13F-HR filed by CREDIT SUISSE AG/
CREDIT SUISSE AG/ filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-15, with 4,034 holding rows worth $100,707,216,000.
- Accession
- 0001140361-16-086830
- Filer
- CIK 824468
- Filed
- 2016-11-15
- 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, 17,452 entries on the cover page, a total value of $100,707,216,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $100,707,216,000 with VALUE read as thousands by filing date, 13F file number 028-11379. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- included managerCREDIT SUISSE ASSET MANAGEMENT LLC/NY028-03702
- included managerCREDIT SUISSE INTERNATIONAL028-11516
- included managerMultiConcept Fund Management S.A.028-14772
- included managerCredit Suisse Fund Management S.A.028-14783
- included managerCredit Suisse Management LLC028-13525
- included managerCREDIT SUISSE HEDGING-GRIFFO SERVICOS INTERNACIONAIS S.A.028-13460
- included managerCredit Suisse Securities (Canada), Inc.028-13203
- included managerCredit Suisse Life (Bermuda) Ltd.028-14488
- included managerCREDIT SUISSE SECURITIES (EUROPE) LTD028-11518
- included managerCredit Suisse Funds AG028-14785
- included managerCREDIT SUISSE SECURITIES (USA) LLC028-11380
- included managerCREDIT SUISSE CAPITAL LLC/028-11477
- included managerCredit Suisse (Italy) S.p.a.028-13035
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 |
|---|---|---|---|---|---|---|
| 1ST SOURCE CORP COM | 336901103 | Stock | 25,577 | $914,000 | thousands by filing date | |
| ALPHA & OMEGA SEMICONDUCTOR | G6331P104 | SHS | 42,067 | $914,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 37,726 | $912,000 | thousands by filing date | |
| ABAXIS INC | 002567105 | COM | 17,675 | $912,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 48,453 | $912,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 39,017 | $911,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 50,000 | $910,000 | thousands by filing date | put |
| EXTERRAN CORP | 30227H106 | COM | 57,860 | $908,000 | thousands by filing date | |
| LIVEPERSON, INC. | 538146101 | COM | 107,611 | $905,000 | thousands by filing date | |
| NATIONAL WESTN LIFE GROUP IN | 638517102 | CL A | 4,403 | $904,000 | thousands by filing date | |
| MEDIFAST INC | 58470H101 | COM | 23,872 | $903,000 | thousands by filing date | |
| EPR PPTYS | 26884U307 | CONV PFD 9% SR E | 24,280 | $903,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 121,194 | $903,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 269,295 | $902,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 57,814 | $900,000 | thousands by filing date | |
| SERVISFIRST BANCSHARES INC | 81768T108 | COM | 17,271 | $897,000 | thousands by filing date | |
| LIBBEY INC | 529898108 | COM | 50,057 | $894,000 | thousands by filing date | |
| BRIDGE BANCORP INC | 108035106 | COM | 31,270 | $894,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 30,622 | $892,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 138,372 | $891,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 47,888 | $889,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 150,247 | $888,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 26,989 | $887,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 50,375 | $887,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 119,314 | $886,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 487,318 | $883,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D670 | 3X INVERS GOLD | 20,000 | $882,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 294,000 | $880,000 | thousands by filing date | principal |
| ENERGY RECOVERY INC | 29270J100 | COM | 55,096 | $879,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 62,344 | $878,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 43,517 | $877,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 263,937 | $877,000 | thousands by filing date | |
| EXAR CORP | 300645108 | COMMON STOCK | 94,133 | $876,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 884,000 | $876,000 | thousands by filing date | principal |
| BARCLAYS BK PLC | 06740Q252 | IPATH S&P500 VIX | 25,597 | $872,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 61,313 | $870,000 | thousands by filing date | |
| COBIZ FINANCIAL INC | 190897108 | COM | 65,254 | $869,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 870,000 | $868,000 | thousands by filing date | principal |
| MACOM TECH SOLUTIONS HLDGS INC COM | 55405Y100 | Stock | 20,442 | $866,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 42,707 | $866,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC COM | 92828Q109 | Stock | 8,830 | $864,000 | thousands by filing date | |
| RED ROBIN GOURMET BURGERS IN | 75689M101 | COM | 19,232 | $864,000 | thousands by filing date | |
| HERITAGE FINANCIAL CORP | 42722X106 | COMMON STOCK | 47,857 | $860,000 | thousands by filing date | |
| HOMETRUST BANCSHARES INC | 437872104 | COMMON STOCK | 46,418 | $859,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 59,789 | $859,000 | thousands by filing date | |
| KADANT INC | 48282T104 | COM | 16,482 | $858,000 | thousands by filing date | |
| OFG BANCORP | 67103X102 | COM | 84,940 | $858,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 18,315 | $857,000 | thousands by filing date | |
| CARROLS RESTAURANT GROUP INC | 14574X104 | COM | 64,914 | $857,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 67,696 | $856,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 75,780 | $855,000 | thousands by filing date | |
| KINDRED HEALTHCARE INC | 494580103 | COM | 83,568 | $853,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 161,415 | $850,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 25,584 | $849,000 | thousands by filing date | |
| ATRICURE INC | 04963C209 | COM | 53,643 | $849,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 825,000 | $849,000 | thousands by filing date | principal |
| STRAYER ED INC | 863236105 | COM | 18,175 | $848,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 12,100 | $847,000 | thousands by filing date | put |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 531,466 | $845,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 810,000 | $842,000 | thousands by filing date | principal |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 11,004 | $841,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 51,492 | $840,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 88,854 | $838,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 56,800 | $837,000 | thousands by filing date | call |
| REX AMERICAN RESOURCES CORP | 761624105 | COMMON STOCK | 9,884 | $837,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 64,391 | $837,000 | thousands by filing date | |
| HYSTER-YALE INC | 449172105 | CL A | 13,912 | $836,000 | thousands by filing date | |
| CORVEL CORP COM | 221006109 | Stock | 21,745 | $835,000 | thousands by filing date | |
| FOX FACTORY HLDG CORP | 35138V102 | COM | 36,350 | $835,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 49,721 | $834,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 59,338 | $834,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 65,135 | $834,000 | thousands by filing date | |
| FINISH LINE/THE CL A | 317923100 | COM | 36,119 | $834,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 3,482 | $833,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 49,536 | $831,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X799 | DYN PHRMA PORT | 13,460 | $830,000 | thousands by filing date | |
| CIRCOR INTL INC | 17273K109 | COM | 13,926 | $829,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D456 | BACK ETN LK IDX | 61,682 | $829,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621AQ1 | NOTE 1.375% 1/0 | 840,000 | $829,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266SAB2 | NOTE 3.25011/0 | 625,000 | $828,000 | thousands by filing date | principal |
| PEOPLES BANCORP INC | 709789101 | COM | 33,625 | $826,000 | thousands by filing date | |
| GRIFFON CORP | 398433102 | COM | 48,460 | $825,000 | thousands by filing date | |
| MYR GROUP INC | 55405W104 | COM | 27,361 | $824,000 | thousands by filing date | |
| LIVE NATION ENTERTAINMENT IN | 538034AJ8 | NOTE 2.500 5/1 | 761,000 | $824,000 | thousands by filing date | principal |
| SCHOLASTIC CORP COM | 807066105 | Stock | 20,898 | $823,000 | thousands by filing date | |
| ATRION CORPORATION | 049904105 | COMMON STOCK | 1,927 | $823,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y694 | CMN | 27,977 | $815,000 | thousands by filing date | |
| FORESTAR GROUP, INC. | 346233109 | COMMON STOCK | 69,667 | $815,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 8,899 | $814,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 22,507 | $814,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 74,412 | $814,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 48,282 | $813,000 | thousands by filing date | |
| INFINITY PROPERTY & CASUALTY | 45665Q103 | COMMON STOCK | 9,818 | $811,000 | thousands by filing date | |
| HERON THERAPEUTICS INC | 427746102 | COM | 47,040 | $810,000 | thousands by filing date | |
| ADVANCED DRAIN SYS INC DEL COM | 00790R104 | Stock | 33,635 | $809,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 61,053 | $809,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 12,188 | $809,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 34,052 | $807,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 825,000 | $806,000 | thousands by filing date | principal |
| INSTEEL INDS INC | 45774W108 | COM | 22,213 | $805,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 51,675 | $805,000 | thousands by filing date | |
| IXYS CORP | 46600W106 | COMMON STOCK | 66,564 | $802,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 72,467 | $801,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 16,735 | $799,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K273 | COM | 11,379 | $797,000 | thousands by filing date | |
| HUDBAY MINERALS INC COM | 443628102 | Stock | 201,089 | $796,000 | thousands by filing date | |
| NPK INTERNATIONAL INC | 651718504 | COMMON STOCK | 107,843 | $794,000 | thousands by filing date | |
| RPX CORP | 74972G103 | COM | 74,042 | $793,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 102,466 | $789,000 | thousands by filing date | |
| MOMENTA PHARMACEUTICALS INC | 60877T100 | COM | 67,332 | $788,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 19,500 | $786,000 | thousands by filing date | call |
| RUSH ENTERPRISES INC CL A | 781846209 | Stock | 32,087 | $785,000 | thousands by filing date | |
| MULTI-COLOR | 625383104 | COM | 11,894 | $785,000 | thousands by filing date | |
| SUPER MICRO COMPUTER INC | 86800U104 | COM | 33,559 | $784,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 71,604 | $783,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 70,834 | $782,000 | thousands by filing date | |
| NEXPOINT RESIDENTIAL TR INC | 65341D102 | COM | 39,756 | $782,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 905,000 | $781,000 | thousands by filing date | principal |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 10,000 | $781,000 | thousands by filing date | |
| EXPRESS INC | 30219E103 | COMMON STOCK | 65,993 | $779,000 | thousands by filing date | |
| OMNOVA SOLUTIONS INC | 682129101 | COMMON STOCK | 92,324 | $779,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 26,305 | $779,000 | thousands by filing date | |
| QUALITY SYS INC | 747582104 | COM | 68,737 | $778,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 101,166 | $777,000 | thousands by filing date | |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 805,000 | $772,000 | thousands by filing date | principal |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 48,491 | $771,000 | thousands by filing date | |
| BARNES & NOBLE INC | 067774109 | COMMON STOCK | 68,201 | $771,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 62,405 | $770,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 120,020 | $769,000 | thousands by filing date | |
| THIRD PT REINS LTD | G8827U100 | COM | 64,016 | $768,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 38,763 | $767,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 43,365 | $766,000 | thousands by filing date | |
| PAMPA ENERGIA SA | 697660207 | SPONS ADR LVL I | 23,653 | $766,000 | thousands by filing date | |
| ENSIGN GROUP INC | 29358P101 | COM | 38,007 | $765,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 24,565 | $764,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 31,155 | $763,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 81,925 | $763,000 | thousands by filing date | |
| DIME CMNTY BANCSHARES INC COM | 253922108 | Stock | 45,394 | $761,000 | thousands by filing date | |
| BUCKLE INC COM | 118440106 | Stock | 31,587 | $759,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 12,658 | $758,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 79,530 | $758,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 20,567 | $758,000 | thousands by filing date | |
| CENTRAL GARDEN PET CO | 153527106 | COMMON STOCK | 29,153 | $758,000 | thousands by filing date | |
| CBIZ INC | 124805102 | COM | 67,585 | $757,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 16,204 | $757,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 44,070 | $756,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 79,990 | $755,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 44,872 | $753,000 | thousands by filing date | |
| STATE AUTO FINANCIAL CORP | 855707105 | COM | 31,631 | $753,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 55,925 | $750,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 26,155 | $749,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 110,486 | $749,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 15,620 | $748,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 203,702 | $748,000 | thousands by filing date | |
| Alexandria Real Estate E. | 015271505 | CONVERTIBLE PREFERRED STOCK | 21,231 | $748,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 34,736 | $747,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 72,403 | $746,000 | thousands by filing date | |
| PGT INNOVATIONS INC | 69336V101 | COM | 69,879 | $746,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 90,098 | $746,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 14,188 | $744,000 | thousands by filing date | |
| ENANTA PHARMACEUTICALS INC | 29251M106 | COM | 27,927 | $744,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 29,254 | $744,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K778 | SEMICONDUCT BEAR | 50,000 | $744,000 | thousands by filing date | |
| LYDALL INC | 550819106 | COMMON STOCK | 14,526 | $742,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 755,000 | $742,000 | thousands by filing date | principal |
| TEAM INC | 878155100 | COM | 22,630 | $740,000 | thousands by filing date | |
| NELNET INC | 64031N108 | CL A | 18,291 | $739,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 43,810 | $738,000 | thousands by filing date | |
| AEGION CORP | 00770F104 | COMMON STOCK | 38,602 | $737,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 65,862 | $737,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 17,347 | $735,000 | thousands by filing date | |
| NATURAL GAS SERVICES GROUP | 63886Q109 | COMMON STOCK | 29,919 | $735,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 49,779 | $735,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 53,115 | $732,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 119,383 | $731,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 35,423 | $728,000 | thousands by filing date | |
| GTT COMMUNICATIONS INC | 362393100 | COM | 30,925 | $728,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 103,322 | $727,000 | thousands by filing date | |
| RAS 4 10/1/33 | 749227AB0 | Bond 30/360P2 U | 795,000 | $727,000 | thousands by filing date | principal |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 24,997 | $725,000 | thousands by filing date | |
| CARETRUST REIT INC COM | 14174T107 | REIT | 49,034 | $724,000 | thousands by filing date | |
| US ECOLOGY INC COM | 91732J102 | COM | 16,107 | $722,000 | thousands by filing date | |
| AQUINOX PHARMACEUTICALS INC | 03842B101 | COM | 53,888 | $719,000 | thousands by filing date | |
| DERMIRA INC | 24983L104 | COM | 21,219 | $718,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 109,675 | $717,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 123,563 | $716,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 37,255 | $715,000 | thousands by filing date | |
| FIRST BUSEY CORP | 319383204 | COM NEW | 31,626 | $715,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 26,947 | $715,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 575,731 | $715,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 16,029 | $713,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 68,667 | $712,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 653,000 | $712,000 | thousands by filing date | principal |
| VERA BRADLEY INC | 92335C106 | COM | 46,810 | $710,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 85,534 | $709,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B200 | PFD SER A | 14,162 | $709,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 70,012 | $706,000 | thousands by filing date | |
| NCI BUILDING SYSTEMS INC | 628852204 | COM | 48,399 | $706,000 | thousands by filing date | |
| REGIS CORP | 758932107 | COM | 56,271 | $705,000 | thousands by filing date | |
| HCI GROUP INC | 40416E103 | COM | 23,196 | $704,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 103,003 | $701,000 | thousands by filing date | |
| BANCFIRST CORP | 05945F103 | COM | 9,658 | $700,000 | thousands by filing date | |
| PACIFIC PREMIER BANCORP INC | 69478X105 | COM | 26,511 | $700,000 | thousands by filing date | |
| RE MAX HLDGS INC | 75524W108 | CL A | 15,935 | $698,000 | thousands by filing date | |
| HORIZON GLOBAL CORP | 44052W104 | COM | 35,015 | $698,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 71,802 | $695,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767EAB8 | NOTE 2.000 8/1 | 1,055,000 | $695,000 | thousands by filing date | principal |
| SCHULMAN (A.) INC | 808194104 | COM | 23,832 | $694,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 149,819 | $693,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 695,000 | $692,000 | thousands by filing date | principal |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 575,000 | $690,000 | thousands by filing date | principal |
| H2O AMERICA | 784305104 | COM | 15,778 | $689,000 | thousands by filing date | |
| INDEPENDENT BANK GROUP INC | 45384B106 | COM | 15,623 | $689,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256BAE1 | NOTE 2.000% 6/1 | 785,000 | $689,000 | thousands by filing date | principal |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 60,880 | $688,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 123,660 | $687,000 | thousands by filing date | |
| DELTIC TIMBER CORP | 247850100 | COMMON STOCK | 10,140 | $686,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 713,000 | $684,000 | thousands by filing date | principal |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 113,446 | $683,000 | thousands by filing date | |
| INTEGER HLDGS CORP | 45826H109 | COM | 31,478 | $682,000 | thousands by filing date | |
| CROSSAMERICA PARTNERS LP | 22758A105 | UT LTD PTN INT | 26,896 | $682,000 | thousands by filing date | |
| HAVERTY FURNITURE COS INC COM | 419596101 | Stock | 33,968 | $681,000 | thousands by filing date | |
| INTRALINKS HLDGS INC | 46118H104 | COM | 67,554 | $680,000 | thousands by filing date | |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 20,860 | $678,000 | thousands by filing date | |
| PERFICIENT INC | 71375U101 | COM | 33,523 | $676,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 41,951 | $675,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 620,000 | $672,000 | thousands by filing date | principal |
| VNET GROUP INC | 90138A103 | SPONSORED ADS A | 83,678 | $665,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 96,358 | $664,000 | thousands by filing date | |
| WEIBO CORP SPONSORED ADR | 948596101 | ADR | 13,192 | $661,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 17,918 | $659,000 | thousands by filing date | |
| VIRTUSA CORP | 92827P102 | COM | 26,725 | $659,000 | thousands by filing date | |
| SUN HYDRAULICS CORP | 866942105 | COM | 20,415 | $659,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 233,649 | $659,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 645,000 | $658,000 | thousands by filing date | principal |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 48,601 | $657,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 700,000 | $656,000 | thousands by filing date | principal |
| INTL FCSTONE INC | 46116V105 | COM | 16,851 | $653,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 29,691 | $652,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 15,657 | $651,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 746,000 | $648,000 | thousands by filing date | principal |
| ENDOLOGIX INC | 29266SAA4 | NOTE 2.250%12/1 | 674,000 | $648,000 | thousands by filing date | principal |
| FIESTA RESTAURANT GROUP INC | 31660B101 | COM | 26,857 | $643,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 18,662 | $642,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 174,380 | $641,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 22,318 | $640,000 | thousands by filing date | |
| H&E EQUIPMENT SERVICES INC | 404030108 | COM | 38,100 | $639,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X202 | EURO STOXX 50 | 19,475 | $638,000 | thousands by filing date | |
| TRITON INTL LTD | G9078F107 | CL A | 48,335 | $638,000 | thousands by filing date | |
| ORBCOMM INC | 68555P100 | COM | 62,104 | $637,000 | thousands by filing date | |
| OPUS BK IRVINE CALIF | 684000102 | COM | 18,011 | $637,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 67,999 | $636,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 8,574 | $634,000 | thousands by filing date | |
| EXACTECH INC | 30064E109 | COM | 23,428 | $634,000 | thousands by filing date | |
| MARTEN TRANSPORT LTD | 573075108 | COM | 30,067 | $632,000 | thousands by filing date | |
| FTD COS INC | 30281V108 | COM | 30,712 | $632,000 | thousands by filing date | |
| DIREXION DAILY ENERGY BUL 3X | 25459W888 | CMN | 18,945 | $631,000 | thousands by filing date | |
| WEIS MKTS INC COM | 948849104 | Stock | 11,870 | $629,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 8,400 | $629,000 | thousands by filing date | call |
| CAESARS ACQUISITION CO | 12768T103 | CL A | 50,573 | $629,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 87,013 | $628,000 | thousands by filing date | |
| NATIONAL PRESTO INDS INC | 637215104 | COMMON STOCK | 7,122 | $626,000 | thousands by filing date | |
| CALGON CARBON CORP | 129603106 | COM | 41,189 | $625,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 615,000 | $624,000 | thousands by filing date | principal |
| Zagg, Inc. | 98884U108 | COM | 76,918 | $623,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 92,149 | $623,000 | thousands by filing date | |
| KIMBALL INTL INC | 494274103 | CL B | 48,051 | $622,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 14,962 | $621,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 46,202 | $619,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 41,961 | $618,000 | thousands by filing date | |
| LGI HOMES INC COM | 50187T106 | Stock | 16,701 | $616,000 | thousands by filing date | |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 22,631 | $616,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 6,303 | $613,000 | thousands by filing date | |
| FORRESTER RESH INC | 346563109 | COM | 15,773 | $613,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 611,000 | $613,000 | thousands by filing date | principal |
| LEMAITRE VASCULAR INC | 525558201 | COM | 30,846 | $612,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 18,425 | $612,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 96,477 | $612,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 185,581 | $611,000 | thousands by filing date | |
| Arbutus Biopharma Corp | 03879J100 | Common Shares, without par value | 177,260 | $610,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 111,188 | $610,000 | thousands by filing date | |
| PREFERRED BK LOS ANGELES CA | 740367404 | COM NEW | 17,057 | $609,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 16,033 | $609,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 32,408 | $604,000 | thousands by filing date | |
| HAYNES INTL INC | 420877201 | COM NEW | 16,247 | $604,000 | thousands by filing date | |
| INTELIQUENT INC | 45825N107 | COM | 37,399 | $604,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 71,187 | $603,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 19,595 | $602,000 | thousands by filing date | |
| SUNCOKE ENERGY INC | 86722A103 | COMMON STOCK | 75,052 | $602,000 | thousands by filing date | |
| NGL ENERGY PARTNERS LP | 62913M107 | COM UNIT REPST | 31,856 | $600,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 38,162 | $599,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 39,667 | $598,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 9,066 | $597,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 96,055 | $597,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 61,874 | $597,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 52,894 | $596,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRANCH | 22539T456 | ETN LKD 34 | 36,184 | $596,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 572,000 | $594,000 | thousands by filing date | principal |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 105,290 | $593,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 17,225 | $592,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 10,475 | $590,000 | thousands by filing date | |
| CASS INFORMATION SYSTEMS INC | 14808P109 | COMMON STOCK | 10,412 | $590,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 591,000 | $590,000 | thousands by filing date | principal |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 23,401 | $589,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 17,925 | $588,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 57,332 | $588,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 584,000 | $588,000 | thousands by filing date | principal |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 26,436 | $587,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 13,535 | $587,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 19,594 | $586,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 75,718 | $586,000 | thousands by filing date | |
| BLUEPRINT MEDICINES CORP | 09627Y109 | COM | 19,670 | $584,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 85,998 | $584,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 172,822 | $584,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 618,000 | $583,000 | thousands by filing date | principal |
| HEALTHSTREAM INC | 42222N103 | COM | 21,027 | $580,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 55,220 | $579,000 | thousands by filing date | |
| CAPITAL BANK FINANCIAL CORP | 139794101 | COMMON STOCK | 18,011 | $578,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 595,000 | $578,000 | thousands by filing date | principal |
| BENEFITFOCUS INC | 08180D106 | COM | 14,425 | $576,000 | thousands by filing date | |
| NAVIGATOR HLDGS LTD SHS | Y62132108 | Stock | 79,902 | $574,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 44,029 | $574,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 27,981 | $572,000 | thousands by filing date | |
| BLUE NILE INC | 09578R103 | COM | 16,587 | $571,000 | thousands by filing date | |
| SODASTREAM INTERNATIONAL | M9068E105 | LTD | 21,409 | $569,000 | thousands by filing date | |
| WORLD WRESTLING ENTMT INC | 98156Q108 | CL A | 26,661 | $567,000 | thousands by filing date | |
| CONNECTONE BANCORP INC | 20786W107 | COMMON STOCK | 31,331 | $567,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 71,411 | $567,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 130,283 | $565,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 50,000 | $564,000 | thousands by filing date | put |
| COCA COLA CONS INC | 191098102 | COM | 3,784 | $561,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 41,084 | $557,000 | thousands by filing date | |
| ALUMINUM CORP CHINA LTD | 022276109 | SPON ADR H SHS | 60,520 | $557,000 | thousands by filing date | |
| THERMON GROUP HLDGS INC | 88362T103 | COM | 28,199 | $556,000 | thousands by filing date | |
| CREDIT SUISSE AG NASSAU BRH | 22539T100 | EXCH TRAD SPVXSP | 62,861 | $556,000 | thousands by filing date | |
| MODINE MFG CO COM | 607828100 | Stock | 46,782 | $555,000 | thousands by filing date | |
| NOVANTA INC | 67000B104 | COM | 31,946 | $554,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 182,773 | $554,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 41,018 | $552,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 121,397 | $551,000 | thousands by filing date | |
| LOGITECH INTL S A SHS | H50430232 | Stock | 24,500 | $550,000 | thousands by filing date | call |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 100,000 | $549,000 | thousands by filing date | put |
| OMEROS CORP | 682143102 | COM | 48,884 | $546,000 | thousands by filing date | |
| CTS CORP | 126501105 | COM | 29,249 | $544,000 | thousands by filing date | |
| JAMES RIV GROUP LTD | G5005R107 | COM | 15,013 | $543,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 27,158 | $540,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 37,407 | $539,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 178,601 | $538,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 36,197 | $536,000 | thousands by filing date | |
| PRUDENTIAL PLC ADR | 74435K204 | ADR | 14,975 | $535,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 85,303 | $535,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 51,557 | $533,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916503 | COM NEW | 68,407 | $532,000 | thousands by filing date | |
| TVIA 5 10/1/19 | 83415TAC5 | Bond 30/360P2 U | 1,130,000 | $532,000 | thousands by filing date | principal |
| PARK ELECTROCHEMICAL CORP | 700416209 | COM | 30,532 | $531,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 57,872 | $530,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 43,033 | $529,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 26,024 | $527,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 89,428 | $527,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 16,707 | $527,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 36,443 | $527,000 | thousands by filing date | |
| VTTI ENERGY PARTNERS LP COM UNIT RP LT | Y9384M101 | Stock | 27,656 | $527,000 | thousands by filing date | |
| K2M GROUP HLDGS INC | 48273J107 | COM | 29,606 | $526,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 45,752 | $523,000 | thousands by filing date | |
| INVACARE CORP | 461203101 | COMMON STOCK | 46,683 | $521,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 57,375 | $518,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 543,000 | $518,000 | thousands by filing date | principal |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 25,000 | $516,000 | thousands by filing date | put |
| QUIDEL CORP | 74838J101 | COM | 23,421 | $516,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 400,000 | $516,000 | thousands by filing date | principal |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 8,000 | $515,000 | thousands by filing date | call |
| TILLYS INC | 886885102 | CL A | 54,859 | $515,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 155,084 | $512,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 62,060 | $511,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 500,000 | $511,000 | thousands by filing date | principal |
| BLOCK INC CL A | 852234103 | Stock | 43,652 | $510,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 11,905 | $510,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 13,845 | $509,000 | thousands by filing date | |
| GOLD STD VENTURES CORP | 380738104 | COM | 200,000 | $508,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 62,542 | $507,000 | thousands by filing date | |
| SONIC AUTOMOTIVE INC | 83545G102 | CL A | 26,982 | $506,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 7,556 | $505,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 113,223 | $504,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 288,054 | $504,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575AB5 | NOTE 3.75012/1 | 530,000 | $504,000 | thousands by filing date | principal |
| CHINA LODGING GROUP LTD | 16949N109 | SPONSORED ADR | 11,152 | $503,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 42,923 | $501,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 22,024 | $501,000 | thousands by filing date | |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 500,000 | $500,000 | thousands by filing date | principal |
| SITEONE LANDSCAPE SUPPLY INC | 82982L103 | COM | 13,854 | $498,000 | thousands by filing date | |
| ISHARES TR | 46434V712 | MIN VOL JAPN ETF | 8,100 | $498,000 | thousands by filing date | |
| WESTWOOD HOLDINGS GROUP INC | 961765104 | COMMON STOCK | 9,354 | $497,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 52,709 | $497,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 123,067 | $497,000 | thousands by filing date | |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 950,015 | $497,000 | thousands by filing date | principal |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 47,295 | $497,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 97,511 | $495,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 10,847 | $495,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 36,107 | $494,000 | thousands by filing date | |
| TELETECH HOLDINGS INC | 879939106 | COM | 17,027 | $494,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 10,852 | $493,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 22,814 | $493,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 111,405 | $492,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 14,500 | $492,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 41,624 | $491,000 | thousands by filing date | |
| Biglari Holdings | 08986r101 | COM | 1,125 | $490,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 18,573 | $489,000 | thousands by filing date | |
| AMERICAS CAR-MART INC | 03062T105 | COM | 13,423 | $488,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 137,071 | $488,000 | thousands by filing date | |
| LORAL SPACE & COM INC | 543881106 | COM | 12,421 | $486,000 | thousands by filing date | |
| MAINSOURCE FINANCIAL GP INC | 56062Y102 | COM | 19,474 | $485,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 12,578 | $483,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 58,110 | $482,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 12,893 | $482,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 27,059 | $481,000 | thousands by filing date | |
| PTC THERAPEUTICS INC | 69366J200 | COM | 34,189 | $480,000 | thousands by filing date | |
| GERMAN AMERICAN BANCORP | 373865104 | COMMON STOCK | 12,322 | $480,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 12,992 | $479,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 29,551 | $477,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 160,294 | $477,000 | thousands by filing date | |
| XO GROUP INC | 983772104 | COM | 24,604 | $475,000 | thousands by filing date | |
| MOVADO GROUP INC COM | 624580106 | Stock | 22,071 | $474,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 84,343 | $473,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 25,000 | $472,000 | thousands by filing date | put |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 72,360 | $470,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 565,000 | $467,000 | thousands by filing date | principal |
| GLOBANT S A | L44385109 | COM | 11,055 | $466,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 13,200 | $464,000 | thousands by filing date | call |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 17,755 | $464,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 66,787 | $464,000 | thousands by filing date | |
| MOELIS & CO | 60786M105 | CL A | 17,221 | $463,000 | thousands by filing date | |
| GORMAN RUPP CO COM | 383082104 | Stock | 17,868 | $458,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 24,270 | $458,000 | thousands by filing date | |
| CHUY'S HOLDINGS INC | 171604101 | COMMON STOCK | 16,350 | $457,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 9,155 | $456,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 9,700 | $456,000 | thousands by filing date | |
| NORD ANGLIA EDUCATION INC | G6583A102 | SHS | 20,912 | $456,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 11,454 | $456,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 180,082 | $455,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 400,000 | $453,000 | thousands by filing date | principal |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 25,000 | $453,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 32,266 | $451,000 | thousands by filing date | |
| Etfs Phys Platinum Etf | 26922V101 | SH BEN INT | 4,532 | $448,000 | thousands by filing date | |
| ATARA BIOTHERAPEUTICS INC COM NEW | 046513107 | Stock | 20,935 | $447,000 | thousands by filing date | |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 470,000 | $447,000 | thousands by filing date | principal |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 35,470 | $446,000 | thousands by filing date | |
| BCOR 4.25 4/19 | 095229AB6 | Bond 30/360P2 U | 467,000 | $445,000 | thousands by filing date | principal |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 30,000 | $444,000 | thousands by filing date | call |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 74,029 | $442,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 61,941 | $440,000 | thousands by filing date | |
| PROS Holdings Inc | 74346Y103 | Common Stock | 19,462 | $440,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 22,076 | $440,000 | thousands by filing date | |
| RTW HLDGS INC | 749772AB5 | NOTE 5.625%11/1 | 435,000 | $440,000 | thousands by filing date | principal |
| ENDURANCE INTL GROUP HLDGS I | 29272B105 | COM | 50,157 | $439,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 425,000 | $438,000 | thousands by filing date | principal |
| HORTONWORKS INC | 440894103 | COM | 52,313 | $437,000 | thousands by filing date | |
| TANGOE INC/CT | 87582Y108 | COM | 52,911 | $437,000 | thousands by filing date | |
| COLUMBUS MCKINNON CORP NY | 199333105 | COMMON STOCK | 24,473 | $436,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 51,288 | $435,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 22,691 | $434,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 27,245 | $434,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 52,126 | $433,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 31,315 | $433,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 56,190 | $433,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 26,426 | $433,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 45,204 | $432,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 6,066 | $431,000 | thousands by filing date | |
| SP PLUS CORP | 78469C103 | COM | 16,835 | $430,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 91,911 | $429,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 112,661 | $427,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 14,021 | $426,000 | thousands by filing date | |
| SILICOM LTD | M84116108 | ORD | 10,302 | $426,000 | thousands by filing date | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 28,001 | $426,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 101,737 | $426,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 9,900 | $426,000 | thousands by filing date | |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 55,810 | $425,000 | thousands by filing date | |
| SMART & FINAL STORES INC | 83190B101 | COM | 33,307 | $425,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 31,622 | $424,000 | thousands by filing date | |
| MARCUS MILLICHAP INC | 566324109 | COMMON STOCK | 16,172 | $424,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 16,660 | $424,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394103 | COM | 30,234 | $423,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 23,175 | $422,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 3,437 | $420,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 20,090 | $420,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 39,810 | $419,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 17,612 | $418,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 70,464 | $418,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 25,950 | $417,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 155,465 | $417,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 33,413 | $415,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 182,885 | $413,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 22,566 | $413,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 112,572 | $413,000 | thousands by filing date | |
| SMITH & NEPHEW PLC SPDN ADR NEW | 83175M205 | ADR | 12,500 | $409,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 23,881 | $409,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 9,521 | $408,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 22,367 | $408,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 3,191 | $407,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 24,532 | $406,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 12,460 | $404,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-16-086830 | this filing | 2016-11-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001140361-16-090941 | base | 2016-12-28 | acceptance time not in the bulk data set |