13F-HR filed by OPPENHEIMER & CO INC
OPPENHEIMER & CO INC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-02, with 1,279 holding rows worth $3,435,122,000.
- Accession
- 0001085146-17-000243
- Filer
- CIK 822581
- Filed
- 2017-02-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 1,279 entries on the cover page, a total value of $3,435,122,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,435,122,000 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 |
|---|---|---|---|---|---|---|
| APTARGROUP INC COM | 038336103 | Stock | 3,993 | $293,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 6,152 | $293,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 25,637 | $293,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 3,014 | $292,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 7,987 | $291,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 10,314 | $291,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 12,370 | $290,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 4,950 | $290,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 23,500 | $288,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 9,091 | $288,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 3,783 | $286,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 14,840 | $285,000 | thousands by filing date | |
| FABRINET SHS | G3323L100 | Stock | 7,056 | $284,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 2,007 | $284,000 | thousands by filing date | |
| INSPERITY INC | 45778Q107 | COM | 4,000 | $284,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 34,304 | $284,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 5,168 | $284,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 2,829 | $282,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,425 | $282,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,099 | $281,000 | thousands by filing date | |
| MURPHY USA INC COM | 626755102 | Stock | 4,548 | $280,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 5,909 | $280,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 29,790 | $280,000 | thousands by filing date | |
| SIGNET JEWELERS LTD SHS | G81276100 | Stock | 2,950 | $279,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 6,952 | $279,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 5,554 | $279,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 7,249 | $277,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 5,415 | $277,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 4,000 | $275,000 | thousands by filing date | |
| SOCIEDAD QUIMICA Y MINERA DE C | 833635105 | SPON ADR SER B | 9,593 | $275,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 54,646 | $275,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 21,125 | $275,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M514 | GUG BULL2020 E | 12,934 | $274,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 9,500 | $273,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 11,000 | $273,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 2,418 | $272,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 17,412 | $272,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 1,763 | $272,000 | thousands by filing date | |
| HORIZON PHARMA PLC | G4617B105 | SHS | 16,797 | $272,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 7,663 | $271,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 14,243 | $270,000 | thousands by filing date | |
| ADVISORSHARES TR INSIDER ADVAN | 00768y818 | INDX FD | 4,239 | $269,000 | thousands by filing date | |
| MINERALS TECHNOLOGIES INC COM | 603158106 | Stock | 3,475 | $268,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 3,228 | $268,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 38,250 | $268,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 9,532 | $267,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 1,572 | $267,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 9,753 | $267,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,572 | $266,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,585 | $265,000 | thousands by filing date | |
| EAST WEST BANCORP INC COM | 27579R104 | Stock | 5,200 | $264,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 47,628 | $264,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 4,891 | $264,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 8,225 | $264,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,335 | $263,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 19,050 | $263,000 | thousands by filing date | |
| AUDIOCODES LTD | M15342104 | ORD | 41,400 | $263,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 8,725 | $262,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 9,000 | $262,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 17,753 | $262,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 6,100 | $262,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 114,394 | $261,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 4,863 | $260,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 32,355 | $260,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 47,038 | $259,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 5,317 | $257,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 26,402 | $256,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 30,280 | $255,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 8,365 | $254,000 | thousands by filing date | |
| CARTERS INC | 146229109 | COM | 2,950 | $254,000 | thousands by filing date | |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 6,040 | $253,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 2,014 | $252,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 300 | $251,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 2,800 | $249,000 | thousands by filing date | |
| LITTELFUSE INC COM | 537008104 | Stock | 1,633 | $248,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 2,997 | $247,000 | thousands by filing date | |
| AEROVIRONMENT INC COM | 008073108 | Stock | 9,203 | $247,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 10,800 | $246,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 18,000 | $246,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 6,500 | $245,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 7,240 | $244,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 5,415 | $243,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 5,692 | $242,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 11,606 | $242,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 7,548 | $241,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 4,959 | $241,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 2,585 | $241,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 3,237 | $240,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 16,243 | $239,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 5,599 | $239,000 | thousands by filing date | |
| MARZETTI COMPANY | 513847103 | COM | 1,686 | $238,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 18,000 | $238,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 21,350 | $238,000 | thousands by filing date | |
| HYD | 92189F361 | ETF | 7,990 | $237,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 17,000 | $236,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 2,946 | $235,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 6,017 | $235,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 3,984 | $234,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 3,155 | $233,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,242 | $233,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 12,200 | $232,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 5,250 | $232,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 5,528 | $232,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 5,238 | $232,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 8,013 | $230,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 2,344 | $230,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 10,950 | $230,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 16,240 | $230,000 | thousands by filing date | |
| GEO GROUP INC NEW | 36162J106 | COM | 6,356 | $228,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 51,500 | $228,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 20,167 | $228,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 44,200 | $227,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 2,100 | $226,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 28,154 | $226,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 12,953 | $225,000 | thousands by filing date | |
| AMERICAN FINANCIAL GROUP INC COM | 025932104 | Stock | 2,535 | $223,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 1,272 | $223,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,021 | $222,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 41,072 | $222,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 30,363 | $222,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 5,370 | $219,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 16,860 | $219,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 5,017 | $218,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 12,803 | $218,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 3,399 | $217,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 15,410 | $217,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 16,907 | $217,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 13,247 | $217,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 1,732 | $216,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 8,520 | $216,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 1,974 | $214,000 | thousands by filing date | |
| FERRO CORP | 315405100 | COM | 14,900 | $214,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 15,350 | $213,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 8,029 | $213,000 | thousands by filing date | |
| WASTE CONNECTIONS INC COM | 94106B101 | Stock | 2,690 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 9,994 | $212,000 | thousands by filing date | |
| INTERPUBLIC GROUP COS | 460690100 | COM | 9,070 | $212,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 10,533 | $212,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 1,895 | $212,000 | thousands by filing date | |
| SELECTIVE INS GROUP INC | 816300107 | COM | 4,900 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X669 | US QTLY DIV GRT | 6,325 | $210,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 11,469 | $210,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 10,627 | $210,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 2,860 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,561 | $208,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,851 | $207,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M373 | GUG BUL 2019 HY | 8,558 | $207,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 3,544 | $207,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 9,501 | $206,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 6,059 | $206,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 23,619 | $206,000 | thousands by filing date | |
| POWERSHARES DYNAMIC | 73935X617 | DYN RETAIL PTF | 5,722 | $206,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 10,037 | $205,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 12,131 | $205,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 1,890 | $205,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 40,993 | $204,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 53,231 | $203,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 5,136 | $202,000 | thousands by filing date | |
| FLIR SYS INC | 302445101 | COM | 5,585 | $202,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 2,160 | $201,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 36,000 | $199,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 14,000 | $199,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 16,490 | $197,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 82,756 | $197,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 17,737 | $192,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 11,550 | $190,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 14,227 | $188,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 35,351 | $188,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 13,650 | $184,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 43,300 | $184,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 127,000 | $182,000 | thousands by filing date | |
| EATON VANCE MUN BD FD II | 27827K109 | COM | 14,600 | $180,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 11,546 | $179,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 15,035 | $178,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 11,774 | $177,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 16,897 | $177,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 75,900 | $177,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 14,400 | $173,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 13,072 | $172,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 50,664 | $171,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 10,095 | $170,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 12,651 | $169,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 19,000 | $168,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 13,665 | $167,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 13,950 | $167,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 12,250 | $167,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 14,200 | $166,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 16,344 | $165,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 25,000 | $163,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 14,266 | $162,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 30,000 | $160,000 | thousands by filing date | |
| MEDIWOUND LTD | M68830104 | ORD SHS | 34,700 | $159,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 23,000 | $154,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 11,250 | $153,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 13,450 | $152,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 12,669 | $151,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 22,138 | $150,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 12,548 | $150,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 11,412 | $150,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 11,744 | $148,000 | thousands by filing date | |
| CHINACACHE INTL HLDG LTD | 16950M107 | SPON ADR | 57,749 | $148,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 22,516 | $145,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 15,750 | $145,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 51,909 | $145,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 27,750 | $143,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 20,043 | $138,000 | thousands by filing date | |
| REMARK MEDIA INC | 75954W107 | COM | 35,000 | $137,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 19,865 | $136,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 17,000 | $134,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 24,850 | $133,000 | thousands by filing date | |
| AQUA METALS INC | 03837J101 | COM | 10,190 | $133,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 14,845 | $132,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 15,529 | $132,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,277 | $130,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 13,960 | $129,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 23,900 | $127,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 12,200 | $125,000 | thousands by filing date | |
| ATA CREATIVITY GLOBAL | 00211V106 | SPONSORED ADS | 33,328 | $124,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 13,211 | $123,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 21,318 | $123,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 32,770 | $120,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 12,000 | $116,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 30,350 | $114,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 12,205 | $109,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 11,000 | $105,000 | thousands by filing date | |
| BLUEKNIGHT ENERGY PARTNERS LP | 09625U109 | PREFERRED | 15,000 | $103,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 19,064 | $98,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,568 | $95,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 10,290 | $94,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 130,495 | $93,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 96,300 | $92,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 10,111 | $90,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 18,600 | $89,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 32,500 | $84,000 | thousands by filing date | |
| GREAT ELM CAP GROUP INC | 39036P209 | COM NEW | 21,746 | $82,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 24,442 | $81,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,950 | $80,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 10,040 | $80,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 11,264 | $78,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 24,982 | $77,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 11,300 | $75,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 15,846 | $67,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 43,016 | $66,000 | thousands by filing date | |
| KURA ONCOLOGY INC COM | 50127T109 | Stock | 10,900 | $64,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 26,285 | $55,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 14,000 | $54,000 | thousands by filing date | |
| ABILITY INC | G8789K108 | SHS | 19,509 | $54,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 16,000 | $53,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 14,000 | $44,000 | thousands by filing date | |
| BONSO ELECTRS INTL INC | 098529308 | COM PAR $0.003 | 20,000 | $44,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 14,875 | $39,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 25,807 | $36,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 10,527 | $36,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 10,775 | $35,000 | thousands by filing date | |
| CHINA TECHFAITH WIRLS COMM T | 169424207 | SPON ADR NEW | 18,499 | $34,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 73,500 | $34,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,688 | $33,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 26,000 | $33,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 15,000 | $28,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 10,000 | $26,000 | thousands by filing date | |
| BIOBLAST PHARMA LTD | M20156101 | SHS | 24,700 | $26,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 13,925 | $25,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 13,527 | $25,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 38,267 | $24,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,204 | $24,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 16,500 | $23,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 20,000 | $20,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 11,835 | $20,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 29,540 | $20,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 20,000 | $18,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J114 | WTS | 10,000 | $18,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 14,000 | $15,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 19,350 | $15,000 | thousands by filing date | |
| TURTLE BEACH CORP COM | 900450107 | Stock | 10,000 | $13,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 32,000 | $11,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 15,530 | $10,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 10,000 | $9,000 | thousands by filing date | |
| CITIGROUP INC | 172967226 | WARRANT | 47,000 | $7,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 44,996 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000243 | this filing | 2017-02-02 | acceptance time not in the bulk data set |