPRINT CORP | 85207U105 | COM SER 1 | 13,757 | $60,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 35,700 | $57,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 28,000 | $56,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 16,246 | $55,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 27,188 | $54,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 11,780 | $52,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 13,033 | $50,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 79,227 | $50,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 66,400 | $50,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 10,313 | $49,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 10,654 | $49,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 10,471 | $48,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 56,500 | $48,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 10,211 | $47,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 38,970 | $47,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 56,139 | $45,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 10,400 | $45,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $44,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,000 | $44,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 10,501 | $41,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 118,375 | $41,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 15,487 | $38,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 16,389 | $36,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,200 | $36,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 19,728 | $34,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 35,568 | $33,000 | thousands by filing date | |
| AMERICAN LORAIN CORP | 027297100 | COM | 27,540 | $31,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 24,350 | $30,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 29,000 | $29,000 | thousands by filing date | principal |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 16,000 | $29,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 16,568 | $28,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 17,300 | $28,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 27,148 | $27,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 11,344 | $27,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 93,282 | $27,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 75,000 | $26,000 | thousands by filing date | put |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,766 | $26,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 49,800 | $25,000 | thousands by filing date | put |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,200 | $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 |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 11,000 | $25,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 58,867 | $24,000 | thousands by filing date | |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 15,500 | $23,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 23,500 | $23,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 10,000 | $23,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 57,900 | $22,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $22,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 2,000 | $21,000 | thousands by filing date | call |
| NANOVIRICIDES INC | 630087203 | COM NEW | 11,429 | $19,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 30,000 | $18,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 40,500 | $17,000 | thousands by filing date | put |
| EDGIO INC | 53261M104 | COM | 11,350 | $17,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 11,800 | $17,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 29,300 | $16,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 33,275 | $16,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 12,500 | $15,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 11,000 | $15,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 14,000 | $15,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,300 | $14,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 12,000 | $14,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $14,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 15,000 | $14,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 14,000 | $14,000 | thousands by filing date | principal |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 13,000 | $14,000 | thousands by filing date | principal |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 16,540 | $14,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 10,000 | $13,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 1,000 | $13,000 | thousands by filing date | call |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 13,000 | $13,000 | thousands by filing date | principal |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 20,000 | $13,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 12,000 | $13,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 14,000 | $13,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 14,000 | $13,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 13,000 | $13,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 12,000 | $13,000 | thousands by filing date | principal |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 13,000 | $13,000 | thousands by filing date | principal |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $12,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 13,000 | $12,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 12,000 | $12,000 | thousands by filing date | principal |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 15,000 | $11,000 | thousands by filing date | put |
| ANTARES PHARMA INC | 036642106 | COM | 11,400 | $11,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 10,000 | $11,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 12,000 | $11,000 | thousands by filing date | principal |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,500 | $10,000 | thousands by filing date | put |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 11,000 | $10,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 10,000 | $9,000 | thousands by filing date | principal |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 27,870 | $8,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 7,000 | $7,000 | thousands by filing date | call |
| BANRO CORP | 066800103 | COM | 25,000 | $7,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 500 | $6,000 | thousands by filing date | call |
| Home Depot, Inc | 437076102 | COM | 12,000 | $6,000 | thousands by filing date | put |
| HORMEL FOODS CORP COM | 440452100 | Stock | 7,500 | $6,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 2,500 | $6,000 | thousands by filing date | put |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 10,000 | $6,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 5,000 | $5,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 200 | $5,000 | thousands by filing date | put |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $5,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 1,000 | $4,000 | thousands by filing date | put |
| Eaton Corp. Plc | G29183103 | COM | 8,800 | $4,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 10,200 | $4,000 | thousands by filing date | put |
| Tesla Motors, Inc | 88160R101 | COM | 2,000 | $4,000 | thousands by filing date | call |
| HERBALIFE LTD | G4412G101 | COM SHS | 15,000 | $4,000 | thousands by filing date | put |
| PRIMO WTR CORP | 74165N105 | COM | 1,000 | $4,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 500 | $3,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 10,000 | $3,000 | thousands by filing date | put |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 400 | $3,000 | thousands by filing date | put |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 1,000 | $3,000 | thousands by filing date | call |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 17,900 | $3,000 | thousands by filing date | put |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 20,000 | $3,000 | thousands by filing date | put |
| META PLATFORMS INC CL A | 30303M102 | COM | 300 | $2,000 | thousands by filing date | put |
| Wells Fargo & Company | 949746101 | COM | 1,000 | $2,000 | thousands by filing date | call |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 1,000 | $2,000 | thousands by filing date | put |
| LULULEMON ATHLETICA INC | 550021109 | COM | 500 | $2,000 | thousands by filing date | put |
| CELGENE CORP | 151020104 | COM | 500 | $2,000 | thousands by filing date | call |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 10,000 | $2,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 2,000 | $1,000 | thousands by filing date | call |
| Walt Disney Co | 254687106 | COM | 800 | $1,000 | thousands by filing date | call |
| ILLUMINA INC | 452327109 | COM | 200 | $1,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 6,000 | $1,000 | thousands by filing date | call |
| UNDER ARMOUR INC | 904311107 | CL A | 500 | $1,000 | thousands by filing date | put |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,000 | $1,000 | thousands by filing date | call |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 2,365 | $1,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 800 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Bristol-Myers Squibb Company | 110122108 | COM | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| NIKE,Inc. Class B | 654106103 | COM | 100 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| Pfizer Inc. | 717081103 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| 3M CO COM | 88579Y101 | Stock | 300 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 2,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| BLACKROCK INC CL A COM | 09247X101 | COM | 1,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,000 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 1,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 575,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| DRYSHIPS INC | Y2109Q127 | COM NEW | 25,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004246 | this filing | 2016-08-11 | acceptance time not in the bulk data set |