13F-HR/A filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR/A for the quarter ended 2013-03-31, filed 2013-08-16, with 1,803 holding rows worth $9,470,615,000.
- Accession
- 0001140361-13-033290
- Filer
- CIK 1163653
- Filed
- 2013-08-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2013
A holdings report, amendment of type restatement, 3,729 entries on the cover page, a total value of $9,470,615,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,470,615,000 with VALUE read as thousands by filing date, 13F file number 028-10594. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerNOMURA SECURITIES INTERNATIONAL INC028-04983
- reports for this filerNOMURA INTERNATIONAL PLC028-04985
- reports for this filerNOMURA SECURITIES CO LTD028-04979
- reports for this filerNomura Corporate Research & Asset Management Inc.028-13982
- reports for this filerNOMURA SECURITIES BERMUDA LTD028-04993
- reports for this filerNomura Capital Markets plc028-15597
- reports for this filerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
- included managerNOMURA SECURITIES INTERNATIONAL INC028-04983
- included managerNOMURA INTERNATIONAL PLC028-04985
- included managerNOMURA SECURITIES CO LTD028-04979
- included managerNomura Corporate Research & Asset Management Inc.028-13982
- included managerNOMURA SECURITIES BERMUDA LTD028-04993
- included managerNomura Capital Markets plc028-15597
- included managerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
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 |
|---|---|---|---|---|---|---|
| TRUE RELIGION APPAREL INC | 89784N104 | COM | 8,804 | $230,000 | thousands by filing date | |
| DICE HOLDINGS INC | 253017107 | COM | 22,765 | $230,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 27,340 | $230,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 5,806 | $229,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 41,900 | $229,000 | thousands by filing date | |
| PROSHRE ULT DJ-UBS CRUDE OIL | 74347W650 | CMN | 7,335 | $228,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 16,665 | $227,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 16,375 | $226,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 23,908 | $226,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 137,586 | $226,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 3,250 | $225,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 3,958 | $225,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 4,823 | $224,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 80,511 | $223,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 39,792 | $223,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 54,141 | $223,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 4,579 | $220,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 18,479 | $220,000 | thousands by filing date | |
| NU SKIN ENTERPRISES INC | 67018T105 | CL A | 4,967 | $219,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 20,114 | $219,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 64,742 | $219,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 6,055 | $217,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 23,912 | $217,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 1,779 | $216,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 7,408 | $216,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 5,540 | $215,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 19,091 | $215,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 63,753 | $214,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 8,028 | $213,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 6,128 | $213,000 | thousands by filing date | |
| MULTIMEDIA GAMES HOLDING CO | 625453105 | COM | 10,237 | $213,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 5,875 | $212,000 | thousands by filing date | |
| VOLTERRA SEMICONDUCTOR CORP | 928708106 | COM | 14,876 | $212,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 4,549 | $211,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 5,650 | $211,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 9,930 | $211,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 5,617 | $211,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 14,569 | $211,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 7,579 | $210,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 43,533 | $210,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 45,092 | $209,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 17,617 | $209,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 2,872 | $208,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 6,400 | $208,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 8,867 | $208,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 27,094 | $208,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 63,450 | $208,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 25,190 | $207,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 3,852 | $206,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 5,310 | $206,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 14,848 | $205,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 10,599 | $205,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 30,254 | $204,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 3,046 | $204,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 24,619 | $204,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 38,534 | $204,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 10,774 | $203,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 6,180 | $202,000 | thousands by filing date | |
| GENERAL COMMUNICATION INC | 369385109 | CL A | 22,262 | $202,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 22,391 | $202,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 3,661 | $201,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 1,237 | $201,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 5,726 | $201,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 11,184 | $201,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 2,047 | $201,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 11,409 | $200,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 31,538 | $200,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 20,236 | $198,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 13,008 | $198,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 12,463 | $197,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 18,803 | $197,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 15,898 | $197,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 14,836 | $196,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 19,379 | $196,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 94,965 | $195,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 22,178 | $195,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 11,320 | $193,000 | thousands by filing date | |
| GIBRALTAR INDS INC | 374689107 | COM | 10,487 | $192,000 | thousands by filing date | |
| MAIDENFORM BRANDS INC | 560305104 | COM | 10,862 | $191,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 16,000 | $189,000 | thousands by filing date | |
| HEIDRICK & STRUGGLES INTL IN | 422819102 | COM | 12,629 | $189,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 174,000 | $189,000 | thousands by filing date | principal |
| VICAL INC | 925602104 | COM | 47,379 | $189,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 16,513 | $188,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 37,003 | $187,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 20,131 | $187,000 | thousands by filing date | |
| SYKES ENTERPRISES INC COM | 871237103 | Stock | 11,618 | $185,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 21,408 | $185,000 | thousands by filing date | |
| LABORATORY CRP OF AMER HLDGS | 50540RAG7 | CNV | 153,000 | $185,000 | thousands by filing date | principal |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 15,795 | $184,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 12,565 | $184,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 20,813 | $184,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUT | 74347W692 | CMN | 16,810 | $183,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 38,623 | $182,000 | thousands by filing date | |
| COMSCORE INC | 20564W105 | COM | 10,801 | $182,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 11,363 | $179,000 | thousands by filing date | |
| STILLWATER MINING CO | 86074Q102 | COM | 13,775 | $179,000 | thousands by filing date | |
| WAUSAU PAPER CORP | 943315101 | COM | 16,480 | $179,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 26,610 | $178,000 | thousands by filing date | |
| EVERSOURCE ENERGY | 292756202 | COM | 47,548 | $178,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 12,100 | $177,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 38,377 | $176,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 96,806 | $175,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 79,468 | $175,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 15,450 | $174,000 | thousands by filing date | |
| NETSPEND HOLDINGS INC | 64118V106 | COMMON STOCK | 10,884 | $173,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 18,300 | $171,000 | thousands by filing date | |
| CADENCE PHARMACEUTICALS INC | 12738T100 | COM | 25,753 | $171,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 43,850 | $170,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 11,056 | $169,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 12,810 | $168,000 | thousands by filing date | |
| COMPUWARE CORP | 205638109 | COM | 13,478 | $168,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 18,495 | $167,000 | thousands by filing date | |
| The Jones Group Inc | 48020T101 | COM | 13,094 | $167,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 13,473 | $166,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 25,683 | $166,000 | thousands by filing date | |
| Matrix Service Company | 576853105 | COM | 10,943 | $164,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 28,581 | $164,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 43,252 | $164,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 14,807 | $164,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 11,217 | $162,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 17,005 | $162,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268100 | COM | 26,674 | $161,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 20,000 | $158,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 15,660 | $158,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 35,510 | $157,000 | thousands by filing date | |
| VELTI PLC ST HELIER | G93285107 | SHS | 75,725 | $157,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 10,775 | $155,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 20,992 | $155,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 20,190 | $154,000 | thousands by filing date | |
| COMFORT SYS USA INC COM | 199908104 | Stock | 10,943 | $153,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 31,294 | $152,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 87,450 | $150,000 | thousands by filing date | |
| BELO CORP | 080555105 | COM SER A | 15,322 | $150,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 13,305 | $150,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 25,727 | $149,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 16,251 | $148,000 | thousands by filing date | |
| RUDOLPH TECHNOLOGIES INC | 781270103 | COM | 12,555 | $148,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 37,022 | $148,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 10,900 | $147,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 32,992 | $145,000 | thousands by filing date | |
| FXCM INC | 302693106 | COM | 10,515 | $143,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 11,998 | $143,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 11,960 | $142,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 15,450 | $141,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 77,053 | $141,000 | thousands by filing date | |
| STEWART ENTERPRISES INC | 860370105 | CL A | 15,079 | $140,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 12,972 | $140,000 | thousands by filing date | |
| METHODE ELECTRONICS INC | 591520200 | COMMON STOCK | 10,667 | $139,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 28,081 | $139,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 12,136 | $139,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 110,000 | $139,000 | thousands by filing date | principal |
| MCDERMOTT INTL INC | 580037109 | COM | 12,606 | $138,000 | thousands by filing date | |
| NATIONAL BANK OF GREECE | 633643606 | CMN | 78,350 | $138,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 25,645 | $137,000 | thousands by filing date | |
| NAM TAI ELECTRS INC | 629865205 | COM PAR $0.02 | 10,000 | $137,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 34,355 | $136,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 12,435 | $133,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 13,100 | $132,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 12,865 | $131,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 24,552 | $131,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L107 | CMN | 166,000 | $130,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AH6 | CNV | 50,000 | $128,000 | thousands by filing date | principal |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 59,360 | $127,000 | thousands by filing date | |
| OFFICEMAX INC DEL | 67622P101 | COM | 10,856 | $126,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 26,220 | $126,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 17,844 | $125,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 18,487 | $125,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 19,686 | $124,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 14,990 | $124,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 16,144 | $124,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 14,615 | $124,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 32,242 | $124,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 10,531 | $124,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 16,357 | $122,000 | thousands by filing date | |
| GFI GROUP INC | 361652209 | COM | 36,197 | $122,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 25,706 | $121,000 | thousands by filing date | |
| INTERSIL CORP | 46069S109 | CL A | 13,729 | $120,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 10,502 | $119,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 53,515 | $118,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 26,008 | $118,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 21,009 | $117,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 19,423 | $117,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 55,036 | $117,000 | thousands by filing date | |
| CAPITALSOURCE INC | 14055X102 | COM | 12,114 | $116,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 105,051 | $114,000 | thousands by filing date | |
| MARKET VECTORS RARE EARTH/ST | 57060U472 | CMN | 10,200 | $114,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 14,400 | $113,000 | thousands by filing date | |
| ARTIO GLOBAL INVESTORS INC | 04315B107 | CMN | 41,051 | $112,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 21,400 | $111,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 20,000 | $110,000 | thousands by filing date | call |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 20,257 | $109,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 10,244 | $107,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 13,070 | $106,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 38,650 | $106,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 24,500 | $105,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 17,437 | $105,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 20,185 | $105,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W100 | CMN | 92,348 | $104,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 80,350 | $103,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,213 | $102,000 | thousands by filing date | |
| IDENIX PHARMACEUTICALS INC | 45166R204 | COM | 28,720 | $102,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 13,660 | $102,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 31,901 | $101,000 | thousands by filing date | |
| T.G.C. INDUSTRIES INC | 872417308 | COM | 10,132 | $101,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 30,621 | $100,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 12,432 | $100,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 60,700 | $100,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 12,713 | $99,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 15,884 | $98,000 | thousands by filing date | |
| TRIQUINT SEMICONDUCTOR INC | 89674K103 | COM | 19,400 | $98,000 | thousands by filing date | |
| NEUTRAL TANDEM INC | 64128B108 | COM | 29,169 | $97,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 12,273 | $96,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 12,951 | $93,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 20,461 | $93,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 24,123 | $92,000 | thousands by filing date | |
| SANDISK CORP | 80004CAC5 | CNV | 92,000 | $92,000 | thousands by filing date | principal |
| EQUINIX INC | 29444UAG1 | CNV | 45,000 | $91,000 | thousands by filing date | principal |
| MARKET VECTORS INDIA S/C | 57060U563 | INDI | 10,000 | $88,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 29,000 | $87,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 18,156 | $86,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 10,300 | $86,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 20,000 | $86,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 10,084 | $85,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 1,500 | $81,000 | thousands by filing date | call |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 44,250 | $79,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 27,619 | $79,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 19,029 | $79,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 66,000 | $78,000 | thousands by filing date | principal |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,300 | $77,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 35,000 | $76,000 | thousands by filing date | |
| SYMMETRICOM INC | 871543104 | COM | 16,859 | $76,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 14,291 | $76,000 | thousands by filing date | |
| 1ST UNITED BANCORP INC/NORTH | 33740N105 | COM | 11,701 | $75,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 1,500 | $73,000 | thousands by filing date | put |
| Gilead Sciences,Inc. | 375558103 | COM | 1,500 | $73,000 | thousands by filing date | call |
| ON SEMICONDUCTOR CORP | 682189AG0 | NOTE 2.625%12/1 | 70,000 | $73,000 | thousands by filing date | principal |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 24,314 | $72,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 11,800 | $71,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 15,012 | $71,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 17,749 | $70,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 15,000 | $69,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 32,050 | $68,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 14,000 | $68,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 33,500 | $68,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 13,345 | $67,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 13,323 | $66,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 20,522 | $66,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 40,000 | $63,000 | thousands by filing date | principal |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 16,897 | $60,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,000 | $57,000 | thousands by filing date | put |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 12,947 | $57,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 12,600 | $56,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 15,434 | $54,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 25,700 | $53,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 12,640 | $52,000 | thousands by filing date | |
| PROLOGIS INC 3.250 | 74340XAT8 | NOTE 3.250% 3/1 | 45,000 | $52,000 | thousands by filing date | principal |
| DST SYSTEMS INC | 233326AE7 | CNV | 35,000 | $52,000 | thousands by filing date | principal |
| CONVERGYS CORP | 212485AE6 | SDCV | 30,000 | $50,000 | thousands by filing date | principal |
| RAMBUS INC DEL | 750917AC0 | NOTE 5.000% 6/1 | 47,000 | $48,000 | thousands by filing date | principal |
| POWER-ONE INC | 73930R102 | COMMON STOCK | 11,507 | $47,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 14,100 | $47,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AK9 | DEBT | 45,000 | $47,000 | thousands by filing date | principal |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 16,761 | $47,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 14,860 | $42,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 11,631 | $40,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 51,200 | $39,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 1,267 | $38,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 71,930 | $38,000 | thousands by filing date | principal |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 18,535 | $38,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 12,948 | $38,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 15,402 | $37,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 18,400 | $37,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 15,000 | $33,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 33,200 | $33,000 | thousands by filing date | |
| FEI COMPANY | 30241LAF6 | CNV | 15,000 | $33,000 | thousands by filing date | principal |
| HYPERDYNAMICS CORP | 448954107 | COM | 52,300 | $31,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIO | 205826AF7 | NOTE | 30,000 | $31,000 | thousands by filing date | principal |
| Delcath Systems Inc | 24661p104 | COM | 16,900 | $30,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 31,900 | $29,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 17,518 | $29,000 | thousands by filing date | |
| ALVARION LTD | M0861T100 | CMN | 76,600 | $29,000 | thousands by filing date | |
| ANTHERA PHARMACEUTICALS INC | 03674U102 | COM | 40,628 | $26,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 25,000 | $25,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 17,500 | $24,000 | thousands by filing date | |
| GLOBUS MARITIME LIMITED | Y27265209 | CMN | 10,200 | $24,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 10,300 | $23,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 1,239 | $21,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $21,000 | thousands by filing date | principal |
| TYSON FOODS INC | 902494AP8 | NOTE | 14,000 | $21,000 | thousands by filing date | principal |
| QUEST RARE MINERALS LTD | 74836T101 | CMN | 35,000 | $21,000 | thousands by filing date | |
| TRANSWITCH CORP | 894065309 | COM | 35,000 | $18,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 10,000 | $17,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 17,300 | $17,000 | thousands by filing date | |
| CENTRAL EURO DISTRIBUTION CP | 153435102 | CMN | 53,460 | $17,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 29,000 | $14,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 10,000 | $13,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 12,000 | $13,000 | thousands by filing date | principal |
| CELSION CORPORATION | 15117N305 | COM NEW | 11,500 | $12,000 | thousands by filing date | |
| EUROSEAS LTD | Y23592200 | CMN | 10,100 | $11,000 | thousands by filing date | |
| Jaguar Mining Inc | 47009m103 | COM | 11,020 | $7,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355AF5 | NOTE 4.500%12/0 | 15,000 | $5,000 | thousands by filing date | principal |
| CARDIUM THERAPEUTICS INC | 141916106 | COM | 15,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR/A 0001140361-13-033290 | this filing | 2013-08-16 | acceptance time not in the bulk data set |