13F-HR filed by HighTower Advisors, LLC
HighTower Advisors, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 1,869 holding rows worth $8,631,291,000.
- Accession
- 0001085146-16-004804
- Filer
- CIK 1462245
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 1,869 entries on the cover page, a total value of $8,631,291,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,631,291,000 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 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 |
|---|---|---|---|---|---|---|
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 4,023 | $271,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 5,367 | $271,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 10,433 | $270,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 15,488 | $269,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 15,162 | $268,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 20,430 | $268,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 9,018 | $268,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 15,560 | $267,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 10,000 | $267,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 22,340 | $267,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 20,914 | $267,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 20,244 | $266,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 1,760 | $266,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 11,864 | $266,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 20,519 | $266,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 GROWTH ETF | 921932794 | ETF | 2,259 | $264,000 | thousands by filing date | |
| DIREXION SHS EXCH TRD FD DAILY 30 YR TREAS BEAR | 25459Y678 | ETF | 15,812 | $264,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 6,757 | $263,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 5,300 | $263,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 21,850 | $262,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 4,840 | $261,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 30,582 | $261,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 10,223 | $261,000 | thousands by filing date | |
| DECKERS OUTDOOR CORP | 243537107 | COM | 4,286 | $257,000 | thousands by filing date | |
| SOUTHWEST GAS HLDGS INC COM | 844895102 | Stock | 3,676 | $257,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 19,000 | $257,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 22,340 | $256,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 4,414 | $255,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 5,748 | $255,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 2,948 | $255,000 | thousands by filing date | |
| INDEXIQ ETF TR HDG MACTRK | 45409B206 | ETF | 10,100 | $255,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 9,190 | $254,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 9,303 | $254,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 17,469 | $253,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 20,210 | $253,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 10,823 | $252,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 5,929 | $252,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 10,490 | $252,000 | thousands by filing date | principal |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 3,382 | $251,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,238 | $251,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 11,976 | $251,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 6,080 | $250,000 | thousands by filing date | |
| SUPERIOR GROUP OF COS INC | 868358102 | COMMON STOCK | 12,646 | $250,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 21,393 | $249,000 | thousands by filing date | |
| THE ULTIMATE SOFTWARE GROUP IN | 90385D107 | COM | 1,224 | $249,000 | thousands by filing date | |
| TREEHOUSE FOODS INC COM | 89469A104 | Stock | 2,838 | $247,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R739 | ST NUVE TERM ETF | 5,102 | $247,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 61,618 | $246,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q718 | INTL SEC DV DOG | 10,162 | $246,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 7,697 | $245,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 1,819 | $243,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,123 | $243,000 | thousands by filing date | |
| WGL HLDGS INC | 92924F106 | COM | 3,833 | $242,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 15,168 | $241,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 4,369 | $240,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 3,564 | $239,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 50,696 | $239,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 15,470 | $237,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 6,663 | $237,000 | thousands by filing date | |
| OLIN CORP | 680665205 | COM PAR $1 | 11,516 | $236,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 8,264 | $235,000 | thousands by filing date | |
| SIGNAL GENETICS INC | 826640104 | Cmn | 471,030 | $235,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C714 | COM | 2,532 | $234,000 | thousands by filing date | |
| PEMBINA PIPELINE CORP COM | 706327103 | Stock | 7,647 | $234,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 3,024 | $234,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 7,201 | $233,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 45,239 | $233,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 9,617 | $232,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 27,836 | $232,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,825 | $232,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 6,441 | $231,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 2,155 | $231,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 974 | $230,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 3,527 | $230,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 2,698 | $230,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 10,596 | $230,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 10,669 | $229,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 4,252 | $229,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 292,200 | $228,000 | thousands by filing date | put |
| NEW GERMANY FD INC | 644465106 | COM | 15,876 | $228,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 29,430 | $228,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 9,995 | $227,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 15,060 | $227,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 4,847 | $227,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 10,078 | $226,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 5,921 | $225,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 1,869 | $224,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 14,545 | $224,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,086 | $223,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 3,010 | $222,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 7,997 | $222,000 | thousands by filing date | |
| REINSURANCE GROUP AMER INC COM NEW | 759351604 | Stock | 2,048 | $221,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 32,577 | $220,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 166,700 | $219,000 | thousands by filing date | |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 3,270 | $218,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 29,452 | $217,000 | thousands by filing date | |
| BIO RAD LABS INC | 090572207 | CL A | 1,329 | $217,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 14,375 | $216,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 7,467 | $216,000 | thousands by filing date | |
| PROSHARES TR | 74347B607 | INVT INT RT HG | 2,897 | $215,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 16,970 | $215,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 6,103 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 6,597 | $215,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 15,187 | $215,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 16,215 | $214,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 11,634 | $214,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 10,516 | $214,000 | thousands by filing date | |
| Federal Agric Mtg Corp Cl C | 313148306 | COM | 5,412 | $214,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 36,235 | $213,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 4,139 | $213,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 3,960 | $212,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 37,830 | $212,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 18,374 | $212,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 14,736 | $212,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 9,281 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 5,529 | $211,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 4,220 | $210,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 5,957 | $210,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 4,878 | $210,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 20,775 | $210,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 3,661 | $210,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 12,500 | $210,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 12,357 | $209,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 2,583 | $209,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 21,788 | $209,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,169 | $209,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 14,514 | $208,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 40,275 | $208,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 3,725 | $208,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 3,117 | $207,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,423 | $207,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075402 | COM | 14,535 | $207,000 | thousands by filing date | |
| LAKELAND INDS INC | 511795106 | COM | 20,786 | $207,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B628 | US RL EST SMCP | 7,551 | $207,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,070 | $206,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 14,305 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 4,983 | $206,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 9,620 | $205,000 | thousands by filing date | |
| GUGGENHEIM | 18383M605 | EXCHANGE TRADED | 4,799 | $205,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 24,143 | $205,000 | thousands by filing date | |
| CLARCOR INC | 179895107 | COM | 3,111 | $205,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 9,792 | $204,000 | thousands by filing date | |
| SUNSTONE HOTEL INVS INC NEW | 867892101 | COM | 15,971 | $204,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 3,387 | $203,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 5,860 | $202,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 3,050 | $202,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,681 | $201,000 | thousands by filing date | |
| CLEARWATER PAPER CORP | 18538R103 | COM | 3,103 | $201,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 1,896 | $201,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 15,000 | $201,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 13,094 | $200,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 19,311 | $200,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 34,500 | $198,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 12,715 | $198,000 | thousands by filing date | |
| PLY GEM HLDGS INC | 72941W100 | COM | 14,823 | $198,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 24,236 | $196,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 10,998 | $196,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 14,257 | $196,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 22,373 | $195,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 53,212 | $195,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 61,900 | $195,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 32,723 | $192,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 10,956 | $189,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 12,623 | $187,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 11,999 | $184,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 13,350 | $183,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 36,079 | $182,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 54,465 | $180,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 18,500 | $180,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 10,975 | $179,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 81,250 | $178,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 10,374 | $177,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 12,245 | $174,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 17,120 | $173,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 16,318 | $173,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 21,324 | $172,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 14,584 | $172,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 215,000 | $172,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 27,194 | $168,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 11,688 | $165,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 14,924 | $162,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,946 | $161,000 | thousands by filing date | |
| VIRTU FINL INC | 928254101 | CL A | 10,539 | $158,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 10,820 | $158,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 12,280 | $157,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 16,995 | $156,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 21,218 | $156,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 22,444 | $155,000 | thousands by filing date | |
| GRAY MEDIA INC | 389375106 | COMMON STOCK | 15,000 | $155,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 13,341 | $148,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 20,457 | $147,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 161,266 | $146,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,700 | $145,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 13,969 | $145,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 18,180 | $144,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 31,005 | $144,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 21,125 | $144,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 11,528 | $143,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 32,625 | $143,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 10,222 | $142,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 13,000 | $141,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 12,049 | $141,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 13,680 | $140,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 27,130 | $140,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 17,100 | $136,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 20,000 | $136,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 10,121 | $136,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 12,450 | $135,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 10,140 | $134,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 31,286 | $133,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 25,970 | $130,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 15,471 | $130,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 36,876 | $130,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 13,712 | $129,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,633 | $129,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 26,071 | $129,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 10,512 | $128,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 18,222 | $126,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 10,735 | $125,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 11,557 | $124,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 15,483 | $124,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 14,738 | $123,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 11,450 | $122,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 15,952 | $119,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,285 | $119,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 29,113 | $115,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 113,000 | $114,000 | thousands by filing date | principal |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 11,993 | $112,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 25,000 | $112,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 18,734 | $111,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 13,819 | $111,000 | thousands by filing date | |
| ID SYSTEMS INC | 449489103 | COM | 22,000 | $109,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 18,536 | $108,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 11,025 | $105,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 13,413 | $103,000 | thousands by filing date | |
| NORTH EUROPEAN OIL RTY TR | 659310106 | SH BEN INT | 13,303 | $102,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 15,740 | $102,000 | thousands by filing date | |
| PERCEPTRON INC | 71361F100 | COMMON STOCK | 15,000 | $101,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 78,939 | $99,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 36,952 | $98,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 165,563 | $96,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 59,500 | $96,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 10,392 | $95,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 16,096 | $94,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 11,815 | $93,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 23,535 | $91,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 13,333 | $91,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 12,300 | $90,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 11,162 | $86,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 30,000 | $86,000 | thousands by filing date | |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 20,215 | $86,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 14,077 | $84,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 11,480 | $82,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 39,100 | $82,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 10,993 | $81,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 28,030 | $81,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 32,188 | $81,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 10,094 | $80,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 11,000 | $78,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 15,396 | $78,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 10,238 | $77,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 11,750 | $76,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 10,000 | $75,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 15,890 | $75,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 15,921 | $74,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 42,034 | $72,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 15,810 | $70,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 22,300 | $68,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 56,139 | $68,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 13,380 | $62,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 113,020 | $62,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 14,654 | $61,000 | thousands by filing date | |
| VITAL THERAPIES INC | 92847R104 | COM | 10,000 | $61,000 | thousands by filing date | |
| JOINT CORP | 47973J102 | COM | 25,000 | $60,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 33,500 | $59,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 10,270 | $58,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 12,393 | $58,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 22,500 | $55,000 | thousands by filing date | |
| CYANOTECH CORP | 232437301 | COM PAR $0.02 | 14,765 | $55,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 23,738 | $55,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 64,700 | $54,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 79,190 | $53,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 10,400 | $53,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 15,000 | $52,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 10,425 | $51,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 10,318 | $50,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 16,246 | $48,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 33,940 | $48,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 109,800 | $47,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 16,389 | $46,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 11,780 | $46,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 19,461 | $45,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 10,000 | $44,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $37,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 336,098 | $37,000 | thousands by filing date | |
| ONE HORIZON GROUP INC | 68235H205 | COM NEW | 66,400 | $36,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 19,728 | $35,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 28,970 | $35,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 57,500 | $34,000 | thousands by filing date | put |
| FEDEX CORP COM | 31428X106 | Stock | 20,000 | $34,000 | thousands by filing date | put |
| LINCOLN EDL SVCS CORP | 533535100 | COM | 15,500 | $34,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 10,000 | $34,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 16,568 | $34,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 15,666 | $33,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 48,400 | $32,000 | thousands by filing date | put |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 13,350 | $32,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 24,350 | $30,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 36,125 | $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 | 18,348 | $29,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 93,282 | $29,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 10,418 | $27,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 16,493 | $27,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G201 | COM NEW | 15,250 | $26,000 | thousands by filing date | |
| BRAINSTORM CELL THERAPEUTICS | 10501E201 | COM | 10,766 | $26,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 50,000 | $24,000 | thousands by filing date | put |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,200 | $24,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 17,300 | $24,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 19,000 | $23,000 | thousands by filing date | principal |
| NANOVIRICIDES INC | 630087203 | COM NEW | 13,429 | $23,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 11,350 | $21,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 14,000 | $19,000 | thousands by filing date | principal |
| PENN WEST PETE LTD NEW | 707887105 | COM | 10,000 | $18,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,100 | $18,000 | thousands by filing date | |
| WAFERGEN BIO-SYSTEMS INC | 93041P308 | Cmn | 22,040 | $18,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 15,500 | $17,000 | thousands by filing date | put |
| AMERICAN LORAIN CORP | 027297100 | COM | 27,540 | $17,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 16,568 | $16,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 33,275 | $16,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 11,500 | $16,000 | thousands by filing date | |
| WELLS FARGO & CO | 94986RQF1 | MTNF 6/0 | 12,000 | $16,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 14,000 | $16,000 | thousands by filing date | principal |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 11,300 | $16,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 13,000 | $16,000 | thousands by filing date | principal |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 10,000 | $15,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 11,000 | $15,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 12,000 | $15,000 | thousands by filing date | principal |
| Apple Inc | 037833100 | COM | 39,200 | $14,000 | thousands by filing date | put |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 14,000 | $14,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 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 |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 11,000 | $13,000 | thousands by filing date | principal |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 13,000 | $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 |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 10,000 | $12,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 37,000 | $12,000 | thousands by filing date | |
| 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 |
| WELLS FARGO & CO | 94986RQH7 | MTNF 6/1 | 11,000 | $11,000 | thousands by filing date | principal |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 10,000 | $11,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 12,000 | $11,000 | 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 |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 10,000 | $9,000 | thousands by filing date | |
| SANDISK CORP | 80004CAF8 | NOTE 0.500%10/1 | 10,000 | $9,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 10,000 | $9,000 | thousands by filing date | principal |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 10,000 | $8,000 | thousands by filing date | put |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 57,900 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,000 | $6,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 27,870 | $5,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 10,000 | $1,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 12,000 | $1,000 | thousands by filing date | put |
| Starbucks Corporation | 855244109 | COM | 10,000 | $1,000 | thousands by filing date | put |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| DRYSHIPS INC COM NEW | Y2109Q200 | Stock | 25,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004804 | this filing | 2016-11-14 | acceptance time not in the bulk data set |