13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 1,964 holding rows worth $21,863,266,000.
- Accession
- 0001140361-14-007120
- Filer
- CIK 1163653
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 3,529 entries on the cover page, a total value of $21,863,266,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $21,863,266,000 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
- included managerNOMURA SECURITIES INTERNATIONAL INC028-04983
- included managerNOMURA INTERNATIONAL PLC028-04985
- included managerNOMURA SECURITIES BERMUDA LTD028-04993
- included managerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
- included managerNomura Capital Markets plc028-15597
- included managerNOMURA SECURITIES CO LTD028-04979
- included managerNomura Corporate Research & Asset Management Inc.028-13982
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 |
|---|---|---|---|---|---|---|
| ISHARES INC MSCI ITALY CAP | 464286855 | ETF | 20,776 | $324,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657101 | COM | 9,825 | $323,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 16,445 | $323,000 | thousands by filing date | |
| Vistaprint NV Cimpress | N93540107 | CMPR | 5,683 | $323,000 | thousands by filing date | |
| HANMI FINANCIAL CORPORATION | 410495204 | COMMON STOCK | 14,715 | $322,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 9,020 | $321,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 19,614 | $321,000 | thousands by filing date | |
| ATMEL CORP | 049513104 | COM | 40,888 | $321,000 | thousands by filing date | |
| STEINER LEISURE LTD | P8744Y102 | ORD | 6,558 | $321,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 4,623 | $320,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 8,024 | $319,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 300,000 | $319,000 | thousands by filing date | principal |
| MICROS SYS INC | 594901100 | COM | 5,588 | $319,000 | thousands by filing date | |
| PROCERA NETWORKS INC | 74269U203 | COM | 21,105 | $319,000 | thousands by filing date | |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 7,825 | $315,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 5,522 | $315,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 2,866 | $315,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 7,703 | $315,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 17,011 | $315,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 17,575 | $314,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 7,630 | $313,000 | thousands by filing date | |
| PANTRY INC | 698657103 | COM | 18,661 | $313,000 | thousands by filing date | |
| UNIVERSAL FST PRODS INC | 913543104 | COM | 6,002 | $312,000 | thousands by filing date | |
| BIO REFERENCE LABS INC | 09057G602 | COM | 12,241 | $312,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 81,793 | $312,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 8,365 | $311,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 10,516 | $311,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 3,203 | $311,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 21,208 | $311,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 13,092 | $311,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 14,988 | $310,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 10,093 | $309,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 4,000 | $306,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 8,624 | $306,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 16,868 | $306,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 2,201 | $304,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 121,603 | $304,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 7,302 | $303,000 | thousands by filing date | |
| SAIA INC | 78709Y105 | COM | 9,455 | $303,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 10,725 | $302,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 227,000 | $302,000 | thousands by filing date | principal |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 16,272 | $301,000 | thousands by filing date | |
| ACETO CORP | 004446100 | COM | 12,091 | $301,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 9,894 | $300,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 51,989 | $300,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 42,855 | $299,000 | thousands by filing date | |
| UNIFIRST CORP MASS | 904708104 | COM | 2,793 | $299,000 | thousands by filing date | |
| POWERSHARES INDIA ETF TR | 73935L100 | INDIA PORT | 17,027 | $299,000 | thousands by filing date | |
| DAWSON GEOPHYSICAL CO | 239359102 | COM | 8,889 | $299,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 11,446 | $298,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 3,797 | $298,000 | thousands by filing date | |
| MIDDLEBYCORP | 596278101 | STOK | 1,248 | $297,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 5,263 | $297,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 18,750 | $297,000 | thousands by filing date | |
| PHARMERICA CORP | 71714F104 | COM | 13,768 | $296,000 | thousands by filing date | |
| HEICO CORP NEW COM | 422806109 | Stock | 5,093 | $295,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 8,840 | $295,000 | thousands by filing date | |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 24,930 | $295,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 11,793 | $294,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 22,200 | $294,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 5,115 | $291,000 | thousands by filing date | |
| ICF INTL INC | 44925C103 | COM | 8,400 | $291,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 264,000 | $291,000 | thousands by filing date | principal |
| HALOZYME THERAPEUTICS INC COM | 40637H109 | Stock | 19,272 | $289,000 | thousands by filing date | |
| GYRODYNE CO AMER INC | 403820103 | COM | 16,345 | $289,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 11,961 | $288,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 2,125 | $287,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 60,899 | $287,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 6,410 | $286,000 | thousands by filing date | |
| APARTMENT INVT & MGMT CO | 03748R101 | CL A | 11,046 | $286,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 22,007 | $286,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 5,067 | $285,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 7,025 | $285,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 9,851 | $285,000 | thousands by filing date | |
| PARKWAY PPTYS INC | 70159Q104 | COM | 14,780 | $285,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 14,487 | $285,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 12,630 | $284,000 | thousands by filing date | |
| ORBOTECH LTD | M75253100 | ORD | 20,985 | $283,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 7,292 | $283,000 | thousands by filing date | |
| SYMETRA FINANCIAL CORP | 87151Q106 | COMMON STOCK | 14,873 | $282,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 3,298 | $282,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25459Y488 | DLY SC BEAR3XNEW | 16,532 | $281,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 9,884 | $280,000 | thousands by filing date | |
| HEADWATERS INC | 42210P102 | COMMON STOCK | 28,524 | $279,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 18,383 | $279,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 11,957 | $278,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 89,204 | $278,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 20,613 | $278,000 | thousands by filing date | |
| COMPANIA DE MINAS BUENAVENTU | 204448104 | SPONSORED ADR | 24,760 | $277,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 13,693 | $277,000 | thousands by filing date | |
| VOCUS INC | 92858J108 | COM | 24,279 | $277,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 11,116 | $276,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 13,248 | $276,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 68,801 | $276,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 19,658 | $275,000 | thousands by filing date | |
| PEP BOYS-MANNY MOE & JACK | 713278109 | COMMON STOCK | 22,528 | $275,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q796 | GUGG SHIPPNG ETF | 12,796 | $275,000 | thousands by filing date | |
| Direxion Daily Gold Miners Bul | 25459Y389 | ETP | 10,026 | $275,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,742 | $274,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 8,619 | $274,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 5,129 | $274,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 9,497 | $273,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 5,979 | $273,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 10,019 | $273,000 | thousands by filing date | |
| ALLISON TRANSMISSION HLDGS I | 01973R101 | COM | 9,858 | $272,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 8,899 | $272,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 20,025 | $271,000 | thousands by filing date | |
| QUALITY DISTR INC FLA | 74756M102 | COM | 21,068 | $271,000 | thousands by filing date | |
| FIRST CASH FINL SVCS INC | 31942D107 | COM | 4,368 | $271,000 | thousands by filing date | |
| DXP ENTERPRISES INC | 233377407 | COM NEW | 2,348 | $270,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 5,241 | $269,000 | thousands by filing date | |
| INGLES MKTS INC CL A | 457030104 | Stock | 9,917 | $269,000 | thousands by filing date | |
| BRF SA | 10552T107 | SPONSORED ADR | 12,912 | $269,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 11,127 | $269,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 5,730 | $269,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 2,626 | $267,000 | thousands by filing date | |
| SCHULMAN (A.) INC | 808194104 | COM | 7,549 | $266,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 32,580 | $265,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 4,080 | $263,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 31,441 | $262,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 130,310 | $262,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 55,078 | $261,000 | thousands by filing date | |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 3,222 | $261,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 22,073 | $259,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 45,253 | $259,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 4,970 | $258,000 | thousands by filing date | |
| EDUCATION RLTY TR INC | 28140H104 | COM | 29,322 | $258,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 12,345 | $257,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 21,056 | $256,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 232,000 | $256,000 | thousands by filing date | principal |
| HANGER INC | 41043F208 | COMMON STOCK | 6,493 | $255,000 | thousands by filing date | |
| INTERMUNE INC | 45884X103 | COM | 17,265 | $255,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 6,599 | $254,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 4,769 | $254,000 | thousands by filing date | |
| OMNIVISION TECHNOLOGIES INC | 682128103 | COM | 14,780 | $254,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 9,886 | $253,000 | thousands by filing date | |
| CATHAY GEN BANCORP | 149150104 | COM | 9,423 | $252,000 | thousands by filing date | |
| CONSOLIDATED GRAPHICS INC | 209341106 | COMMON STOCK | 3,750 | $252,000 | thousands by filing date | |
| STANDEX INTL CORP | 854231107 | COM | 3,992 | $251,000 | thousands by filing date | |
| INTERNATIONAL RECTIFIER CORP | 460254105 | COMMON STOCK | 9,700 | $251,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 15,278 | $250,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 47,974 | $250,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 9,710 | $249,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 4,090 | $249,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 3,560 | $248,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 34,480 | $247,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 4,626 | $245,000 | thousands by filing date | |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 14,396 | $245,000 | thousands by filing date | |
| ISHARES TR | 46429B309 | MSCI INDONIA ETF | 10,631 | $245,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 3,420 | $244,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 9,800 | $244,000 | thousands by filing date | |
| ITT EDUCATIONAL SERVICES INC | 45068B109 | COM | 7,281 | $244,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 7,600 | $243,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 11,301 | $243,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 8,207 | $241,000 | thousands by filing date | |
| COHERENT INC | 192479103 | COM | 3,245 | $241,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 3,287 | $241,000 | thousands by filing date | |
| SIMMONS 1ST NATL CORP | 828730200 | CL A $1 PAR | 6,466 | $240,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 2,614 | $239,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 11,364 | $239,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 18,815 | $239,000 | thousands by filing date | |
| USA MOBILITY INC | 90341G103 | COM | 16,669 | $239,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 13,682 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,000 | $238,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 18,506 | $237,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 8,844 | $237,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 7,208 | $236,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 46,743 | $236,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 23,167 | $236,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 18,393 | $235,000 | thousands by filing date | |
| AMERICAN VANGUARD CORP | 030371108 | COM | 9,700 | $235,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 8,825 | $235,000 | thousands by filing date | |
| FIRST INTERSTATE BANCSYSTEM IN | 32055Y201 | COM CL A | 8,248 | $234,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 16,244 | $233,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 7,863 | $233,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 5,289 | $233,000 | thousands by filing date | |
| MRC GLOBAL INC | 55345K103 | COM | 7,220 | $233,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 45,370 | $232,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 4,441 | $232,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 9,971 | $232,000 | thousands by filing date | |
| PINNACLE FINANCIAL PARTNERS IN | 72346Q104 | COM | 7,111 | $231,000 | thousands by filing date | |
| KEY ENERGY SVCS INC | 492914106 | COM | 28,901 | $231,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 100,000 | $231,000 | thousands by filing date | principal |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 41,944 | $230,000 | thousands by filing date | |
| UNITED BANKSHARES INC WEST VA COM | 909907107 | Stock | 7,299 | $230,000 | thousands by filing date | |
| STIFEL FINL CORP | 860630102 | COM | 4,785 | $229,000 | thousands by filing date | |
| CENTURY ALUM CO | 156431108 | COM | 21,804 | $229,000 | thousands by filing date | |
| KAPSTONE PAPER AND PACKAGING C | 48562P103 | COM | 4,102 | $229,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 46,476 | $229,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 19,296 | $228,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 68,881 | $227,000 | thousands by filing date | |
| OPENTABLE INC | 68372A104 | COM | 2,869 | $227,000 | thousands by filing date | |
| STATE BANK FINL CORP COM | 856190103 | COM | 12,491 | $227,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 2,932 | $226,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,691 | $226,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 8,558 | $226,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 12,327 | $226,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 3,509 | $225,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 40,214 | $225,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 4,287 | $224,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 11,557 | $224,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 6,200 | $222,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 9,750 | $222,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,782 | $221,000 | thousands by filing date | |
| ASTRONICS CORP COM | 046433108 | Stock | 4,333 | $221,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 17,551 | $221,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 27,736 | $221,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 28,397 | $221,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 17,474 | $220,000 | thousands by filing date | |
| COCA-COLA HBC AG-SPR ADR | 191223106 | SPON | 7,620 | $220,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459W557 | DAI 710 BEA ETF | 8,551 | $219,000 | thousands by filing date | |
| BUFFALO WILD WINGS INC | 119848109 | COMMON STOCK | 1,491 | $219,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 8,235 | $219,000 | thousands by filing date | |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 15,051 | $219,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 59,153 | $219,000 | thousands by filing date | |
| Lowes Companies Inc | 42222G108 | LOW | 7,349 | $218,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 1,769 | $217,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 3,155 | $216,000 | thousands by filing date | |
| MATTHEWS INTL CORP CLASS A | 577128101 | COMMON STOCK | 5,054 | $215,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 40,511 | $215,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 26,002 | $215,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 4,960 | $214,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 2,945 | $214,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 4,097 | $214,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 7,388 | $214,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 3,214 | $213,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 2,919 | $213,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 10,760 | $213,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 177,664 | $213,000 | thousands by filing date | |
| ACTUANT CORP | 00508X203 | CL A NEW | 5,787 | $213,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 1,424 | $212,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 10,013 | $212,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 37,451 | $212,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 932 | $211,000 | thousands by filing date | |
| LIGAND PHARMACEUTICALS INC | 53220K504 | COM NEW | 4,002 | $211,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 20,714 | $211,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 5,347 | $211,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 11,435 | $210,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 19,311 | $209,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 3,277 | $208,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 7,845 | $208,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 9,041 | $208,000 | thousands by filing date | |
| CATAMARAN CORP | 148887102 | COM | 4,387 | $208,000 | thousands by filing date | |
| VITACOST.COM INC | 92847A200 | COM | 35,853 | $208,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 7,154 | $206,000 | thousands by filing date | |
| UNIT CORP | 909218109 | COM | 3,979 | $205,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 17,954 | $205,000 | thousands by filing date | |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 7,340 | $204,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 8,553 | $204,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 11,944 | $204,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 3,308 | $203,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 6,933 | $203,000 | thousands by filing date | |
| 1ST SOURCE CORP COM | 336901103 | Stock | 6,306 | $201,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 8,728 | $201,000 | thousands by filing date | |
| HFF INC | 40418F108 | CL A | 7,491 | $201,000 | thousands by filing date | |
| NPS PHARMACEUTICALS INC | 62936P103 | COM | 6,637 | $201,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 6,082 | $200,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 16,535 | $200,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 14,862 | $199,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 26,100 | $198,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 44,994 | $198,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 12,889 | $194,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 14,501 | $194,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 34,524 | $194,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 46,573 | $193,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 15,837 | $192,000 | thousands by filing date | |
| BENEFICIAL MUTUAL BANCORP IN | 08173R104 | COM | 17,431 | $191,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 13,537 | $190,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 19,445 | $190,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 57,645 | $189,000 | thousands by filing date | |
| CENTRAL GARDEN & PET CO | 153527205 | CL A NON-VTG | 27,700 | $187,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 12,395 | $187,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 15,206 | $185,000 | thousands by filing date | |
| GLOBAL CASH ACCESS HLDGS INC | 378967103 | COM | 18,558 | $185,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 10,009 | $181,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 11,951 | $181,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 167,000 | $180,000 | thousands by filing date | principal |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 20,802 | $180,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 22,873 | $178,000 | thousands by filing date | |
| CHELSEA THERAPEUTICS INTL LT | 163428105 | COM | 40,216 | $178,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 11,604 | $172,000 | thousands by filing date | |
| PROSHARES | 74347X237 | EXCHANGE TRADED | 11,392 | $171,000 | thousands by filing date | |
| MASTEC INC | 576323AM1 | NOTE 4.250%12/1 | 80,000 | $171,000 | thousands by filing date | principal |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 22,544 | $170,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 28,199 | $169,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 12,814 | $169,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 25,424 | $168,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 31,988 | $166,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 30,800 | $164,000 | thousands by filing date | |
| CBEYOND INC | 149847105 | COM | 23,514 | $162,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 142,000 | $159,000 | thousands by filing date | principal |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 71,000 | $159,000 | thousands by filing date | principal |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 19,905 | $158,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 38,070 | $154,000 | thousands by filing date | |
| EBIX INC | 278715206 | COM NEW | 10,375 | $153,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 10,145 | $150,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 25,009 | $147,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 12,877 | $146,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 37,200 | $146,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 16,607 | $141,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,820 | $140,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 10,404 | $139,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 13,238 | $138,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 11,003 | $136,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 39,500 | $136,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 23,068 | $133,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 10,293 | $132,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 16,788 | $131,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 26,011 | $129,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A108 | COMMON STOCK | 14,195 | $128,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 64,986 | $128,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 11,615 | $127,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 11,607 | $126,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 11,043 | $125,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 23,940 | $122,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 17,076 | $122,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 16,400 | $120,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 26,269 | $119,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 38,629 | $118,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 16,499 | $117,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 94,000 | $115,000 | thousands by filing date | principal |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 11,473 | $112,000 | thousands by filing date | |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 18,038 | $111,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 12,692 | $111,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,256 | $111,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 12,076 | $108,000 | thousands by filing date | |
| NOVA LTD COM | M7516K103 | Stock | 10,941 | $107,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 5,000 | $106,000 | thousands by filing date | put |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 10,941 | $104,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 13,787 | $104,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 19,650 | $103,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 13,935 | $103,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 13,860 | $102,000 | thousands by filing date | |
| TECUMSEH PRODUCTS CO-CLASS A | 878895200 | CL A | 11,208 | $102,000 | thousands by filing date | |
| Telecom Italia S P A New Spons | 87927Y201 | ADR | 12,655 | $98,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 13,935 | $97,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 75,100 | $96,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 10,710 | $96,000 | thousands by filing date | |
| AEROFLEX HOLDING CORP | 007767106 | COMMON STOCK | 14,331 | $94,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 21,488 | $93,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 13,175 | $91,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 30,566 | $91,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 8,002 | $91,000 | thousands by filing date | |
| GILEAD SCIENCES INC | 375558AP8 | CORPORATE OBLIG | 27,000 | $89,000 | thousands by filing date | principal |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 10,014 | $89,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 37,305 | $88,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 15,122 | $85,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 40,841 | $83,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A119 | SHS | 18,066 | $83,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 43,000 | $83,000 | thousands by filing date | principal |
| DENNYS CORP | 24869P104 | COM | 11,366 | $82,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 70,794 | $82,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 10,348 | $80,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 24,954 | $77,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 6,100 | $74,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 13,598 | $73,000 | thousands by filing date | |
| EQUINIX INC | 29444UAG1 | CNV | 46,000 | $73,000 | thousands by filing date | principal |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 19,990 | $72,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 10,322 | $72,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 27,432 | $71,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 24,640 | $71,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 10,066 | $70,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 14,770 | $69,000 | thousands by filing date | |
| ROPER INDUSTRIES INC | 776696AA4 | CNV | 40,000 | $69,000 | thousands by filing date | principal |
| NYMOX PHARMACEUTICAL CORP | 67076P102 | CMN | 10,954 | $66,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,100 | $65,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 27,930 | $64,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 22,306 | $63,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,008 | $63,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B102 | COM | 17,504 | $62,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 15,650 | $62,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 30,000 | $62,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 18,275 | $60,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 25,891 | $59,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 16,400 | $57,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 30,902 | $57,000 | thousands by filing date | |
| ALUMINA LTD ADR | 022205108 | COM | 14,450 | $57,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 18,736 | $57,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 35,000 | $57,000 | thousands by filing date | principal |
| Intercloud Systems, Inc | 458488202 | com | 3,101 | $57,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 13,092 | $56,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 39,046 | $55,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 109,900 | $55,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 12,282 | $54,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 33,700 | $53,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 10,619 | $51,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P205 | COM NEW | 91,600 | $51,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 44,012 | $51,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 7,492 | $50,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 19,302 | $49,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 24,700 | $48,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 107,600 | $48,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 5,335 | $47,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 13,220 | $47,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 12,179 | $47,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 32,157 | $46,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 37,750 | $46,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 4,900 | $44,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 5,282 | $43,000 | thousands by filing date | |
| MECHEL PREF SPON ADR | 583840509 | COM | 100,000 | $43,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 34,000 | $42,000 | thousands by filing date | principal |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 40,000 | $41,000 | thousands by filing date | principal |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 5,100 | $39,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 18,795 | $38,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 39,726 | $37,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 5,505 | $36,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 11,734 | $36,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 372 | $35,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 16,011 | $34,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,800 | $31,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 24,079 | $29,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 12,200 | $27,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 23,467 | $27,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 10,500 | $27,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,514 | $26,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 16,659 | $25,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 44,500 | $25,000 | thousands by filing date | |
| SMART TECHNOLOGIES INC | 83172R108 | CL A SUB VTG S | 11,512 | $25,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 15,000 | $25,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 2,800 | $23,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 1,882 | $22,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $21,000 | thousands by filing date | principal |
| BG MEDICINE INC | 08861T107 | COM | 20,218 | $21,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 18,000 | $21,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 15,022 | $21,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 82,239 | $21,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 15,750 | $20,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 11,515 | $20,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 1,966 | $18,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 2,100 | $17,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 17,000 | $17,000 | thousands by filing date | principal |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 2,018 | $16,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 2,900 | $15,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 600 | $14,000 | thousands by filing date | call |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 10,137 | $14,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 10,009 | $14,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $12,000 | thousands by filing date | principal |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 20,850 | $12,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 10,000 | $12,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 118 | $10,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 1,200 | $10,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 151 | $9,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 700 | $9,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 1,000 | $9,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 1,500 | $9,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 754 | $8,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 1,503 | $8,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 4,700 | $8,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 700 | $7,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 150 | $6,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 63 | $5,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 400 | $5,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 10,000 | $4,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 300 | $2,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y209 | COM NEW | 1,200 | $2,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 600 | $2,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 100 | $1,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 100 | $1,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 100 | $1,000 | thousands by filing date | |
| ZCO Liquidating Corp | 67086E303 | COM | 34,616 | $1,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 600 | $1,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 200 | $1,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 100 | $1,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 1,400 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-007120 | this filing | 2014-02-14 | acceptance time not in the bulk data set |