13F-HR filed by CREDIT SUISSE AG/
CREDIT SUISSE AG/ filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 4,418 holding rows worth $122,670,164,000.
- Accession
- 0001140361-14-042311
- Filer
- CIK 824468
- 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, 17,599 entries on the cover page, a total value of $122,670,164,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $122,670,164,000 with VALUE read as thousands by filing date, 13F file number 028-11379. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerCREDIT SUISSE ASSET MANAGEMENT LLC/NY028-03702
- included managerCREDIT SUISSE INTERNATIONAL028-11516
- included managerMultiConcept Fund Management S.A.028-14772
- included managerCredit Suisse Fund Management S.A.028-14783
- included managerCredit Suisse Management LLC028-13525
- included managerCREDIT SUISSE HEDGING-GRIFFO SERVICOS INTERNACIONAIS S.A.028-13460
- included managerCredit Suisse Securities (Canada), Inc.028-13203
- included managerCredit Suisse Life (Bermuda) Ltd.028-14488
- included managerCREDIT SUISSE SECURITIES (EUROPE) LTD028-11518
- included managerCredit Suisse Funds AG028-14785
- included managerCREDIT SUISSE SECURITIES (USA) LLC028-11380
- included managerCREDIT SUISSE CAPITAL LLC/028-11477
- included managerCredit Suisse (Monaco) S.A.M.028-14782
- included managerCredit Suisse (Italy) S.p.a.028-13035
- included managerCredit Suisse (France)028-15142
- included managerCredit Suisse Life & Pension AG028-14487
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 |
|---|---|---|---|---|---|---|
| GSI GROUP INC | 36191C205 | COM | 22,841 | $263,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 8,538 | $262,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 8,850 | $262,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 9,947 | $262,000 | thousands by filing date | |
| BALTIC TRADING LTD | Y0553W103 | COM | 63,282 | $262,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 8,493 | $261,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y800 | CAMBRIA GL TAC | 10,362 | $261,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 255,000 | $261,000 | thousands by filing date | principal |
| POINTS INTL LTD | 730843208 | COM NEW | 14,920 | $260,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US Small-Cap ETF | 922042718 | SHS | 2,540 | $259,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 2,582 | $259,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 19,811 | $259,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 4,606 | $259,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 8,559 | $259,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 3,508 | $257,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,973 | $256,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 116,183 | $255,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 59,985 | $253,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 25,141 | $253,000 | thousands by filing date | |
| MEDLEY MANAGEMENT INC | 58503T106 | EQUITY | 14,919 | $252,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 21,428 | $251,000 | thousands by filing date | |
| DENDREON CORP | 24823QAC1 | CORPORATE OBLIG | 364,000 | $251,000 | thousands by filing date | principal |
| CHINA AUTOMOTIVE SYS INC | 16936R105 | COM | 27,290 | $251,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 19,713 | $250,000 | thousands by filing date | |
| AMERICAN PUB ED INC | 02913V103 | COM | 9,315 | $250,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 2,800 | $250,000 | thousands by filing date | call |
| ELDORADO RESORTS INC | 28470R102 | COM | 59,432 | $250,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 240,000 | $250,000 | thousands by filing date | principal |
| BANCFIRST CORP | 05945F103 | COM | 3,978 | $249,000 | thousands by filing date | |
| OSIRIS THERAPEUTICS INC NEW | 68827R108 | COM | 19,758 | $249,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 69,794 | $248,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 125,930 | $248,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 11,294 | $247,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 30,001 | $247,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 30,516 | $247,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 26,371 | $247,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 48,141 | $246,000 | thousands by filing date | |
| ISHARES TR | 464289123 | NEW ZEALAND ETF | 6,364 | $245,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 27,022 | $244,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 12,924 | $244,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 29,455 | $242,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,089 | $242,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 17,229 | $242,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 20,000 | $241,000 | thousands by filing date | call |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 4,112 | $241,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 12,300 | $240,000 | thousands by filing date | call |
| BARCLAYS BANK PLC | 06739H206 | ETN DJUBS AGRI37 | 6,082 | $240,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 50,415 | $239,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 5,298 | $239,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 37,884 | $239,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 15,443 | $238,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 63,668 | $238,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H750 | ETN DJUBS ENRG37 | 14,000 | $238,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 9,005 | $237,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 122,485 | $237,000 | thousands by filing date | |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 9,211 | $237,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 34,994 | $236,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 14,945 | $236,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 13,950 | $236,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 9,588 | $236,000 | thousands by filing date | |
| DEUTSCHE MULTI-MKT INCOME TR SHS | 25160E102 | CEF | 26,667 | $236,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,717 | $235,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 16,961 | $235,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 58,359 | $234,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 6,200 | $234,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 7,905 | $234,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 5,000 | $234,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 9,288 | $234,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 66,166 | $233,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 13,454 | $233,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 23,014 | $232,000 | thousands by filing date | |
| WEYCO GROUP INC COM | 962149100 | Stock | 9,205 | $230,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 46,875 | $230,000 | thousands by filing date | |
| PROSPECT CAPITAL CORP | 74348TAD4 | NOTE | 222,000 | $230,000 | thousands by filing date | principal |
| CVENT INC | 23247G109 | COM | 9,053 | $230,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 2,626 | $229,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 9,508 | $229,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 40,092 | $229,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 26,201 | $228,000 | thousands by filing date | |
| BROOKFIELD CANADA OFFICE PRO | 112823109 | TR U | 9,388 | $228,000 | thousands by filing date | |
| GIGAMON INC | 37518B102 | COM | 21,667 | $227,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 8,184 | $226,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 16,784 | $225,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 114,594 | $225,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 20,223 | $224,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 2,085 | $223,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 93,319 | $222,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 4,300 | $221,000 | thousands by filing date | call |
| FTSE RAFI 1000 US Lg Cap | 73935X583 | COM | 2,508 | $221,000 | thousands by filing date | |
| iShares Core Total USD Bond Market ETF | 46434V613 | SHS | 2,200 | $220,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 19,018 | $220,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 17,364 | $220,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 7,284 | $219,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 11,849 | $219,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 4,186 | $219,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 24,315 | $218,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 31,323 | $218,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 15,213 | $218,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 5,100 | $217,000 | thousands by filing date | |
| SUNGY MOBILE LTD | 86737M100 | ADR | 33,356 | $217,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 26,124 | $216,000 | thousands by filing date | |
| SWS GROUP INC | 78503N107 | COM | 31,290 | $215,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 10,372 | $214,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 13,726 | $214,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 44,801 | $214,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 19,400 | $213,000 | thousands by filing date | call |
| PIXELWORKS INC | 72581M305 | COM NEW | 32,942 | $213,000 | thousands by filing date | |
| INTL FCSTONE INC | 46116V105 | COM | 12,282 | $213,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 12,042 | $212,000 | thousands by filing date | |
| SABINE RTY TR | 785688102 | UNIT BEN INT | 3,888 | $211,000 | thousands by filing date | |
| IDENTIV INC | 45170X205 | COM NEW | 15,728 | $211,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 10,000 | $210,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 33,726 | $210,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 13,668 | $210,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 25,973 | $209,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 4,486 | $209,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 24,857 | $209,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 11,020 | $208,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 54,155 | $208,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 8,445 | $208,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 19,441 | $207,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 6,563 | $207,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 4,655 | $206,000 | thousands by filing date | |
| UNIVERSAL TECHNICAL INST INC | 913915104 | COM | 21,919 | $205,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 8,925 | $205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 2,785 | $204,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 30,372 | $204,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 6,190 | $204,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 13,610 | $203,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 11,900 | $203,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 10,900 | $203,000 | thousands by filing date | call |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 75,772 | $202,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 22,297 | $202,000 | thousands by filing date | |
| NATIONAL GEN HLDGS CORP | 636220303 | COM | 11,855 | $201,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 8,186 | $201,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 14,514 | $201,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 21,536 | $201,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 20,836 | $201,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 20,644 | $200,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 25,702 | $199,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 10,798 | $198,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 10,521 | $198,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 28,576 | $198,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 11,500 | $197,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 15,145 | $197,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 18,456 | $197,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 29,185 | $196,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 23,417 | $195,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 14,882 | $194,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 16,800 | $192,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 72,781 | $191,000 | thousands by filing date | |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 200,000 | $191,000 | thousands by filing date | principal |
| FUEL SYS SOLUTIONS INC | 35952W103 | COM | 21,212 | $189,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 20,625 | $189,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 36,178 | $188,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 26,273 | $188,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 149,201 | $188,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 25,951 | $187,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 33,370 | $187,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,000 | $187,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 13,727 | $187,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 132,344 | $187,000 | thousands by filing date | |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 10,267 | $187,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 10,366 | $186,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 35,774 | $186,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 18,130 | $186,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 76,936 | $186,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 50,148 | $184,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 44,141 | $183,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 11,281 | $183,000 | thousands by filing date | |
| BRAVO BRIO RESTAURANT GROUP | 10567B109 | COMMON STOCK | 14,042 | $182,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 15,500 | $182,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 15,089 | $181,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 12,934 | $180,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 16,914 | $180,000 | thousands by filing date | |
| MEDICAL ACTION INDS INC | 58449L100 | COMMON STOCK | 12,974 | $179,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 25,014 | $178,000 | thousands by filing date | |
| DSP GROUP INC | 23332B106 | COM | 19,992 | $178,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 19,634 | $178,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 31,820 | $177,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 17,211 | $173,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 22,200 | $173,000 | thousands by filing date | call |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 11,685 | $172,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 30,846 | $172,000 | thousands by filing date | |
| STONERIDGE INC | 86183P102 | COMMON STOCK | 15,169 | $171,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 16,124 | $171,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 250,000 | $171,000 | thousands by filing date | principal |
| Enzo Biochem Inc | 294100102 | Common Stock | 32,878 | $169,000 | thousands by filing date | |
| CIBER INC | 17163B102 | COM | 49,438 | $169,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 12,075 | $169,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 34,738 | $168,000 | thousands by filing date | |
| QUIKSILVER INC | 74838C106 | COM | 96,941 | $168,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 39,605 | $168,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 22,265 | $167,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 24,705 | $166,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 19,872 | $166,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 19,461 | $166,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 67,115 | $166,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 11,500 | $165,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 11,945 | $165,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 71,996 | $165,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 38,359 | $165,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 14,413 | $164,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 16,636 | $164,000 | thousands by filing date | |
| CEVA INC | 157210105 | COMMON STOCK | 12,229 | $164,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 46,621 | $164,000 | thousands by filing date | |
| NANOMETRICS | 630077105 | COM | 10,798 | $163,000 | thousands by filing date | |
| RXI PHARMACEUTICALS CORP NEW | 74979C303 | COM NEW | 81,219 | $163,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 113,033 | $162,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 134,668 | $161,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 21,461 | $161,000 | thousands by filing date | |
| DICERNA PHARMACEUTICALS INC | 253031108 | COM | 12,536 | $159,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 10,162 | $159,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 15,844 | $159,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 19,089 | $157,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 63,695 | $157,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 12,200 | $156,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 66,830 | $156,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 20,493 | $155,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 28,792 | $155,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 25,400 | $155,000 | thousands by filing date | call |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 10,939 | $154,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 23,962 | $154,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 12,240 | $154,000 | thousands by filing date | |
| REACHLOCAL INC | 75525F104 | COM | 41,901 | $152,000 | thousands by filing date | |
| STONEGATE MTG CORP | 86181Q300 | COM | 11,687 | $152,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 45,384 | $151,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 73,622 | $151,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 12,831 | $150,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 131,108 | $149,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 39,183 | $149,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 15,085 | $149,000 | thousands by filing date | |
| VALUEVISION MEDIA INC | 92047K107 | CL A | 29,120 | $149,000 | thousands by filing date | |
| BONA FILM GROUP LTD | 09777B107 | SPONSORED ADS | 24,617 | $148,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 16,233 | $147,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 39,565 | $147,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 10,000 | $146,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 26,700 | $146,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 12,440 | $145,000 | thousands by filing date | |
| MONARCH CASINO & RESORT INC | 609027107 | COM | 12,050 | $144,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 10,943 | $144,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 30,052 | $142,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 123,638 | $142,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 39,885 | $141,000 | thousands by filing date | |
| MAVENIR SYS INC | 577675101 | COM | 11,196 | $141,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 12,102 | $140,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 11,177 | $138,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 25,000 | $137,000 | thousands by filing date | |
| ACTUATE CORP | 00508B102 | COM | 35,251 | $137,000 | thousands by filing date | |
| KEARNY FINANCIAL CORP | 487169104 | Domestic Common | 10,244 | $137,000 | thousands by filing date | |
| J G WENTWORTH CO CL A | 46618D108 | CL A | 11,082 | $137,000 | thousands by filing date | |
| SIZMEK INC | 83013P105 | COM | 17,579 | $136,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 11,218 | $135,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 32,903 | $135,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 25,117 | $135,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 126,014 | $135,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 450,000 | $135,000 | thousands by filing date | call |
| PROCERA NETWORKS INC | 74269U203 | COM | 13,881 | $133,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 26,134 | $133,000 | thousands by filing date | |
| AUXILIUM PHARMACEUTICALS INC | 05334DAA5 | NOTE 1.500% 7/1 | 100,000 | $132,000 | thousands by filing date | principal |
| MARTHA STEWART LIVING OMNIME | 573083102 | CL A | 36,521 | $132,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 27,009 | $132,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 38,284 | $131,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 24,160 | $131,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 13,763 | $129,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 47,761 | $128,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 10,323 | $128,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 10,187 | $128,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 35,730 | $128,000 | thousands by filing date | |
| GAIN CAPITAL HOLDINGS INC | 36268W100 | COM | 20,140 | $128,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 11,845 | $127,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 13,500 | $126,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 11,384 | $126,000 | thousands by filing date | |
| DATAWATCH CORP | 237917208 | COM NEW | 12,069 | $124,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 104,365 | $122,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 11,198 | $118,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 16,793 | $118,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 37,800 | $117,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 13,600 | $116,000 | thousands by filing date | |
| SKILLED HEALTHCARE GROU-CL A | 83066R107 | CL A | 17,659 | $116,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 20,800 | $113,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 13,059 | $112,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 112,400 | $111,000 | thousands by filing date | put |
| RUBICON MINERALS CORP | 780911103 | COM | 81,368 | $111,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 29,202 | $111,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 16,039 | $109,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 100,943 | $109,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 23,280 | $109,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 13,788 | $106,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 10,568 | $106,000 | thousands by filing date | |
| CROSS CTRY HEALTHCARE INC | 227483104 | COM | 11,463 | $106,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 15,675 | $106,000 | thousands by filing date | |
| MILLER ENERGY RES INC | 600527105 | COM | 24,081 | $105,000 | thousands by filing date | |
| ALLIANCE ONE INTL | 018772103 | COMMON STOCK | 52,376 | $103,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 15,546 | $102,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 10,692 | $102,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 12,434 | $101,000 | thousands by filing date | |
| LEVY ACQUISITION CORP | 52748T203 | COM | 10,000 | $101,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 26,196 | $99,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 13,532 | $98,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 53,421 | $98,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 10,782 | $97,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 26,220 | $97,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 21,295 | $96,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 41,358 | $96,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 15,975 | $95,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 34,146 | $95,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 10,579 | $94,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 36,586 | $92,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 14,118 | $91,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 27,747 | $89,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 10,409 | $89,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 13,809 | $89,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,772 | $88,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 13,239 | $88,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 18,760 | $85,000 | thousands by filing date | |
| MANDALAY DIGITAL GROUP INC | 562562207 | CMN | 18,466 | $85,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 31,032 | $83,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 11,632 | $83,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 16,083 | $82,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 37,024 | $81,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 11,646 | $81,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 10,309 | $79,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 12,848 | $78,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 25,696 | $78,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 11,801 | $78,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 25,723 | $77,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 21,312 | $77,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 68,533 | $77,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540109 | COM | 37,757 | $76,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 56,396 | $76,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 18,015 | $75,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786L107 | COM | 20,690 | $74,000 | thousands by filing date | |
| CAMTEK LTD ORD | M20791105 | Stock | 18,327 | $72,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 54,213 | $72,000 | thousands by filing date | |
| SINOCOKING COAL & COKE CH IN | 829357102 | COM | 19,090 | $72,000 | thousands by filing date | |
| EMPIRE RESORTS INC | 292052206 | COM | 10,586 | $71,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 11,644 | $70,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 11,992 | $69,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 29,609 | $69,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 27,074 | $69,000 | thousands by filing date | |
| TOWN SPORTS INTL HLDGS INC | 89214A102 | COM | 10,074 | $67,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 21,883 | $65,000 | thousands by filing date | |
| LIGHTINTHEBOX HOLDING CO LTD SPONSORED ADR | 53225G102 | COM | 10,303 | $64,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 23,091 | $64,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 11,337 | $63,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 13,101 | $62,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 75,334 | $61,000 | thousands by filing date | |
| PACIFIC SUNWEAR OF CALIF | 694873100 | COM | 33,664 | $61,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 10,776 | $61,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 32,153 | $61,000 | thousands by filing date | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 25,698 | $60,000 | thousands by filing date | |
| CROWN MEDIA HLDGS INC | 228411104 | CL A | 18,778 | $60,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 41,230 | $58,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 10,914 | $55,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 39,261 | $54,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 15,043 | $52,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 34,037 | $52,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 10,756 | $51,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 51,300 | $51,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 21,158 | $49,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 27,800 | $47,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 15,203 | $45,000 | thousands by filing date | |
| LIBERATOR MEDICAL HLDGS INC | 53012L108 | COM | 14,061 | $44,000 | thousands by filing date | |
| PORTUGAL TELECOM SGPS | 737273102 | COMMON STOCK-FO | 20,386 | $43,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 25,732 | $43,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,637 | $42,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 19,873 | $40,000 | thousands by filing date | |
| Meru Networks, Inc. | 59047Q103 | COM | 10,274 | $39,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 12,020 | $37,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 13,465 | $36,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 77,798 | $35,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 15,421 | $35,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 17,720 | $34,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 32,056 | $33,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 31,389 | $31,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 11,329 | $30,000 | thousands by filing date | |
| HANWHA SOLARONE CO LTD | 41135V103 | SPONSORED ADR | 12,526 | $30,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 13,324 | $30,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 15,503 | $29,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 13,938 | $29,000 | thousands by filing date | |
| CLEAN DIESEL TECHNOLOGIES INC | 18449C401 | COM PAR $.01 | 16,310 | $28,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 10,474 | $25,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 23,153 | $25,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 24,195 | $25,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 10,000 | $24,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 10,000 | $24,000 | thousands by filing date | call |
| LOCAL CORP | 53954W104 | COM | 11,365 | $23,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 21,129 | $23,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 15,734 | $22,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 19,344 | $22,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 10,894 | $22,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 11,873 | $21,000 | thousands by filing date | |
| AVALON RARE METALS INC | 053470100 | COM | 66,196 | $21,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 12,167 | $21,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 35,393 | $20,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 16,142 | $20,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 12,125 | $20,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 11,000 | $18,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 12,092 | $17,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 13,655 | $17,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 18,453 | $17,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 12,343 | $16,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 12,235 | $15,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 21,392 | $14,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 10,572 | $12,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 11,092 | $12,000 | thousands by filing date | |
| FREESEAS INC | Y26496300 | SHS PAR 0.001NEW | 50,515 | $11,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,237 | $10,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 11,308 | $10,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 14,444 | $9,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 14,000 | $8,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 21,304 | $7,000 | thousands by filing date | |
| STANDARD REGISTER CO | 853887206 | COM | 1,106 | $6,000 | thousands by filing date | |
| ZBB ENERGY CORP | 98876R303 | COM NEW | 10,500 | $6,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 17,764 | $5,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 26,205 | $3,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 47,640 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-14-042311 | this filing | 2014-11-14 | acceptance time not in the bulk data set |