13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 2,740 holding rows worth $36,854,186,000.
- Accession
- 0001140361-14-041818
- Filer
- CIK 1163653
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 4,212 entries on the cover page, a total value of $36,854,186,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $36,854,186,000 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 |
|---|---|---|---|---|---|---|
| NEKTAR THERAPEUTICS | 640268108 | COM | 11,390 | $137,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 3,800 | $137,000 | thousands by filing date | put |
| TESARO INC | 881569107 | COM | 5,000 | $136,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 11,580 | $136,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 11,340 | $136,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 50,000 | $134,000 | thousands by filing date | call |
| KEMET CORP | 488360207 | COM NEW | 30,623 | $131,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 2,000 | $129,000 | thousands by filing date | put |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 36,656 | $128,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 11,916 | $127,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 45,435 | $126,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 3,692 | $126,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 108,295 | $126,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 35,230 | $126,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 22,418 | $125,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 1,248 | $124,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 27,850 | $124,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 19,050 | $124,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 5,483 | $123,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 14,506 | $123,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 11,550 | $122,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 8,002 | $121,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 12,663 | $120,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 13,057 | $120,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,100 | $119,000 | thousands by filing date | call |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 6,297 | $119,000 | thousands by filing date | |
| SOUFUN HOLDINGS LTD | 836034108 | COMMON STOCK-FO | 11,799 | $118,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 37,604 | $117,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 2,036 | $116,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 2,623 | $116,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 34,115 | $113,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 3,009 | $112,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 55,271 | $112,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,000 | $111,000 | thousands by filing date | call |
| AZENTA INC | 114340102 | COM | 10,508 | $110,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 31,379 | $110,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 10,002 | $110,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 35,200 | $109,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 47,300 | $108,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 1,501 | $107,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 11,639 | $107,000 | thousands by filing date | |
| BOYDGAMINGCORP | 103304101 | STOK | 10,213 | $105,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 2,029 | $104,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 4,637 | $103,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 15,877 | $103,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 4,880 | $103,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 29,900 | $103,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 13,522 | $102,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 46,256 | $102,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 3,441 | $100,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 30,400 | $100,000 | thousands by filing date | call |
| NEW GOLD INC CDA | 644535106 | COM | 19,350 | $99,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 1,208 | $98,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 6,733 | $98,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484M106 | COM | 2,823 | $96,000 | thousands by filing date | |
| Almaden Minerals Ltd | 020283107 | COM | 70,794 | $96,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 50,000 | $96,000 | thousands by filing date | call |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 34,700 | $94,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 13,921 | $94,000 | thousands by filing date | |
| ALTEVA | 02153V102 | COMM STK | 13,000 | $94,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 2,935 | $93,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 2,855 | $93,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y149 | SHS NEW 2014 | 42,825 | $93,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 10,696 | $92,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 12,000 | $91,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 4,390 | $91,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 14,263 | $91,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 18,460 | $90,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 22,010 | $90,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 4,800 | $90,000 | thousands by filing date | |
| NEWS CORP NEW | 65249B208 | CL B | 5,482 | $89,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 12,385 | $89,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 11,064 | $89,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 23,500 | $88,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 43,251 | $86,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 12,255 | $86,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 12,315 | $84,000 | thousands by filing date | |
| OMNICARE | 681904AQ1 | NOTE3 | 77,000 | $84,000 | thousands by filing date | principal |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 30,000 | $83,000 | thousands by filing date | call |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 2,460 | $82,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 74,500 | $81,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 12,520 | $80,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 15,500 | $78,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 2,154 | $77,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 18,283 | $77,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 58,200 | $77,000 | thousands by filing date | put |
| SUNTRUST BANKS INC | 867914103 | COM | 2,000 | $76,000 | thousands by filing date | call |
| PMFG INC | 69345P103 | COM | 15,165 | $76,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 11,500 | $76,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 64,352 | $75,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 2,956 | $74,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 20,000 | $70,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 35,000 | $68,000 | thousands by filing date | call |
| PAR TECHNOLOGY CORP | 698884103 | COM | 13,806 | $68,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 2,456 | $67,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 11,500 | $67,000 | thousands by filing date | |
| HERSHA HOSPITALITY TR REIT | 427825104 | SH BEN INT A | 10,564 | $67,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 2,000 | $66,000 | thousands by filing date | call |
| MYRIAD GENETICS INC | 62855J104 | COM | 1,740 | $66,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 16,820 | $65,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,000 | $65,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 1,600 | $64,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 80,000 | $63,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 25,000 | $63,000 | thousands by filing date | call |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 47,649 | $61,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 15,186 | $60,000 | thousands by filing date | |
| NATIONAL GRID PLC | 636274300 | SPONSORED ADR NE | 830 | $60,000 | thousands by filing date | |
| DIANA CONTAINERSHIPS, INC. | Y2069P101 | COMMON STOCK | 26,251 | $60,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 1,196 | $59,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 20,000 | $59,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 1,221 | $58,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 25,115 | $56,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 428 | $55,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 12,456 | $55,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 16,086 | $55,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 51,000 | $55,000 | thousands by filing date | principal |
| CARRIZO OIL & GAS INC | 144577103 | COM | 1,004 | $54,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 2,350 | $53,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 12,700 | $53,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 13,575 | $53,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 42,506 | $53,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 1,800 | $52,000 | thousands by filing date | put |
| UNDER ARMOUR INC | 904311107 | CL A | 772 | $52,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 10,000 | $52,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 781 | $51,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 40,250 | $51,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 21,400 | $51,000 | thousands by filing date | call |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 13,850 | $50,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 35,000 | $49,000 | thousands by filing date | call |
| BIODEL INC | 09064M204 | COM | 29,000 | $48,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 960 | $47,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 864 | $46,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 17,175 | $45,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 14,850 | $45,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 11,785 | $44,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 20,730 | $44,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 172 | $43,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 1,300 | $43,000 | thousands by filing date | call |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 875 | $43,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 36,900 | $43,000 | thousands by filing date | call |
| EAGLE MATLS INC COM | 26969P108 | Stock | 419 | $42,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 240 | $41,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 25,630 | $41,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 30,601 | $41,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 12,500 | $41,000 | thousands by filing date | call |
| DDR CORP | 23317H102 | COM | 2,383 | $40,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 2,000 | $39,000 | thousands by filing date | put |
| DENDREON CORP | 24823Q107 | COM | 27,317 | $39,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 650 | $38,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 12,676 | $38,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 1,000 | $37,000 | thousands by filing date | call |
| Galena Biopharma Inc | 363256108 | COM | 17,500 | $37,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,800 | $36,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 17,500 | $35,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 27,821 | $34,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 950 | $33,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 700 | $33,000 | thousands by filing date | call |
| NEURALSTEM INC | 64127R302 | COM | 9,885 | $33,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 25,000 | $32,000 | thousands by filing date | put |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 27,000 | $32,000 | thousands by filing date | principal |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 1,080 | $30,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 600 | $29,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 13,600 | $28,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 16,124 | $28,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 16,000 | $26,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 5,843 | $26,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 19,363 | $25,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 370 | $25,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 24,000 | $24,000 | thousands by filing date | principal |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 370 | $24,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 10,000 | $24,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 2,000 | $23,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 510 | $23,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 10,047 | $23,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 6,850 | $22,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 4,003 | $22,000 | thousands by filing date | |
| SILVERCREST MINES INC | 828365106 | COMMON | 14,600 | $22,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 10,600 | $22,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 22,000 | $22,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $21,000 | thousands by filing date | principal |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $20,000 | thousands by filing date | principal |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 21,700 | $20,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 10,000 | $20,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 18,180 | $20,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 500 | $19,000 | thousands by filing date | put |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 300 | $19,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 16,300 | $19,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 400 | $18,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 19,983 | $18,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 14,360 | $18,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 300 | $17,000 | thousands by filing date | put |
| JOY GLOBAL INC | 481165108 | COM | 300 | $17,000 | thousands by filing date | call |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 17,000 | $17,000 | thousands by filing date | principal |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 173 | $16,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 21,803 | $16,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 202 | $15,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 23,800 | $14,000 | thousands by filing date | |
| REED ELSEVIER N V | 758204200 | SPONS ADR NEW | 300 | $14,000 | thousands by filing date | |
| RADIO ONE INC | 75040P108 | CL A | 4,500 | $14,000 | thousands by filing date | |
| FREESEAS INC | Y26496300 | SHS PAR 0.001NEW | 41,401 | $13,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 129 | $12,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 17,847 | $12,000 | thousands by filing date | |
| BANRO CORP | 066800103 | COM | 55,000 | $10,000 | thousands by filing date | |
| BG MEDICINE INC | 08861T107 | COM | 17,000 | $10,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q205 | COMM STK | 11,000 | $10,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 2,451 | $9,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 215 | $9,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 2,191 | $9,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 114 | $8,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 1,250 | $7,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 40,000 | $7,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 24,500 | $7,000 | thousands by filing date | |
| RADA ELECTR INDS LTD | M81863116 | SHS NEW | 2,469 | $7,000 | thousands by filing date | |
| MONTAGE TECHNOLOGY GROUP LTD | G6209T105 | SHS | 314 | $7,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 5,026 | $6,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025119 | *W EXP 04/29/201 | 15,023 | $6,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 101 | $5,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 75 | $5,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 2,902 | $5,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 318 | $5,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 504 | $4,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 110 | $4,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 371 | $4,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 2,150 | $4,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 163 | $3,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 100 | $3,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 100 | $2,000 | thousands by filing date | put |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 1,000 | $2,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 55 | $2,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 375 | $1,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 27 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 930 | $1,000 | thousands by filing date | principal |
| ATHERSYS INC | 04744L106 | COM | 1,000 | $1,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BAXANO SURGICAL | 071773105 | COM | 3,700 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MAGNEGAS CORP | 55939L202 | COM NEW | 200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 1,100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-041818 | this filing | 2014-11-14 | acceptance time not in the bulk data set |