13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-17, with 2,257 holding rows worth $37,388,458,000.
- Accession
- 0001140361-15-007089
- Filer
- CIK 1163653
- Filed
- 2015-02-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 3,224 entries on the cover page, a total value of $37,388,458,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $37,388,458,000 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 SECURITIES CO LTD028-04979
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 |
|---|---|---|---|---|---|---|
| PINNACLE ENTMT INC | 723456109 | COM | 10,844 | $243,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 84,634 | $243,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 62,172 | $242,000 | thousands by filing date | |
| Surmodics Inc | 868873100 | Common Stock | 10,901 | $241,000 | thousands by filing date | |
| BENCHMARK ELECTRS INC COM | 08160H101 | Stock | 9,502 | $240,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 3,864 | $240,000 | thousands by filing date | |
| ZEP INC | 98944B108 | COMMON STOCK | 15,724 | $239,000 | thousands by filing date | |
| COMCAST CORP NEW | 20030N200 | CL A SPL | 4,209 | $239,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 4,661 | $236,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 6,410 | $236,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 14,211 | $235,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 5,339 | $234,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 7,375 | $234,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 26,010 | $233,000 | thousands by filing date | |
| POST PPTYS INC | 737464107 | COM | 4,003 | $233,000 | thousands by filing date | |
| GULF IS FABRICATION INC | 402307102 | COM | 11,873 | $232,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 19,560 | $231,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 8,781 | $231,000 | thousands by filing date | |
| DELUXE CORP MEDIUM TERM NTS COM | 248019101 | Stock | 3,722 | $230,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 4,152 | $230,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 5,119 | $230,000 | thousands by filing date | |
| SOLARCITY CORP | 83416T100 | COM | 4,301 | $230,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 1,000 | $229,000 | thousands by filing date | call |
| HARTE-HANKS INC | 416196103 | COM | 29,739 | $228,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 32,374 | $228,000 | thousands by filing date | |
| SOUTHWEST BANCORP INC/OKLA | 844767103 | COM | 13,095 | $228,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 3,080 | $227,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 12,191 | $226,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 3,777 | $223,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 6,615 | $223,000 | thousands by filing date | |
| UNITED CMNTY BKS BLAIRSVLE G | 90984P303 | COM | 11,885 | $222,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 5,074 | $222,000 | thousands by filing date | |
| MARCUS CORPORATION | 566330106 | COMMON STOCK | 12,052 | $222,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 15,893 | $221,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 33,301 | $221,000 | thousands by filing date | |
| EVERCORE INC CLASS A | 29977A105 | Stock | 4,200 | $218,000 | thousands by filing date | put |
| BRINKS CO | 109696104 | COM | 8,921 | $218,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 7,315 | $217,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 4,400 | $215,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 8,608 | $215,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 85,575 | $215,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 31,749 | $214,000 | thousands by filing date | |
| GAMCO INVS INC COM | 361438104 | COM | 2,443 | $214,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 9,096 | $214,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 9,814 | $213,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 2,430 | $212,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 3,701 | $211,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 7,296 | $211,000 | thousands by filing date | |
| POZEN INC | 73941U102 | COMMON STOCK | 26,319 | $210,000 | thousands by filing date | |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 20,000 | $210,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 1,776 | $209,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 2,867 | $208,000 | thousands by filing date | |
| HSN INC | 404303109 | COM | 2,735 | $208,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 6,429 | $208,000 | thousands by filing date | |
| AEP INDUSTRIES INC | 001031103 | COM | 3,585 | $208,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 2,803 | $207,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 21,669 | $207,000 | thousands by filing date | |
| DOLBY LABORATORIES INC COM CL A | 25659T107 | Stock | 4,765 | $206,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 16,747 | $206,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 49,515 | $206,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 17,563 | $204,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 43,485 | $204,000 | thousands by filing date | |
| TRANSDIGM GROUP INC COM | 893641100 | Stock | 1,033 | $203,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 15,533 | $202,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 3,252 | $201,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 16,748 | $201,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 12,492 | $201,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 16,707 | $199,000 | thousands by filing date | |
| BIG LOTS INC | 089302103 | COM | 5,000 | $199,000 | thousands by filing date | call |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 181,000 | $199,000 | thousands by filing date | principal |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 23,631 | $196,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 12,722 | $193,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 18,229 | $193,000 | thousands by filing date | |
| BBCN BANCORP INC | 073295107 | COM | 13,147 | $190,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 59,010 | $190,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 13,912 | $189,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 179,000 | $186,000 | thousands by filing date | principal |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 11,877 | $184,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 177,000 | $183,000 | thousands by filing date | principal |
| CALAMOS ASSET MANAGEMENT A | 12811R104 | COM | 13,707 | $183,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 13,437 | $181,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 28,625 | $180,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 950 | $176,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 22,700 | $175,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 11,694 | $172,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 12,002 | $171,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 71,300 | $171,000 | thousands by filing date | call |
| ROCKWELL MED INC | 774374102 | COM | 16,396 | $170,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 5,625 | $169,000 | thousands by filing date | |
| STERLING BANCORP DEL | 85917A100 | COM | 11,959 | $169,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 10,712 | $168,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 20,404 | $167,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 17,966 | $166,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 12,521 | $164,000 | thousands by filing date | |
| SILICON IMAGE INC | 82705T102 | COM | 29,803 | $164,000 | thousands by filing date | |
| OMNICARE INC | 681904AL2 | DBCV 3.250%12/1 | 152,000 | $163,000 | thousands by filing date | principal |
| MCDERMOTT INTL INC | 580037109 | COM | 50,000 | $162,000 | thousands by filing date | call |
| MERGE HEALTHCARE INC | 589499102 | COM | 47,109 | $162,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 16,935 | $161,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 15,940 | $161,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 12,475 | $158,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 22,438 | $156,000 | thousands by filing date | |
| TEKMIRA PHARMACEUTICALS COR | 87911B209 | COM NEW | 10,268 | $155,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 1,333 | $152,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 15,089 | $150,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 3,832 | $148,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 169,629 | $148,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 12,200 | $144,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 16,714 | $143,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 50,000 | $143,000 | thousands by filing date | call |
| CALLAWAY GOLF CO | 131193104 | COM | 18,050 | $140,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 31,252 | $138,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 5,483 | $138,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 20,093 | $136,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 11,849 | $133,000 | thousands by filing date | |
| AZENTA INC | 114340102 | COM | 10,582 | $132,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 10,198 | $132,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 17,316 | $131,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 13,209 | $128,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 13,450 | $128,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 1,100 | $127,000 | thousands by filing date | call |
| RITEAID CORP | 767754104 | COM | 16,457 | $125,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 10,031 | $125,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 12,926 | $125,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 44,957 | $125,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 14,011 | $125,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 100,000 | $124,000 | thousands by filing date | principal |
| CTC MEDIA INC | 12642X106 | COM | 24,964 | $122,000 | thousands by filing date | |
| XCERRA CORP | 98400J108 | COM | 13,248 | $122,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 3,383 | $121,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 10,225 | $121,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 18,062 | $120,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 10,025 | $120,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 22,975 | $120,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 14,656 | $119,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 37,922 | $116,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 14,966 | $114,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 12,052 | $114,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 21,147 | $111,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 5,022 | $110,000 | thousands by filing date | |
| WEB.COM GROUP INC | 94733A104 | COMMON STOCK | 5,717 | $109,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 10,917 | $107,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 10,664 | $105,000 | thousands by filing date | |
| SPANSION INC | 84649R200 | COM CL A NEW | 3,192 | $105,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 28,959 | $102,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 60,000 | $100,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 17,833 | $99,000 | thousands by filing date | |
| BLACK DIAMOND INC | 09202G101 | COMMON STOCK | 10,919 | $98,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 11,159 | $96,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 92,500 | $96,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES INC | 345550AR8 | NOTE 3.625% 8/1 | 91,000 | $96,000 | thousands by filing date | principal |
| CANADIAN SOLAR INC | 136635109 | COM | 3,979 | $95,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 3,397 | $95,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 34,522 | $95,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 16,597 | $94,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 10,563 | $93,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,483 | $93,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 4,800 | $93,000 | thousands by filing date | |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 15,759 | $93,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 11,261 | $92,000 | thousands by filing date | |
| MENS WEARHOUSE INC | 587118100 | COM | 2,068 | $92,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 14,149 | $91,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 12,508 | $88,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 11,874 | $87,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 979 | $86,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 46,401 | $84,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 2,000 | $83,000 | thousands by filing date | call |
| OCWEN FINL CORP | 675746309 | COM NEW | 5,035 | $83,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 30,000 | $83,000 | thousands by filing date | call |
| LENNAR CORP CL B | 526057302 | Stock | 2,289 | $82,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 3,638 | $82,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 13,419 | $81,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 10,000 | $78,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 2,296 | $77,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 21,212 | $76,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 65,000 | $72,000 | thousands by filing date | principal |
| IMATION CORP | 45245A107 | COM | 19,001 | $72,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904101 | COM | 969 | $72,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 21,253 | $71,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 17,500 | $71,000 | thousands by filing date | call |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 1,900 | $68,000 | thousands by filing date | |
| INFOBLOX INC | 45672H104 | COM | 3,400 | $66,000 | thousands by filing date | |
| ARCELORMITTAL | L0302D178 | PREFERRED STOCK | 3,642 | $65,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 65,000 | $64,000 | thousands by filing date | principal |
| POPULAR INC | 733174700 | COM NEW | 1,856 | $62,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 1,000 | $61,000 | thousands by filing date | put |
| MOLYCORP INC DEL | 608753109 | COM | 58,200 | $60,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 58,200 | $60,000 | thousands by filing date | put |
| DIGITAL RIV INC | 25388B104 | COM | 2,486 | $58,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 9,227 | $57,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 35,000 | $55,000 | thousands by filing date | call |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 6,457 | $54,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 13,785 | $54,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 1,922 | $54,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 51,000 | $54,000 | thousands by filing date | principal |
| HECLA MNG CO | 422704106 | COM | 19,144 | $53,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 1,100 | $52,000 | thousands by filing date | put |
| CIBER INC | 17163B102 | COM | 14,267 | $52,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 3,858 | $52,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 51,000 | $52,000 | thousands by filing date | principal |
| HILTON WORLDWIDE HLDGS INC | 43300A104 | COM | 1,958 | $51,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 2,000 | $50,000 | thousands by filing date | put |
| CORNING INC | 219350105 | COM | 2,000 | $46,000 | thousands by filing date | put |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 652 | $46,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 25,000 | $42,000 | thousands by filing date | call |
| DENISON MINES CORP | 91688T104 | COM | 37,000 | $41,000 | thousands by filing date | |
| TRONC INC | 896082104 | Common equity shares | 1,720 | $39,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 34,500 | $34,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 12,500 | $34,000 | thousands by filing date | call |
| EVERCORE INC CLASS A | 29977A105 | Stock | 620 | $32,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 27,000 | $32,000 | thousands by filing date | principal |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 21,400 | $32,000 | thousands by filing date | call |
| VRINGO INC | 92911N104 | COM | 36,900 | $30,000 | thousands by filing date | call |
| FOX CORP CLASS B | 90130A200 | COM | 793 | $29,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,800 | $27,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 24,000 | $24,000 | thousands by filing date | principal |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 10,066 | $24,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AB3 | NOTE 2.500% 3/1 | 21,000 | $23,000 | thousands by filing date | principal |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $22,000 | thousands by filing date | principal |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 205 | $21,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 500 | $20,000 | thousands by filing date | put |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 247 | $19,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 400 | $19,000 | thousands by filing date | |
| CENVEO INC | 15670S105 | COM | 9,200 | $19,000 | thousands by filing date | |
| NET ELEMENT INTL INC | 64111R102 | CMN | 14,500 | $18,000 | thousands by filing date | |
| DIGITAL RIVER INC | 25388BAD6 | NOTE | 17,000 | $17,000 | thousands by filing date | principal |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 4,632 | $16,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 18,180 | $16,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 10,000 | $15,000 | thousands by filing date | principal |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 11,000 | $15,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 28,000 | $14,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 179 | $13,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 2,191 | $10,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 4,000 | $10,000 | thousands by filing date | principal |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,226 | $7,000 | thousands by filing date | |
| BLACKHAWK NET B | 09238E203 | Common Stock | 180 | $7,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 3,700 | $6,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 700 | $5,000 | thousands by filing date | |
| DIGITAL RIV INC | 25388B104 | COM | 200 | $5,000 | thousands by filing date | put |
| TWITTER INC | 90184L102 | COM | 100 | $4,000 | thousands by filing date | put |
| GASLOG LTD | G37585109 | SHS | 200 | $4,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 3,000 | $4,000 | thousands by filing date | principal |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 23 | $3,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760C107 | COM | 100 | $3,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 643 | $3,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 25 | $1,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 5 | $1,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 11 | $1,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 930 | $1,000 | thousands by filing date | principal |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUMITOMO MITSUI FIN GRP INC SHS | J7771X109 | Common Stock | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-007089 | this filing | 2015-02-17 | acceptance time not in the bulk data set |