13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-08-14, with 1,748 holding rows worth $35,548,325,000.
- Accession
- 0001140361-15-032083
- Filer
- CIK 1163653
- Filed
- 2015-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 3,135 entries on the cover page, a total value of $35,548,325,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $35,548,325,000 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 |
|---|---|---|---|---|---|---|
| LAKELAND FINL CORP | 511656100 | COM | 6,295 | $269,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 6,919 | $269,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 9,196 | $267,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 8,798 | $266,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 4,768 | $265,000 | thousands by filing date | |
| MANHATTAN ASSOCIATES INC COM | 562750109 | Stock | 4,588 | $263,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 65,473 | $263,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 5,259 | $263,000 | thousands by filing date | |
| COCA-COLA FEMSA SAB DE CV SPONS ADS REP | 191241108 | ADR | 3,300 | $262,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 5,383 | $262,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 6,857 | $262,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 5,663 | $260,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 12,829 | $259,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 4,493 | $259,000 | thousands by filing date | |
| LACLEDE GROUP INC/THE | 505597104 | COM | 5,009 | $259,000 | thousands by filing date | |
| HEALTHWAYS INC | 422245100 | COM | 20,650 | $257,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 7,901 | $256,000 | thousands by filing date | |
| WESCO INTL INC COM | 95082P105 | Stock | 3,625 | $254,000 | thousands by filing date | |
| OLYMPIC STEEL INC COM | 68162K106 | Stock | 14,073 | $252,000 | thousands by filing date | |
| CASEYS GEN STORES INC | 147528103 | COM | 2,666 | $250,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 2,332 | $248,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 34,401 | $248,000 | thousands by filing date | |
| COMMUNITY TRUST BANCORP INC | 204149108 | COMMON STOCK | 7,093 | $247,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 3,907 | $243,000 | thousands by filing date | |
| TREDEGAR CORP | 894650100 | COM | 11,027 | $242,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 3,540 | $242,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 7,505 | $239,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 5,077 | $239,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 19,002 | $238,000 | thousands by filing date | |
| TREX CO INC | 89531P105 | COM | 4,928 | $237,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 7,601 | $236,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 12,297 | $236,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 8,032 | $235,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 36,358 | $235,000 | thousands by filing date | |
| INOVALON HLDGS INC | 45781D101 | COM CL A | 8,483 | $235,000 | thousands by filing date | |
| COMMVAULT SYS INC COM | 204166102 | Stock | 5,437 | $234,000 | thousands by filing date | |
| MONOLITHIC PWR SYS INC COM | 609839105 | Stock | 4,581 | $234,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 5,603 | $234,000 | thousands by filing date | |
| ENVESTNET INC | 29404K106 | COM | 5,752 | $234,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 11,040 | $233,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 4,700 | $233,000 | thousands by filing date | put |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 2,778 | $233,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 12,946 | $232,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 21,559 | $232,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 3,859 | $231,000 | thousands by filing date | |
| FIRST FINANCIAL CORP | 320218100 | COMMON STOCK | 6,512 | $231,000 | thousands by filing date | |
| HEARTWARE INTL INC | 422368100 | COM | 3,161 | $231,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 36,807 | $231,000 | thousands by filing date | |
| NUTRI SYS INC NEW | 67069D108 | COM | 9,250 | $230,000 | thousands by filing date | |
| MADISON SQUARE GARDEN CO | 55826P100 | CL A | 2,839 | $230,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 6,207 | $229,000 | thousands by filing date | |
| CRA INTL INC | 12618T105 | COM | 8,316 | $228,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 15,335 | $228,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 3,952 | $226,000 | thousands by filing date | |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 9,259 | $226,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 6,912 | $226,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 36,442 | $226,000 | thousands by filing date | |
| GSI GROUP INC | 36191C205 | COM | 15,279 | $226,000 | thousands by filing date | |
| CORELOGIC INC | 21871D103 | COM | 5,781 | $225,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 8,289 | $224,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 8,234 | $223,000 | thousands by filing date | |
| FTI CONSULTING INC | 302941109 | COM | 5,472 | $223,000 | thousands by filing date | |
| PLEXUS CORP COM | 729132100 | Stock | 5,048 | $222,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 23,989 | $221,000 | thousands by filing date | |
| RENASANT CORP | 75970E107 | COM | 6,916 | $221,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 4,300 | $221,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 12,852 | $221,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 4,814 | $220,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 8,989 | $220,000 | thousands by filing date | |
| CEPHEID | 15670R107 | COM | 3,600 | $219,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 12,002 | $219,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 38,775 | $218,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 4,474 | $218,000 | thousands by filing date | |
| PTC INC COM | 69370C100 | Stock | 5,271 | $217,000 | thousands by filing date | |
| FRANKLIN ELEC INC COM | 353514102 | Stock | 6,577 | $216,000 | thousands by filing date | |
| FBL FINL GROUP INC | 30239F106 | CL A | 3,800 | $216,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 358,200 | $214,000 | thousands by filing date | put |
| CITY HOLDING CO | 177835105 | COMMON STOCK | 4,349 | $212,000 | thousands by filing date | |
| GUIDANCE SOFTWARE INC | 401692108 | COM | 24,970 | $212,000 | thousands by filing date | |
| ATI INC COM | 01741R102 | Stock | 6,751 | $211,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 4,486 | $211,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 3,987 | $210,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 9,620 | $210,000 | thousands by filing date | |
| KAMAN CORP-CLASS A | 483548103 | COM | 4,992 | $210,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 8,832 | $210,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 16,474 | $209,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 8,157 | $209,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 10,667 | $209,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 9,171 | $209,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 2,986 | $208,000 | thousands by filing date | |
| BEACON FINANCIAL CORP. | 084680107 | COM | 7,413 | $208,000 | thousands by filing date | |
| INFINERA CORP | 45667G103 | COMMON STOCK | 10,288 | $206,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 2,603 | $205,000 | thousands by filing date | |
| WOLVERINE WORLD WIDE INC | 978097103 | COM | 7,254 | $205,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 4,525 | $205,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 13,040 | $203,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 1,917 | $203,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 16,181 | $203,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 3,700 | $202,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 38,459 | $201,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 8,312 | $200,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 22,315 | $198,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 17,416 | $198,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 8,000 | $197,000 | thousands by filing date | call |
| CNO FINL GROUP INC | 12621E103 | COM | 10,442 | $193,000 | thousands by filing date | |
| VERIS RESIDENTIAL INC | 554489104 | COM | 10,117 | $189,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 27,720 | $188,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 51,850 | $186,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 19,483 | $183,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 24,102 | $181,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283100 | COM | 1,900 | $181,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 18,693 | $178,000 | thousands by filing date | |
| LAKELAND BANCORP INC | 511637100 | COM | 15,011 | $177,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 20,849 | $177,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,164 | $176,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 19,619 | $176,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 43,612 | $176,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 6,752 | $176,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 2,000 | $175,000 | thousands by filing date | put |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 2,000 | $175,000 | thousands by filing date | call |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 7,729 | $175,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 11,124 | $175,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383105 | COM | 26,274 | $171,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 10,317 | $170,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 55,430 | $166,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 26,000 | $166,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 11,890 | $165,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 10,351 | $164,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,000 | $164,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 82,127 | $164,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 10,450 | $162,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 5,707 | $161,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 12,054 | $161,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 11,330 | $161,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 21,196 | $160,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 32,086 | $159,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 10,493 | $155,000 | thousands by filing date | |
| SCIQUEST INC NEW | 80908T101 | COM | 10,288 | $154,000 | thousands by filing date | |
| HERITAGE CRYSTAL CLEAN INC | 42726M106 | COM | 10,431 | $153,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 32,290 | $152,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 26,000 | $151,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 24,000 | $150,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 27,244 | $149,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 30,000 | $149,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 135,000 | $148,000 | thousands by filing date | principal |
| VICOR CORP | 925815102 | COM | 12,550 | $147,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 14,076 | $146,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 26,631 | $144,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 14,512 | $142,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 100,000 | $141,000 | thousands by filing date | principal |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 19,888 | $139,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 14,006 | $137,000 | thousands by filing date | |
| DENNYS CORP | 24869P104 | COM | 12,171 | $136,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 100,000 | $128,000 | thousands by filing date | principal |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 69,000 | $120,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 53,960 | $118,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 48,899 | $117,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 15,464 | $114,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 6,966 | $114,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 15,600 | $110,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 18,200 | $110,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 19,163 | $109,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 87,000 | $106,000 | thousands by filing date | principal |
| GTX INC | 40052B108 | COM | 71,555 | $105,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 16,100 | $103,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 7,757 | $103,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 45,331 | $103,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 36,255 | $102,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 8,046 | $101,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 41,357 | $101,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 4,800 | $101,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 29,135 | $99,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 7,182 | $98,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 18,800 | $98,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 13,813 | $95,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AY9 | NOTE 3.000%11/1 | 105,000 | $95,000 | thousands by filing date | principal |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 21,618 | $94,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 16,558 | $93,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 13,600 | $92,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 143,500 | $88,000 | thousands by filing date | |
| JIAYUAN COM INTL LTD | 477374102 | SPONSORED ADR | 12,343 | $88,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 11,147 | $87,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 5,483 | $87,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 5,483 | $87,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 54,055 | $87,000 | thousands by filing date | |
| RSP PERMIAN INC | 74978Q105 | COM | 3,100 | $87,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 29,000 | $85,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 1,279 | $84,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 10,495 | $84,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 14,087 | $78,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 10,000 | $78,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 10,100 | $77,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 15,253 | $73,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 11,000 | $73,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 1,500 | $69,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 2,200 | $68,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 3,000 | $68,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 12,000 | $67,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 58,000 | $67,000 | thousands by filing date | principal |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 30,000 | $63,000 | thousands by filing date | principal |
| Viacom Inc Cl A | 92553P102 | CL A | 956 | $62,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 11,000 | $61,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 17,000 | $61,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875T101 | COM | 1,900 | $60,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10,000 | $58,000 | thousands by filing date | call |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 84,600 | $56,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 50,000 | $53,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075402 | COM | 3,300 | $52,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 21,000 | $52,000 | thousands by filing date | |
| RESTORATION HARDWARE HOLDINGS INC. | 761283AB6 | Note 0.00 7/15 | 50,000 | $50,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 31,000 | $49,000 | thousands by filing date | principal |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 36,000 | $47,000 | thousands by filing date | principal |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 7,520 | $47,000 | thousands by filing date | |
| SWIFT TRANSPORTATION CO | 87074U101 | COM | 1,962 | $46,000 | thousands by filing date | |
| BROADSOFT INC | 11133B409 | COM | 1,322 | $44,000 | thousands by filing date | |
| CHC GROUP LTD | G07021101 | SHS | 31,000 | $44,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 11,000 | $43,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 6,362 | $43,000 | thousands by filing date | |
| RUCKUS WIRELESS INC | 781220108 | COM | 3,790 | $40,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 35,925 | $39,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 1,000 | $36,000 | thousands by filing date | put |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 27,000 | $36,000 | thousands by filing date | principal |
| ALCOA INC | 013817309 | DEP SHS 1/10TH | 869 | $35,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 746 | $33,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 24,000 | $32,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 10,000 | $31,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 2,000 | $30,000 | thousands by filing date | put |
| DEPOMED INC | 249908104 | COM | 1,400 | $29,000 | thousands by filing date | |
| OCULUS INNOVATIVE SCIENCES I | 67575P207 | COM NEW | 21,000 | $29,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,100 | $28,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 27,000 | $28,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 10,066 | $25,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 11,000 | $23,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 500 | $22,000 | thousands by filing date | call |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $22,000 | thousands by filing date | principal |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 33,800 | $19,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 580 | $18,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 11,000 | $17,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 18,180 | $17,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 400 | $16,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,000 | $13,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 170 | $12,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 22 | $3,000 | thousands by filing date | |
| MEDICINES CO | 584688105 | COM | 100 | $3,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 100 | $2,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 51 | $1,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 1,370 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 930 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-15-032083 | this filing | 2015-08-14 | acceptance time not in the bulk data set |