13F-HR filed by TOCQUEVILLE ASSET MANAGEMENT L.P.
TOCQUEVILLE ASSET MANAGEMENT L.P. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-10-31, with 832 holding rows worth $8,329,342,000.
- Accession
- 0001140361-16-084138
- Filer
- CIK 883961
- Filed
- 2016-10-31
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 875 entries on the cover page, a total value of $8,329,342,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,329,342,000 with VALUE read as thousands by filing date, 13F file number 028-03589. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| ASGN INC | 682159108 | COM | 28,100 | $1,020,000 | thousands by filing date | |
| JPMorgan Chase & Co. 7.9 | 46625HHA1 | Corp Bond | 975,000 | $1,002,000 | thousands by filing date | principal |
| Rockhaven Resources Ltd (pvt) | 77340P101 | COM | 6,400,000 | $1,000,000 | thousands by filing date | |
| Canadian Energy Service | 13566W108 | COM | 249,550 | $992,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 62,450 | $987,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 39,059 | $986,000 | thousands by filing date | |
| PNC FINANCIAL 6.125% $1.53125 PFD | 693475857 | PREFERRED | 33,740 | $984,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 33,957 | $983,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 50,900 | $980,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 7,600 | $977,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 6,338 | $967,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 5,550 | $964,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 207,365 | $960,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 15,650 | $939,000 | thousands by filing date | |
| ULTRAGENYX PHARMACEUTICAL IN | 90400D108 | COM | 13,200 | $936,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 19,250 | $936,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 75,000 | $935,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 20,000 | $931,000 | thousands by filing date | |
| FORTUNE BRANDS INNOVATIONS INC COM | 34964C106 | Stock | 15,850 | $921,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 20,928 | $919,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 37,900 | $902,000 | thousands by filing date | |
| COSTAR GROUP INC COM | 22160N109 | Stock | 4,125 | $893,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 17,095 | $889,000 | thousands by filing date | |
| JPMORGAN TR I US LARGE SEL | 4812A2389 | mf | 31,771 | $889,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 20,000 | $880,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 8,310 | $870,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 15,983 | $866,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 48,150 | $857,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 24,300 | $854,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,175 | $852,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 33,000 | $845,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 7,496 | $843,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 24,269 | $839,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 19,771,800 | $825,000 | thousands by filing date | |
| Almadex Minerals Ltd | 020289104 | COM | 1,240,000 | $813,000 | thousands by filing date | |
| HANGER INC | 41043F208 | COMMON STOCK | 95,385 | $811,000 | thousands by filing date | |
| CLOROX CO DEL | 189054109 | COM | 6,335 | $793,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 6,314 | $793,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 9,764 | $788,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 15,175 | $788,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 49,612 | $788,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 11,920 | $785,000 | thousands by filing date | |
| VAIL RESORTS INC COM | 91879Q109 | Stock | 5,001 | $785,000 | thousands by filing date | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 2,757 | $778,000 | thousands by filing date | |
| HSBC Hldgs PLC Sub Cap 8.125% | 404280703 | Pfd Stk | 28,766 | $778,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 101,400 | $777,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 18,500 | $773,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 3,850 | $771,000 | thousands by filing date | |
| East Asia Minerals Corp | 270541105 | COM | 67,623,933 | $771,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 31,805 | $771,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 71,300 | $762,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 9,325 | $761,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 4,105 | $750,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 11,500 | $745,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 14,750 | $744,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 16,000 | $731,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 12,488 | $723,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 6,350 | $721,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 9,450 | $720,000 | thousands by filing date | |
| Citigroup Inc 6.875 PFD | 172967341 | PFD | 25,000 | $720,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 10,156 | $713,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 14,850 | $712,000 | thousands by filing date | |
| ECOLAB INC COM | 278865100 | Stock | 5,840 | $711,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 9,475 | $711,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 6,288 | $709,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 53,150 | $702,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 2,484 | $696,000 | thousands by filing date | |
| NESTLE SA | H57312649 | COM | 8,800 | $693,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,482 | $692,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 11,546 | $686,000 | thousands by filing date | |
| CEB INC | 125134106 | COM | 12,500 | $681,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 15,645 | $680,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 8,895 | $679,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 9,553 | $675,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 100,000 | $675,000 | thousands by filing date | |
| DBV TECHNOLOGIES S A | 23306J101 | ADR | 18,500 | $672,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 20,800 | $670,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 13,950 | $667,000 | thousands by filing date | |
| Zions Bancorp Ser G 6.300% 12/31/49 | 989701859 | Pfd Stk | 22,243 | $666,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 89,425 | $662,000 | thousands by filing date | |
| MARTIN MARIETTA MATLS INC COM | 573284106 | Stock | 3,675 | $658,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 4,000 | $658,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 40,000 | $656,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 16,000 | $655,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 17,668 | $649,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 2,985 | $639,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 35,860 | $639,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 7,536 | $636,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 7,900 | $632,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 23,471 | $632,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 11,765 | $624,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 4,400 | $620,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 5,506 | $620,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 9,050 | $619,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 3,695 | $616,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 5,872 | $612,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 55,000 | $611,000 | thousands by filing date | |
| CHEMTURA CORP | 163893209 | COM NEW | 18,550 | $609,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 16,350 | $604,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 7,474 | $602,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 15,000 | $601,000 | thousands by filing date | |
| FACTSET RESH SYS INC COM | 303075105 | Stock | 3,700 | $600,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 4,775 | $595,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 15,475 | $588,000 | thousands by filing date | |
| Reckitt Benckiser Group PLC | G74079107 | COM | 6,235 | $587,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 5,405 | $585,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 9,004 | $580,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 18,346 | $578,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 8,350 | $566,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 21,600 | $555,000 | thousands by filing date | |
| JUNO THERAPEUTICS INC | 48205A109 | COM | 18,500 | $555,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 13,080 | $548,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 7,040 | $545,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 4,720 | $545,000 | thousands by filing date | |
| PARNASSUS MID CAP GROWTH INVESTOR | 701765109 | NTF EQUITY FUNDS | 12,625 | $543,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 3,550 | $539,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 10,000 | $538,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 6,545 | $532,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 33,600 | $532,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 10,955 | $528,000 | thousands by filing date | |
| LENNOX INTL INC COM | 526107107 | Stock | 3,339 | $524,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 12,240 | $523,000 | thousands by filing date | |
| PACIRA BIOSCIENCES INC COM | 695127100 | Stock | 15,200 | $520,000 | thousands by filing date | |
| BANK OF THE OZARKS | 063904106 | COM | 13,475 | $517,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 18,144 | $517,000 | thousands by filing date | |
| Depository Trust & Clearing Co | 249670aa8 | COM | 500,000 | $516,000 | thousands by filing date | principal |
| HOME BANCSHARES INC COM | 436893200 | Stock | 24,650 | $513,000 | thousands by filing date | |
| MACROGENICS INC | 556099109 | COM | 17,000 | $508,000 | thousands by filing date | |
| ORAMED PHARMACEUTICALS INC | 68403P203 | COM NEW | 70,000 | $508,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 56,035 | $500,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 5,522 | $497,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 4,800 | $496,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 7,529 | $495,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 3,600 | $494,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 33,888 | $490,000 | thousands by filing date | |
| ARALEZ PHARMACEUTICALS INC | 03852X100 | COM | 101,000 | $490,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 10,982 | $488,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 10,571 | $482,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 8,456 | $480,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 20,000 | $476,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 10,315 | $473,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 6,039 | $470,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 50,000 | $468,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 9,807 | $467,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 3,000 | $467,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 13,767 | $466,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 6,240 | $462,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 10,350 | $459,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 25,000 | $452,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E807 | NAT GAS ETF | 17,075 | $451,000 | thousands by filing date | |
| CADENCE DESIGN SYSTEM INC COM | 127387108 | Stock | 17,000 | $434,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 9,902 | $433,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 65,800 | $428,000 | thousands by filing date | |
| WESTERN FOREST PRODS EN | 958211203 | COMMON | 260,000 | $428,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 4,000 | $422,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 7,236 | $415,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 7,857 | $412,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 5,000 | $412,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 10,700 | $404,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 7,843 | $403,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 7,200 | $401,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 4,000 | $399,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 4,732 | $397,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 12,792 | $393,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 5,426 | $392,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 4,950 | $387,000 | thousands by filing date | |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 5,715 | $384,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 12,871 | $382,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 11,650 | $382,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 2,352 | $379,000 | thousands by filing date | |
| BOB EVANS FARMS | 096761101 | COM | 9,816 | $376,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 4,388 | $375,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 12,350 | $375,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 15,000 | $375,000 | thousands by filing date | |
| FAIR ISAAC CORP COM | 303250104 | Stock | 3,000 | $374,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 113,250 | $374,000 | thousands by filing date | |
| Roche Holding AG | H69293217 | COM | 1,500 | $372,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 7,100 | $365,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,780 | $363,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 5,795 | $362,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 64,500 | $359,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 19,533 | $359,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 6,250 | $358,000 | thousands by filing date | |
| SPIRIT AEROSYSTEMS HLDGS INC | 848574109 | COM CL A | 8,000 | $356,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 256,000 | $356,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 4,000 | $354,000 | thousands by filing date | |
| WESTROCK CO | 96145D105 | COM | 7,256 | $352,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 2,800 | $340,000 | thousands by filing date | |
| GLAUKOS CORP COM | 377322102 | Stock | 9,000 | $340,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 375,655 | $340,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC COM | 63633D104 | REIT | 4,300 | $337,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 16,366 | $335,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 35,000 | $328,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 11,157 | $327,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,690 | $327,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 28,600 | $327,000 | thousands by filing date | |
| VANGUARD PRIMECAP ADM | 921936209 | EQUITY FUNDS | 2,953 | $326,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,901 | $323,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 5,700 | $323,000 | thousands by filing date | |
| HARMAN INTL INDS INC | 413086109 | COM | 3,825 | $323,000 | thousands by filing date | |
| PUBLIC STORAGE SER W | 74460w875 | PREFERRED | 12,600 | $323,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 22,400 | $319,000 | thousands by filing date | |
| METTLER TOLEDO INTERNATIONAL COM | 592688105 | Stock | 750 | $315,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 4,568 | $315,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 2,000 | $311,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 6,000 | $311,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 2,600 | $309,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 9,358 | $308,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 5,700 | $306,000 | thousands by filing date | |
| AMERICAN HOMES 4 RENT | 02665T306 | CL A | 14,000 | $303,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 55,000 | $303,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 6,982 | $301,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 4,000 | $299,000 | thousands by filing date | |
| Advisors Inner Circle Fund At | 00769g493 | MF | 18,399 | $296,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 4,830 | $295,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 20,834 | $294,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 4,645 | $293,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,870 | $293,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 9,365 | $291,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 4,250 | $289,000 | thousands by filing date | |
| B/E AEROSPACE INC | 073302101 | COM | 5,600 | $289,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 6,150 | $288,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 3,700 | $286,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 4,150 | $286,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 4,765 | $283,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,550 | $282,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,600 | $280,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC 6.2% $1.55 PFD | 38144X500 | PREFERRED | 10,500 | $274,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 4,542 | $272,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 11,150 | $270,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 15,000 | $270,000 | thousands by filing date | |
| Medtronic Plc | G5960L103 | COM | 3,095 | $267,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 23,842 | $259,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 4,000 | $259,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 18,500 | $256,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 27,500 | $256,000 | thousands by filing date | |
| SPOK HLDGS INC COM | 84863T106 | Stock | 14,310 | $255,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 7,672 | $254,000 | thousands by filing date | |
| Gulfport Energy | 402635304 | COM | 9,000 | $254,000 | thousands by filing date | |
| Deutsche Bk Tst 6.55%Perp Cl 5 | 25153x208 | PFD | 10,750 | $250,000 | thousands by filing date | |
| SLM CORPORATION PFD SER B NON-CUMULATIVE | 78442P502 | Preferred Stock | 5,000 | $247,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 1,257 | $245,000 | thousands by filing date | |
| VCA ANTECH INC | 918194101 | COM | 3,500 | $245,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 4,934 | $244,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,645 | $242,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 4,394 | $241,000 | thousands by filing date | |
| BROOKFIELD PROPERTY PARTRS L | G16249107 | UNIT LTD PARTN | 10,500 | $241,000 | thousands by filing date | |
| AVNET INC COM | 053807103 | Stock | 5,847 | $240,000 | thousands by filing date | |
| PUBLIC STORAGE DEP SHS | 74460W602 | PRF | 9,366 | $240,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 5,000 | $239,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 4,250 | $238,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 4,300 | $238,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475832 | PREFERRED STOCK | 9,300 | $237,000 | thousands by filing date | |
| ARMSTRONG WORLD INDS INC NEW | 04247X102 | COM | 5,700 | $236,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 1,738 | $236,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 12,100 | $236,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 4,885 | $235,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 981 | $235,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 3,027 | $234,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 2,500 | $234,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 6,000 | $234,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 15,850 | $233,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 2,524 | $229,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 25,853 | $226,000 | thousands by filing date | |
| VAN WELLINGTON ADM #571 | 921935201 | MFD | 3,364 | $226,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 7,000 | $225,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 25,000 | $224,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 5,375 | $221,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 4,590 | $220,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,456 | $217,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 8,500 | $217,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 3,000 | $216,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,215 | $216,000 | thousands by filing date | |
| TELEFLEX INCORPORATED | 879369106 | COM | 1,253 | $211,000 | thousands by filing date | |
| SIEMENS AG | D69671218 | COM | 1,800 | $210,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 9,400 | $210,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 9,500 | $207,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,404 | $207,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 5,825 | $207,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 1,047 | $203,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 4,316 | $203,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 22,850 | $198,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 22,100 | $193,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 23,000 | $189,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 10,300 | $187,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 30,031 | $186,000 | thousands by filing date | |
| VICOR CORP | 925815102 | COM | 15,800 | $183,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 14,350 | $182,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 10,000 | $177,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 15,576 | $167,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 12,841 | $165,000 | thousands by filing date | |
| ENN ENERGY HOLDINGS LTD SHS | G3066L101 | COM | 34,000 | $165,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 60,000 | $162,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 12,500 | $157,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 15,000 | $155,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 61,200 | $155,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 20,000 | $153,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 15,700 | $148,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 13,364 | $146,000 | thousands by filing date | |
| AT Mid Cap Equity Fund Institutional Class | 00769G477 | COM | 11,111 | $129,000 | thousands by filing date | |
| CATABASIS PHARMACEUTICALS IN | 14875P107 | COM | 20,000 | $123,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 17,221 | $100,000 | thousands by filing date | |
| Micell Technologies Inc Ser D- | 552990327 | COM | 17,699 | $100,000 | thousands by filing date | |
| Micell Technologies Inc Ser D- | 553993056 | COM | 17,699 | $100,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 50,000 | $88,000 | thousands by filing date | |
| SILVER RANGE RES LTD | 82809p105 | COM | 665,000 | $76,000 | thousands by filing date | |
| Plata Latina Minerals Corp. | 72763R106 | COM | 2,000,000 | $76,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 17,000 | $74,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 22,000 | $69,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 11,250 | $65,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 32,100 | $48,000 | thousands by filing date | |
| Starhub Ltd. | Y8152F132 | COM | 18,000 | $45,000 | thousands by filing date | |
| CANCER GENETICS INC. | 13739u104 | COM | 23,800 | $42,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 10,000 | $40,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 27,800 | $23,000 | thousands by filing date | |
| Energy Fuels | 33812R109 | COM | 29,700 | $14,000 | thousands by filing date | |
| Canarc Resource Corp F | 13722D101 | COM | 131,500 | $13,000 | thousands by filing date | |
| Echelon Diversified Fund LP | 278LP8450 | COM | 11,492 | $12,000 | thousands by filing date | |
| TERRACE ENERGY CORP COM | 88103M102 | COM | 367,800 | $8,000 | thousands by filing date | |
| Immunovaccine Inc | 45254B103 | COMMON | 10,000 | $6,000 | thousands by filing date | |
| FALCON OIL & GAS LTD COM | 306071101 | SHS | 40,000 | $3,000 | thousands by filing date | |
| ABTECH HLDGS INC | 00400H108 | COM | 100,000 | $3,000 | thousands by filing date | |
| Barisan Gold Corp - Reg D | 06759d200 | COM | 78,750 | $2,000 | thousands by filing date | |
| Mirant Corp (Worthless) | 604675991 | COM | 10,320 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ESCROW GENERAL MOTORS CO CVP 0 | 370ESC717 | CONVERT | 110,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Q2 GOLD RES INC | 74731U104 | COM | 80,130 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| KEYON COMMUNICATIONS HOLDINGS | 493312201 | COM | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Colossus Minerals Inc | 19681L109 | COM | 2,045,823 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Colossus Minerals Inc Warrant | 19681L174 | COM | 1,428,945 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Chelsea Therapeutics Contingen | 163esc908 | COM | 80,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Gran Colombia Gold WTS | 38501d147 | COM | 437,500 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PROSENSA HLDGS CVR | N71CVR992 | COM | 11,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-084138 | this filing | 2016-10-31 | acceptance time not in the bulk data set |