13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-07, with 694 holding rows worth $1,285,275,000.
- Accession
- 0001085146-17-000310
- Filer
- CIK 1492262
- Filed
- 2017-02-07
- 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, 694 entries on the cover page, a total value of $1,285,275,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,285,275,000 with VALUE read as thousands by filing date, 13F file number 028-13971. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerPRUDENTIAL PLC028-03582
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 |
|---|---|---|---|---|---|---|
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 45,601 | $303,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 7,887 | $303,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 3,594 | $301,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 21,944 | $297,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 4,103 | $296,000 | thousands by filing date | |
| iShares 0-5 Year High Yield Corporate Bond ETF | 46434V407 | COM | 6,139 | $292,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 6,380 | $290,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 55,168 | $290,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,928 | $290,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 4,882 | $289,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,257 | $289,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 337345102 | SHS | 5,070 | $288,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 2,190 | $286,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,592 | $283,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 5,091 | $283,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 7,130 | $283,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 1,223 | $282,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 21,040 | $282,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 12,607 | $280,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 16,141 | $280,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 20,048 | $278,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 13,387 | $277,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 9,990 | $276,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 1,077 | $276,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 4,042 | $275,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 5,400 | $275,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,409 | $273,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 2,600 | $272,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,885 | $272,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P608 | RIVRFRNT DYN DEV | 5,016 | $272,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 5,334 | $271,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739P202 | EME MRK BD ETF | 6,554 | $269,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 6,515 | $268,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 47,815 | $268,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 4,523 | $268,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 10,526 | $266,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,957 | $265,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 2,469 | $264,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,681 | $264,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 13,032 | $262,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 9,901 | $262,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 19,954 | $261,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 21,397 | $261,000 | thousands by filing date | |
| JANUS HENDERSON SMALL/MID CAP GROWTH ALPHA ETF | 47103U209 | ETF | 8,265 | $260,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 4,659 | $258,000 | thousands by filing date | |
| POLARIS INC COM | 731068102 | Stock | 3,036 | $256,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,038 | $256,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 19,125 | $256,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 13,670 | $255,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 179,250 | $255,000 | thousands by filing date | |
| iShares MSCI Japan ETF | 46434G822 | SHS | 4,982 | $253,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 2,399 | $250,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 6,606 | $248,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 8,174 | $248,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 23,275 | $247,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 1,982 | $245,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 16,427 | $245,000 | thousands by filing date | |
| CHEMICAL FINANCIAL CORP | 163731102 | COM | 5,069 | $245,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 6,154 | $245,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 914 | $242,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 9,804 | $242,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919401 | CL A VTG | 8,521 | $241,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 2,973 | $240,000 | thousands by filing date | |
| ARCONIC INC | 03965L100 | COM | 9,493 | $239,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 21,309 | $238,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 9,945 | $235,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,080 | $235,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 3,323 | $234,000 | thousands by filing date | |
| PROSHARES TR | 74347B839 | MSCI EAFE DIVD | 7,188 | $234,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,781 | $233,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 8,084 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 8,612 | $232,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,649 | $231,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 6,390 | $231,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 15,400 | $231,000 | thousands by filing date | |
| Progressive Corporation | 743315103 | COM | 6,210 | $230,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 1,254 | $230,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 24,847 | $229,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,905 | $229,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 38,850 | $228,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,587 | $228,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,920 | $227,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 3,700 | $227,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 3,906 | $227,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 4,687 | $225,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 1,955 | $225,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 8,449 | $225,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 3,873 | $224,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 16,316 | $224,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 5,777 | $223,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,337 | $223,000 | thousands by filing date | |
| HUBBELL INC COM | 443510607 | Stock | 1,807 | $221,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 6,871 | $220,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 3,146 | $220,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,576 | $220,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,482 | $219,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,029 | $219,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 3,674 | $219,000 | thousands by filing date | |
| iShares Global Healthcare ETF | 464287325 | SHS | 2,235 | $218,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 4,890 | $218,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 2,965 | $218,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,796 | $216,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 10,854 | $215,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 3,970 | $215,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 11,716 | $215,000 | thousands by filing date | |
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 5,987 | $215,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158101 | COM SH BEN INT | 6,510 | $214,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 9,696 | $214,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 500 | $213,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 16,045 | $212,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 14,369 | $212,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,337 | $212,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 22,665 | $212,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 5,914 | $210,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 8,580 | $209,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,285 | $208,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 3,957 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,245 | $208,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,248 | $206,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 12,806 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 4,064 | $204,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 2,700 | $204,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 32,093 | $204,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 3,587 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 3,296 | $202,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 7,848 | $202,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 4,098 | $201,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 5,597 | $200,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 10,350 | $198,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 12,426 | $198,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 29,503 | $196,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 17,892 | $194,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 18,907 | $194,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,235 | $190,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 40,865 | $188,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 16,055 | $186,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,600 | $185,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 54,930 | $185,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 26,954 | $181,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 18,049 | $178,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 16,503 | $177,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 11,800 | $173,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 24,039 | $166,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 48,225 | $165,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 21,512 | $162,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 13,654 | $161,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 15,974 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 11,467 | $159,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 14,893 | $158,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 17,524 | $158,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 15,446 | $157,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 23,606 | $153,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 14,450 | $150,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 95,845 | $150,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 11,724 | $146,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 13,921 | $146,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 12,429 | $141,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 16,240 | $138,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 10,840 | $131,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 11,100 | $123,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 21,218 | $121,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,571 | $120,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 11,045 | $118,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 11,860 | $118,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 11,700 | $115,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 11,800 | $115,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 52,233 | $115,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 17,051 | $110,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,126 | $108,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 18,700 | $107,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 10,700 | $102,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,915 | $101,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 12,593 | $97,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 13,408 | $93,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 329,725 | $91,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 15,970 | $90,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 15,296 | $89,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,173 | $87,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 12,863 | $83,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,692 | $79,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 12,704 | $62,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 16,039 | $40,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 10,000 | $39,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 55,500 | $36,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 11,000 | $36,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 13,005 | $32,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 11,000 | $27,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 15,450 | $25,000 | thousands by filing date | |
| PARAMOUNT GOLD NEV CORP COM | 69924M109 | Stock | 10,800 | $19,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 12,335 | $16,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 23,736 | $14,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $11,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,000 | $9,000 | thousands by filing date | |
| PARETEUM CORP COM | 69946T108 | Stock | 28,599 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000310 | this filing | 2017-02-07 | acceptance time not in the bulk data set |