13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-13, with 2,715 holding rows worth $351,000,424,000.
- Accession
- 0001140361-14-032005
- Filer
- CIK 1163653
- Filed
- 2014-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 4,369 entries on the cover page, a total value of $351,000,424,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $351,000,424,000 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 |
|---|---|---|---|---|---|---|
| ENDOCYTE INC | 29269A102 | COM | 18,367 | $121,000 | thousands by filing date | |
| NGP CAPITAL RESOURCES CO | 62912R107 | COM | 19,177 | $120,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 2,229 | $119,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 14,530 | $119,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 200 | $118,000 | thousands by filing date | put |
| STATE STREET IG PUBLIC &PRIVATE CREDIT ETF | 78464A458 | ETF | 5,000 | $118,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 2,011 | $117,000 | thousands by filing date | |
| SOLAZYME INC | 83415T101 | COM | 10,000 | $117,000 | thousands by filing date | call |
| FORMFACTOR INC COM | 346375108 | Stock | 13,944 | $116,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 1,487 | $116,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 70,000 | $116,000 | thousands by filing date | principal |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 3,503 | $115,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818AB7 | CNV | 45,000 | $114,000 | thousands by filing date | principal |
| NEW GOLD INC CDA | 644535106 | COM | 17,750 | $113,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 8,002 | $112,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 10,866 | $110,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 15,674 | $110,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 12,750 | $108,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 28,908 | $107,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 9,683 | $107,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 23,000 | $105,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,205 | $105,000 | thousands by filing date | |
| CONCUR TECHNOLOGIES INC | 206708AC3 | NOTE | 94,000 | $105,000 | thousands by filing date | principal |
| SanDisk Corporation | 80004C101 | COM | 1,000 | $104,000 | thousands by filing date | put |
| DENISON MINES CORP | 91688T104 | COM | 70,100 | $104,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 1,280 | $103,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 11,600 | $103,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 1,354 | $102,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,483 | $102,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 45,954 | $102,000 | thousands by filing date | |
| PMFG INC | 69345P103 | COM | 19,548 | $102,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 5,158 | $100,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 12,370 | $100,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 1,400 | $98,000 | thousands by filing date | put |
| PG&E CORP COM | 69331C108 | Stock | 2,048 | $98,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 27,865 | $98,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 70,794 | $98,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 21,400 | $98,000 | thousands by filing date | call |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 1,700 | $97,000 | thousands by filing date | call |
| CIGNA CORPORATION | 125509109 | COM | 1,058 | $97,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 12,000 | $97,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 13,036 | $96,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 4,800 | $96,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 10,158 | $93,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 52,500 | $93,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 20,000 | $92,000 | thousands by filing date | put |
| ALTEVA | 02153V102 | COMM STK | 13,000 | $92,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 80,000 | $91,000 | thousands by filing date | |
| MCCLATCHY CO | 579489105 | CL A | 16,208 | $90,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 13,308 | $89,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 1,600 | $88,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 13,326 | $88,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 1,696 | $87,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 15,900 | $87,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 11,909 | $87,000 | thousands by filing date | |
| OMNICARE | 681904AQ1 | NOTE3 | 77,000 | $87,000 | thousands by filing date | principal |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 21,040 | $85,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 85,169 | $84,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 11,651 | $84,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 150,000 | $83,000 | thousands by filing date | call |
| STEMCELLS INC | 85857R204 | COM NEW | 40,950 | $81,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 17,610 | $81,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 2,000 | $80,000 | thousands by filing date | call |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 2,018 | $79,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 10,033 | $79,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 15,000 | $79,000 | thousands by filing date | put |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 18,550 | $78,000 | thousands by filing date | |
| NII HOLDINGS INC | 62913F201 | COMMON STOCK | 141,300 | $78,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 12,253 | $76,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 6,100 | $75,000 | thousands by filing date | |
| ROCKWOOD HLDGS INC | 774415103 | COM | 991 | $75,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 1,000 | $74,000 | thousands by filing date | call |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 14,606 | $74,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST | 49803T102 | COMMON STOCK | 12,000 | $74,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 35,000 | $74,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 28,752 | $73,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 10,400 | $71,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 9,600 | $71,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 740 | $70,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 35,000 | $70,000 | thousands by filing date | call |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 3,050 | $70,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 25,800 | $70,000 | thousands by filing date | call |
| SEQUENOM INC COM NEW | 817337405 | COM | 18,111 | $70,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 50,000 | $67,000 | thousands by filing date | principal |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 1,837 | $66,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 14,066 | $64,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 15,000 | $64,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 25,000 | $63,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 5,000 | $63,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 14,656 | $62,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 25,600 | $61,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 40,506 | $61,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,259 | $60,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 15,910 | $60,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 3,510 | $58,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 1,290 | $57,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 4,300 | $56,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 18,430 | $55,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 1,705 | $54,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 8,693 | $53,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 12,000 | $53,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 12,500 | $53,000 | thousands by filing date | call |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 21,400 | $52,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 2,000 | $51,000 | thousands by filing date | call |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 11,822 | $50,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 986 | $49,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 34,192 | $48,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,800 | $48,000 | thousands by filing date | |
| FREESEAS INC | Y26496300 | SHS PAR 0.001NEW | 63,101 | $47,000 | thousands by filing date | |
| ROSETTA GENOMICS LTD | M82183126 | SHS NEW NIS 0.6 | 10,603 | $46,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 21,130 | $44,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 1,000 | $44,000 | thousands by filing date | call |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 10,100 | $44,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 12,713 | $44,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 32,613 | $43,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 10,135 | $43,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 25,521 | $41,000 | thousands by filing date | |
| ORIENT EXPRESS HOTELS LTD -A | G67743107 | CL A | 3,000 | $41,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 1,492 | $39,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 500 | $38,000 | thousands by filing date | call |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 1,700 | $38,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 692 | $37,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 8,543 | $37,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 10,000 | $37,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 17,677 | $36,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 640 | $35,000 | thousands by filing date | |
| ASCENT SOLAR TECHNOLOGIES | 043635101 | COM | 80,666 | $35,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 18,286 | $34,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 941 | $33,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 1,000 | $33,000 | thousands by filing date | put |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 27,000 | $33,000 | thousands by filing date | principal |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 30,492 | $32,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 1,473 | $31,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 25,250 | $31,000 | thousands by filing date | |
| AVIVA PLC | 05382A104 | ADR | 1,770 | $31,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 420 | $30,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 18,200 | $30,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 14,000 | $30,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 1,297 | $29,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 16,000 | $29,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 11,000 | $29,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 12,106 | $28,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 98,200 | $28,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 589 | $27,000 | thousands by filing date | |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 18,000 | $26,000 | thousands by filing date | principal |
| ASANKO GOLD INC | 04341Y105 | COM | 10,000 | $25,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 20,520 | $25,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 14,286 | $24,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 640 | $22,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $22,000 | thousands by filing date | principal |
| VRINGO INC | 92911N104 | COM | 6,500 | $22,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 15,542 | $21,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 10,000 | $21,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 274 | $20,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 1,500 | $20,000 | thousands by filing date | |
| TOWER GROUP INTERNATIONAL LT | G8988C105 | COM | 11,000 | $20,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 630 | $19,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 1,525 | $18,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 200 | $18,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 214 | $18,000 | thousands by filing date | |
| ISHARES INC MSCI HONG KG ETF | 464286871 | MSCI HONG KG ETF | 811 | $17,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $17,000 | thousands by filing date | principal |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 17,000 | $17,000 | thousands by filing date | principal |
| ADVAXIS INC | 007624208 | COM NEW | 5,000 | $16,000 | thousands by filing date | |
| NEWLEAD HOLDINGS LTD | G64626164 | SHS PAR $0.50 | 44,361 | $16,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 14,802 | $14,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 1,600 | $14,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 3,300 | $14,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 12,000 | $13,000 | thousands by filing date | |
| MAD CATZ INTERACTIVE INC | 556162105 | COM | 22,000 | $13,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 2,800 | $12,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 10,000 | $12,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 4,500 | $12,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 10,000 | $12,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 800 | $11,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 12,900 | $11,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 3,215 | $10,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U404 | COM PAR$ | 2,100 | $9,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 25,300 | $8,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 5,100 | $8,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 11,501 | $7,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 500 | $6,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 126 | $6,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 130 | $6,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K104 | COMMON STOCK | 2,401 | $6,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 12,000 | $6,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 105 | $5,000 | thousands by filing date | |
| BROOKDALE SENIOR LIVING | 112463AA2 | NOTE | 4,000 | $5,000 | thousands by filing date | principal |
| NIMBLE STORAGE INC | 65440R101 | COM | 169 | $5,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 663 | $4,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 50 | $4,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 135 | $3,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 115 | $3,000 | thousands by filing date | |
| BROADWIND INC | 11161T207 | CMN | 300 | $3,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 200 | $3,000 | thousands by filing date | |
| FIRST CONNECTICUT BANCORP | 319850103 | COM | 200 | $3,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 10,000 | $3,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 100 | $2,000 | thousands by filing date | |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 151 | $2,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 50 | $2,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 1,000 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 375 | $1,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 8 | $1,000 | thousands by filing date | |
| ASIA TIGERS FUND | 04516T105 | EXCHANGE TRADED | 100 | $1,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 100 | $1,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 100 | $1,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 1 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| INTERCONTINENTAL HOTELS | 45857P400 | COMMON STOCK-FO | 228 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MANNKIND CORP | 56400PAC6 | BOND | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-032005 | this filing | 2014-08-13 | acceptance time not in the bulk data set |