13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-07, with 1,269 holding rows worth $3,429,988,000.
- Accession
- 0001085146-16-004646
- Filer
- CIK 822581
- Filed
- 2016-11-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 1,269 entries on the cover page, a total value of $3,429,988,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,429,988,000 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 |
|---|---|---|---|---|---|---|
| INSPERITY INC | 45778Q107 | COM | 4,000 | $291,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 5,535 | $290,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 8,387 | $289,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 16,950 | $289,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 58,750 | $289,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 1,071 | $288,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 8,506 | $288,000 | thousands by filing date | |
| FREIGHTCAR AMER INC | 357023100 | COM | 20,000 | $288,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 6,558 | $287,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,472 | $287,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 5,700 | $286,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 7,097 | $284,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 10,654 | $283,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 7,776 | $283,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,782 | $282,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 33,636 | $282,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 20,400 | $282,000 | thousands by filing date | |
| INVESCO AEROSPACE & DEFENSE ETF | 73935X690 | COM | 7,262 | $282,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 13,892 | $282,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 10,138 | $281,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 8,253 | $280,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 11,412 | $279,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,294 | $278,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 30,737 | $278,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 7,392 | $277,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 6,986 | $275,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 25,049 | $274,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 12,000 | $272,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 16,447 | $272,000 | thousands by filing date | |
| iShares MSCI Mexico ETF | 464286822 | SHS | 5,600 | $271,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 5,366 | $271,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 4,024 | $270,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 7,600 | $270,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 11,265 | $269,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 3,389 | $268,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 18,745 | $266,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,786 | $265,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 5,521 | $264,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 11,456 | $262,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 8,000 | $260,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 16,115 | $259,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 13,750 | $258,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 24,855 | $256,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 5,688 | $256,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 5,954 | $255,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 5,250 | $255,000 | thousands by filing date | |
| CELLECTIS ADS | 15117K103 | COM | 10,604 | $255,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 29,230 | $254,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 7,333 | $254,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 4,303 | $253,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 4,388 | $252,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 4,747 | $252,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 12,780 | $250,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,591 | $250,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 2,383 | $250,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 44,152 | $249,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 300 | $249,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311206 | CL C | 7,306 | $248,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 3,475 | $246,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 3,981 | $246,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 41,036 | $243,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 11,000 | $243,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 57,863 | $241,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 29,500 | $240,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,169 | $240,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 13,590 | $239,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 27,428 | $238,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 8,000 | $238,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 5,809 | $236,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 4,576 | $234,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 3,268 | $234,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,425 | $234,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 5,320 | $233,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 17,700 | $233,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 30,000 | $233,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 7,239 | $232,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 19,167 | $231,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 16,742 | $230,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 15,200 | $230,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 35,300 | $230,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 3,155 | $228,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 5,530 | $228,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 6,500 | $228,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,570 | $227,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 16,410 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,555 | $225,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 3,377 | $225,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 15,250 | $225,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 49,500 | $225,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 2,100 | $224,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 1,689 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 1,892 | $222,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 14,700 | $221,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 24,208 | $221,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 12,500 | $220,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUST | 73936T474 | INSUR NATL MUN | 8,440 | $220,000 | thousands by filing date | |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 8,600 | $220,000 | thousands by filing date | |
| GRUBHUB INC | 400110102 | COM | 5,101 | $219,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 8,735 | $219,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 1,817 | $218,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 44,031 | $218,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 2,867 | $218,000 | thousands by filing date | |
| VOXX INTERNATIONAL CORP | 91829F104 | COMMON STOCK | 72,800 | $218,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 18,935 | $218,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,782 | $217,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,421 | $216,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 8,150 | $216,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 7,260 | $215,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 21,221 | $215,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,886 | $214,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 7,400 | $214,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 5,000 | $213,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 4,397 | $212,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J109 | ASIA EX JAPAN | 7,000 | $212,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 8,727 | $212,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 4,429 | $211,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 8,029 | $211,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 6,682 | $210,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 5,881 | $209,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 4,200 | $209,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,148 | $209,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 8,330 | $209,000 | thousands by filing date | |
| QORVO INC COM | 74736K101 | Stock | 3,735 | $208,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 25,000 | $207,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 1,553 | $206,000 | thousands by filing date | |
| FIRST CTZNS BANCSHARES INC DEL CL A | 31946M103 | Stock | 700 | $206,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 10,950 | $206,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 18,685 | $206,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 8,214 | $206,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 3,850 | $206,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 7,544 | $205,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 4,600 | $205,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 2,771 | $204,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 4,677 | $204,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 4,584 | $203,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,436 | $203,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 24,922 | $203,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 127,000 | $203,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 17,350 | $202,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 2,697 | $201,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 8,910 | $201,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 5,755 | $201,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 4,225 | $200,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 8,273 | $200,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 2,480 | $200,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,374 | $200,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 10,981 | $197,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 10,519 | $196,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 18,638 | $196,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 13,225 | $195,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 53,474 | $195,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 13,234 | $193,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 19,657 | $192,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 18,618 | $192,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 36,000 | $190,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 22,792 | $189,000 | thousands by filing date | |
| ALLIENT INC | 019330109 | COM | 10,000 | $189,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 43,300 | $188,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 15,805 | $185,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 27,183 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 11,590 | $184,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 12,977 | $180,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 13,000 | $179,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 25,000 | $178,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 28,135 | $177,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 12,275 | $176,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,400 | $174,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 101,900 | $171,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 11,633 | $170,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 14,788 | $169,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 23,138 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 11,000 | $167,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 15,350 | $167,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 12,250 | $165,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 12,976 | $164,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 12,273 | $164,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 12,448 | $162,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 21,143 | $162,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 18,259 | $162,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 11,092 | $158,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 35,000 | $158,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 14,000 | $157,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 15,959 | $155,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,582 | $151,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 12,878 | $150,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,762 | $147,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,161 | $145,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 21,755 | $144,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 16,190 | $144,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 17,097 | $142,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 12,569 | $139,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $136,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 12,300 | $133,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,389 | $131,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 13,250 | $126,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 29,430 | $122,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 10,000 | $121,000 | thousands by filing date | |
| iShares Msci Singapore | 464286673 | MSCI SINGAPORE | 10,800 | $118,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 12,513 | $117,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 18,000 | $116,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 15,000 | $116,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 10,000 | $115,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 11,711 | $112,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 19,648 | $111,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 19,500 | $111,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 10,200 | $110,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 12,250 | $110,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 17,129 | $109,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 13,568 | $107,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 32,770 | $107,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P100 | COM | 22,546 | $106,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 19,400 | $102,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 23,729 | $101,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 11,456 | $100,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 11,100 | $99,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 20,300 | $94,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 19,773 | $93,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 30,350 | $92,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 15,000 | $91,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 16,248 | $90,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 23,364 | $90,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 37,098 | $89,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 19,866 | $88,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 33,300 | $88,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 15,200 | $88,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 15,014 | $88,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 14,000 | $75,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 19,509 | $75,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 42,700 | $73,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 24,982 | $71,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 10,425 | $71,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 16,000 | $69,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 11,264 | $66,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 47,639 | $65,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 11,173 | $62,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,688 | $53,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 15,089 | $53,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 75,500 | $53,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 29,000 | $49,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 26,000 | $47,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 17,499 | $47,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 14,875 | $43,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 15,000 | $43,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 67,661 | $42,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 13,527 | $41,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 14,000 | $38,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 11,000 | $36,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 20,000 | $34,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 11,835 | $32,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 10,000 | $32,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 15,000 | $27,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 14,925 | $27,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 10,300 | $25,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 15,327 | $24,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 19,350 | $24,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 33,500 | $19,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,204 | $18,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 15,000 | $17,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 13,321 | $16,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 20,000 | $15,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 10,000 | $13,000 | thousands by filing date | |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 10,000 | $12,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 29,600 | $11,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 101,300 | $10,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 10,000 | $9,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 13,500 | $8,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 10,000 | $8,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 94,758 | $5,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 47,996 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004646 | this filing | 2016-11-07 | acceptance time not in the bulk data set |