13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-15, with 1,217 holding rows worth $30,617,167,000.
- Accession
- 0001140361-16-076350
- Filer
- CIK 1163653
- Filed
- 2016-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 1,559 entries on the cover page, a total value of $30,617,167,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $30,617,167,000 with VALUE read as thousands by filing date, 13F file number 028-10594. A later restatement replaced it, so the quarter does not use it. 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
- included managerNomura Corporate Research & Asset Management Inc.028-13982
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| REGAL REXNORD CORPORATION | 758750103 | COM | 4,392 | $243,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 15,151 | $241,000 | thousands by filing date | |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 96,000 | $240,000 | thousands by filing date | principal |
| TECH DATA CORP | 878237106 | COM | 3,339 | $238,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 22,400 | $237,000 | thousands by filing date | call |
| TORO CO | 891092108 | COM | 2,682 | $236,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,400 | $232,000 | thousands by filing date | |
| BRUKER CORP | 116794108 | COM | 10,060 | $230,000 | thousands by filing date | |
| US FOODS HLDG CORP COM | 912008109 | Stock | 9,500 | $229,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462102 | COM | 3,781 | $228,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 7,500 | $228,000 | thousands by filing date | |
| BELDEN INC COM | 077454106 | Stock | 3,779 | $227,000 | thousands by filing date | |
| UNITED THERAPEUTICS CORP DEL COM | 91307C102 | Stock | 2,149 | $227,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 11,600 | $226,000 | thousands by filing date | |
| Plains Group Hldgs LP | 72651A108 | UT LTD PTNR | 21,700 | $226,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 7,700 | $225,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 3,300 | $224,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 3,790 | $222,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 22,926 | $222,000 | thousands by filing date | |
| EMBRAER S.A. | 29082A107 | SPONSORED ADS | 10,200 | $221,000 | thousands by filing date | |
| LIFEPOINT HEALTH INC | 53219L109 | COM | 3,399 | $221,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 4,000 | $220,000 | thousands by filing date | call |
| HEXCEL CORP NEW | 428291108 | COM | 5,282 | $220,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 5,500 | $220,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 3,800 | $219,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 10,900 | $218,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 4,900 | $217,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A102 | CORN FD SHS | 10,482 | $217,000 | thousands by filing date | |
| FEDERATED HERMES INC CL B | 314211103 | Stock | 7,373 | $214,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 13,740 | $214,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 5,294 | $212,000 | thousands by filing date | |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 7,816 | $210,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 15,200 | $209,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 5,400 | $209,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 5,800 | $209,000 | thousands by filing date | |
| JACK IN THE BOX INC | 466367109 | COM | 2,400 | $206,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,100 | $206,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 7,600 | $205,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 3,500 | $202,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 42,880 | $201,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 5,000 | $198,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 13,016 | $196,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770V102 | COM | 3,334 | $196,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 21,300 | $192,000 | thousands by filing date | call |
| OM ASSET MGMT PLC | G67506108 | SHS | 14,300 | $191,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 2,600 | $190,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 950,600 | $188,000 | thousands by filing date | call |
| MONROE CAPITAL CORP | 610335101 | COM | 12,692 | $188,000 | thousands by filing date | |
| LEXMARK INTL NEW | 529771107 | CL A | 4,900 | $185,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 15,871 | $184,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 27,273 | $184,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 51,453 | $183,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 17,256 | $179,000 | thousands by filing date | |
| ARCHROCK INC | 03957W106 | COM | 19,052 | $179,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,278 | $179,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 2,300 | $179,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 30,648 | $178,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 45,000 | $176,000 | thousands by filing date | put |
| AVON PRODS INC | 054303102 | COM | 45,000 | $176,000 | thousands by filing date | call |
| EXTERRAN CORP | 30227H106 | COM | 13,445 | $173,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 11,300 | $170,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 4,900 | $170,000 | thousands by filing date | put |
| INTRALINKS HLDGS INC | 46118H104 | COM | 26,137 | $170,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 13,600 | $169,000 | thousands by filing date | |
| PAR PAC HOLDINGS INC | 69888T207 | COM NEW | 10,900 | $167,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 15,000 | $161,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 16,500 | $161,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 12,100 | $154,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 14,730 | $154,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 12,694 | $150,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 16,728 | $149,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 23,062 | $148,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 16,600 | $147,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 1,800 | $144,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 10,500 | $144,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 26,131 | $144,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 13,835 | $143,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 10,100 | $142,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 13,090 | $142,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 5,315 | $141,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 1,900 | $141,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 24,700 | $140,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 47,693 | $133,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 10,500 | $131,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 11,168 | $131,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 15,000 | $130,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 10,300 | $128,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 23,160 | $127,000 | thousands by filing date | |
| LESAKA TECHNOLOGIES INC | 64107N206 | CMN | 12,500 | $126,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 136,000 | $126,000 | thousands by filing date | principal |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 5,847 | $122,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 6,855 | $121,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 6,900 | $119,000 | thousands by filing date | |
| HOMEAWAY INC | 43739QAB6 | NOTE 0.125 4/0 | 126,000 | $118,000 | thousands by filing date | principal |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 2,825 | $115,000 | thousands by filing date | |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 71,000 | $114,000 | thousands by filing date | principal |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 5,798,400 | $113,000 | thousands by filing date | call |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 15,000 | $108,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 16,653 | $107,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 25,320 | $106,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 1,035 | $105,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 14,800 | $102,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 10,454 | $101,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 41,772 | $100,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 4,661 | $96,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 25,100 | $96,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 2,200 | $95,000 | thousands by filing date | put |
| MANITOWOC COMPANY INC | 563571108 | COM | 17,736 | $95,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 14,300 | $95,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 10,823 | $94,000 | thousands by filing date | |
| TOLL BROTHERS INC COM | 889478103 | Stock | 3,457 | $93,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 10,367 | $93,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 11,000 | $92,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 3,357 | $92,000 | thousands by filing date | |
| PATTERSON-UTI ENERGY INC | 703481101 | COM | 4,300 | $91,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 19,010 | $89,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 2,500 | $88,000 | thousands by filing date | put |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 21,698 | $88,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 18,479 | $85,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 21,508 | $84,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 17,075 | $84,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 18,000 | $81,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 13,308 | $81,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 10,386 | $80,000 | thousands by filing date | |
| EMERGENT BIOSOLUTIONS INC | 29089Q105 | COM | 2,593 | $78,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 12,382 | $78,000 | thousands by filing date | |
| BANKRATE INC DEL | 06647F102 | COM | 10,200 | $77,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 14,213 | $75,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 12,433 | $75,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075FAA4 | NOTE 2.625%12/0 | 200,000 | $75,000 | thousands by filing date | principal |
| GENWORTH FINL INC | 37247D106 | COM SHS | 28,024 | $74,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 15,800 | $74,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 14,096 | $74,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 14,200 | $74,000 | thousands by filing date | |
| COLONY STARWOOD | 19625X102 | Common Stock | 2,400 | $73,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 66,558 | $72,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 19,573 | $71,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 7,600 | $70,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 11,800 | $69,000 | thousands by filing date | |
| MERITOR INC | 59001K100 | COMMON STOCK | 9,321 | $69,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 16,120 | $69,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 11,256 | $68,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 340,000 | $67,000 | thousands by filing date | put |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 12,100 | $67,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 75,000 | $67,000 | thousands by filing date | principal |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 1,500 | $65,000 | thousands by filing date | |
| CIVEO CORP CDA | 17878Y108 | COM | 35,828 | $65,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 4,100 | $64,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 13,000 | $63,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 9,422 | $62,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 18,712 | $62,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 3,850 | $62,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 3,300 | $61,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 54,734 | $61,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 3,577 | $59,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 2,079 | $58,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 14,253 | $57,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 1,388 | $55,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 11,346 | $54,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U120 | SHS CL C | 1,805 | $52,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 12,854 | $51,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 11,175 | $50,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 34,000 | $50,000 | thousands by filing date | |
| ONCOSEC MED INC | 68234L207 | COM NEW | 29,300 | $50,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 4,266 | $44,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 18,000 | $44,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 23,954 | $43,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R108 | COM | 103,000 | $41,000 | thousands by filing date | call |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 2,061 | $41,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 16,000 | $41,000 | thousands by filing date | |
| INCONTACT INC | 45336E109 | COM | 2,862 | $38,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 13,000 | $37,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 21,017 | $36,000 | thousands by filing date | |
| PRIMA BIOMED LTD | 74154B203 | SPON ADR LVL II | 37,229 | $36,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 12,700 | $36,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 31,000 | $35,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 39,900 | $34,000 | thousands by filing date | |
| XG TECHNOLOGY INC | 98372A606 | COM NEW | 35,000 | $34,000 | thousands by filing date | |
| GAFISA S A | 362607301 | SPONS ADR | 27,500 | $33,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 14,000 | $30,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 16,457 | $29,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 600 | $28,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 11,910 | $28,000 | thousands by filing date | |
| BROADSOFT INC | 11133BAB8 | NOTE 1.500% 7/0 | 21,000 | $24,000 | thousands by filing date | principal |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 24,763 | $24,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 11,523 | $24,000 | thousands by filing date | |
| INTEGRA LIFESCIENCES HLD | 457985AK5 | NOTE | 16,000 | $24,000 | thousands by filing date | principal |
| BAXTER INTL INC | 071813109 | COM | 500 | $22,000 | thousands by filing date | |
| SINA CORP | G81477104 | ORD | 400 | $21,000 | thousands by filing date | |
| ARTISAN PARTNERS ASSET MGMT I CL A | 04316A108 | Stock | 700 | $20,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 1,100 | $18,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 19,000 | $18,000 | thousands by filing date | principal |
| EZCORP INC | 302301106 | CL A NON VTG | 2,300 | $17,000 | thousands by filing date | put |
| HEARTWARE INTL INC | 422368100 | COM | 300 | $17,000 | thousands by filing date | |
| N 0.25 6/1/18 | 64118QAB3 | Bond 30/360P2 U | 17,000 | $17,000 | thousands by filing date | principal |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 15,331 | $17,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 200 | $16,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 499 | $16,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 765,000 | $15,000 | thousands by filing date | put |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 26,904 | $15,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 22,603 | $15,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 300 | $14,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 21,900 | $14,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 44,073 | $13,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 626,639 | $12,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 13,000 | $11,000 | thousands by filing date | principal |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 8,000 | $11,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229508 | COM B SIRIUSXM | 300 | $10,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 200 | $9,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 129 | $8,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 359 | $7,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 400 | $6,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 22,170 | $5,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924127 | *W EXP 01/17/201 | 1,284 | $2,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 28 | $1,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 912 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 3,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-076350 | this filing | 2016-08-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-078600 | base | 2016-09-02 | acceptance time not in the bulk data set |