13F-HR filed by CREDIT SUISSE AG/
CREDIT SUISSE AG/ filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-15, with 3,780 holding rows worth $110,896,421,000.
- Accession
- 0001140361-17-020723
- Filer
- CIK 824468
- Filed
- 2017-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 17,245 entries on the cover page, a total value of $110,896,421,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $110,896,421,000 with VALUE read as thousands by filing date, 13F file number 028-11379. The quarter's positions are built on this report. 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 |
|---|---|---|---|---|---|---|
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 123,907 | $316,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 12,431 | $314,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 29,888 | $312,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 15,282 | $310,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 302,000 | $309,000 | thousands by filing date | principal |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 314,000 | $309,000 | thousands by filing date | principal |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 22,900 | $306,000 | thousands by filing date | call |
| LEMAITRE VASCULAR INC | 525558201 | COM | 12,438 | $306,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 16,149 | $301,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 7,329 | $300,000 | thousands by filing date | |
| BOINGO WIRELESS INC | 09739C102 | COM | 23,120 | $300,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 25,000 | $298,000 | thousands by filing date | put |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 315,000 | $298,000 | thousands by filing date | principal |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 4,747 | $297,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 10,000 | $296,000 | thousands by filing date | put |
| ENTRAVISION COMMUNICATIONS A | 29382R107 | COMMON STOCK | 47,573 | $295,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 15,572 | $295,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 15,083 | $294,000 | thousands by filing date | |
| CHINA SOUTHN AIRLS LTD | 169409109 | SPON ADR CL H | 8,783 | $292,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 11,099 | $291,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 11,627 | $291,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 14,263 | $290,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 60,744 | $289,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 90,943 | $289,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 50,928 | $289,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 22,403 | $288,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 9,560 | $286,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 6,473 | $286,000 | thousands by filing date | |
| A10 NETWORKS INC | 002121101 | COM | 31,247 | $286,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 19,351 | $285,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 11,680 | $285,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 73,568 | $284,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 15,531 | $283,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 21,253 | $282,000 | thousands by filing date | |
| NEURODERM LTD | M74231107 | ORD SHS | 10,631 | $282,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 281,000 | $281,000 | thousands by filing date | principal |
| CITI TRENDS INC | 17306X102 | COMMON STOCK | 16,490 | $280,000 | thousands by filing date | |
| PARTY CITY HOLDCO INC | 702149105 | COM | 19,953 | $280,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 16,270 | $279,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 25,178 | $279,000 | thousands by filing date | |
| ISHARES TR MSCI UK ETF NEW | 46435G334 | MSCI UK ETF NEW | 8,539 | $278,000 | thousands by filing date | |
| TRIPLE-S MGMT CORP | 896749108 | CL B | 15,858 | $278,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 42,189 | $277,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 45,000 | $277,000 | thousands by filing date | put |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 24,425 | $275,000 | thousands by filing date | |
| REVANCE THERAPEUTICS INC | 761330109 | COM | 13,166 | $274,000 | thousands by filing date | |
| MAMMOTH ENERGY SERVICES INC | 56155L108 | COM | 12,656 | $272,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 16,728 | $272,000 | thousands by filing date | |
| Egalet Corporation | 28226BAB0 | Note 5.50% 4/1/20 | 330,000 | $271,000 | thousands by filing date | principal |
| CARNIVAL PLC ADS | 14365C103 | ADR | 4,665 | $270,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 15,000 | $270,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 37,871 | $269,000 | thousands by filing date | |
| DTE ENERGY CO | 233331883 | UNIT 99/99/9999 | 5,000 | $269,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 6,975 | $268,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 36,828 | $267,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 28,319 | $267,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 31,792 | $267,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 14,524 | $267,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 150,449 | $267,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 35,603 | $265,000 | thousands by filing date | |
| MESA LABS INC COM | 59064R109 | Stock | 2,148 | $264,000 | thousands by filing date | |
| iShares MSCI ACWI Low Carbon Target ETF | 46434V464 | SHS | 2,515 | $263,000 | thousands by filing date | |
| NACCO INDUSTRIES INC CLASS A | 629579103 | COM | 3,729 | $260,000 | thousands by filing date | |
| ENTERCOM COMMUNICATIONS CORP | 293639100 | CL A | 18,088 | $259,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 19,973 | $259,000 | thousands by filing date | |
| BANCORP INC DEL | 05969A105 | COM | 50,389 | $257,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P869 | COM NEW | 13,930 | $257,000 | thousands by filing date | |
| ISHARES TR | 46429B598 | MSCI INDIA ETF | 8,087 | $255,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 34,170 | $254,000 | thousands by filing date | |
| KINSALECAPGROUPINC | 49714P108 | STOK | 7,886 | $252,000 | thousands by filing date | |
| UNITS-GRANITE REIT-STAPL | 387437114 | UNIT 99/99/9999 | 7,160 | $250,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 4,401 | $247,000 | thousands by filing date | |
| BT GROUP-ADR | 05577E101 | ADR | 12,313 | $247,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 15,016 | $247,000 | thousands by filing date | |
| PARK OHIO HOLDINGS CORP | 700666100 | COMMON STOCK | 6,845 | $246,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 108,322 | $246,000 | thousands by filing date | |
| JOHNSON OUTDOORS INC A | 479167108 | COMMON STOCK | 6,711 | $245,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,000 | $243,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 239,000 | $243,000 | thousands by filing date | principal |
| MAKEMYTRIP LIMITED MAURITIUS SHS | V5633W109 | Stock | 7,000 | $242,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 44,563 | $242,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 19,995 | $240,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 200 | $239,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 12,502 | $239,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 215,000 | $239,000 | thousands by filing date | principal |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 3,737 | $237,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 22,086 | $237,000 | thousands by filing date | |
| RELX PLC SPONSORED ADR | 759530108 | ADR | 11,836 | $235,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 15,739 | $235,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 40,492 | $233,000 | thousands by filing date | |
| NOVELION THERAPEUTICS INC | 67001K202 | COM NEW | 21,660 | $233,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 7,725 | $231,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 10,677 | $231,000 | thousands by filing date | |
| RUBY TUESDAY INC | 781182100 | COMMON STOCK | 82,001 | $231,000 | thousands by filing date | |
| HERITAGE INSURANCE HLDGS INC | 42727J102 | COM | 17,965 | $230,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D787 | VIX MID TERM | 25,050 | $228,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 100,000 | $226,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 48,983 | $225,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 9,927 | $224,000 | thousands by filing date | |
| TUESDAY MORNING CORP | 899035505 | COM NEW | 59,527 | $224,000 | thousands by filing date | |
| CIVITAS SOLUTIONS INC | 17887R102 | COM | 12,150 | $222,000 | thousands by filing date | |
| FERROGLOBE PLC | G33856108 | SHS | 21,436 | $221,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 12,110 | $221,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 8,031 | $220,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 2,300 | $217,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 3,000 | $215,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 84,824 | $215,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 197,296 | $213,000 | thousands by filing date | |
| VSE CORP COM | 918284100 | Stock | 5,190 | $212,000 | thousands by filing date | |
| DULUTH HLDGS INC | 26443V101 | COM CL B | 9,876 | $210,000 | thousands by filing date | |
| ZOES KITCHEN INC | 98979J109 | COM | 11,303 | $209,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 9,080 | $208,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 9,976 | $207,000 | thousands by filing date | |
| GRUPO AVAL ACCIONES Y VALORE | 40053W101 | SPONSORED ADS | 25,300 | $207,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 10,298 | $206,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 34,499 | $205,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 27,197 | $203,000 | thousands by filing date | |
| VERA BRADLEY INC | 92335C106 | COM | 21,765 | $202,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 6,724 | $201,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 16,146 | $201,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 22,287 | $201,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 15,690 | $199,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 24,414 | $197,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 15,331 | $197,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 15,500 | $195,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 307,750 | $191,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 14,000 | $191,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 192,000 | $191,000 | thousands by filing date | principal |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 49,141 | $190,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 11,788 | $187,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 29,231 | $187,000 | thousands by filing date | |
| APPLIED GENETIC TECHNOL CORP | 03820J100 | COM | 27,110 | $187,000 | thousands by filing date | |
| ASSERTIO THERAPEUTICS INC | 249908AA2 | NOTE 2.500% 9/0 | 200,000 | $187,000 | thousands by filing date | principal |
| PENDRELL CORP | 70686R302 | CL A NEW ADDED | 28,760 | $187,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 29,535 | $185,000 | thousands by filing date | |
| AIRMEDIA GROUP INC | 009411109 | ADR | 66,700 | $184,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 29,971 | $182,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 13,391 | $182,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367PAB6 | NOTE 2.000% 6/1 | 260,000 | $182,000 | thousands by filing date | principal |
| CHANNELADVISOR CORP | 159179100 | COM | 16,105 | $180,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 21,527 | $179,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,784 | $178,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 15,338 | $177,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 127,253 | $176,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 324,216 | $173,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 18,330 | $169,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 80,470 | $164,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 33,971 | $162,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 92,441 | $162,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 26,936 | $162,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 31,576 | $160,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 12,200 | $158,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 18,998 | $157,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 17,900 | $155,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 19,471 | $152,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 12,146 | $150,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 37,898 | $149,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 18,327 | $149,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 73,265 | $147,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 51,532 | $146,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAH0 | NOTE 4.250% 5/0 | 148,000 | $145,000 | thousands by filing date | principal |
| TIPTREE INC | 88822Q103 | COM | 19,715 | $144,000 | thousands by filing date | |
| CEMPRA INC | 15130J109 | COM | 38,318 | $144,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 12,019 | $143,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 24,739 | $142,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 24,138 | $142,000 | thousands by filing date | |
| DIGI INTL INC | 253798102 | COM | 11,860 | $141,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 63,458 | $140,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 15,605 | $140,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 34,738 | $139,000 | thousands by filing date | |
| BURCON NUTRASCIENCE CORP | 120831102 | COM | 89,100 | $139,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 13,630 | $137,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 14,879 | $132,000 | thousands by filing date | |
| COSTAMARE INC | Y1771G102 | SHS | 19,671 | $131,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 14,847 | $127,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 34,103 | $125,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 11,551 | $124,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 13,262 | $123,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 23,608 | $121,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 40,149 | $121,000 | thousands by filing date | |
| STAAR SURGICAL CO COM PAR $0.01 | 852312305 | Stock | 11,830 | $116,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 61,803 | $115,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q118 | *W EXP 09/09/202 | 64,173 | $113,000 | thousands by filing date | call |
| LIQUIDITY SVCS INC | 53635B107 | COM | 13,948 | $112,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 10,834 | $111,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 10,418 | $111,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 14,609 | $111,000 | thousands by filing date | |
| Global Eagle Entertainment | 37951DAB8 | CONV BOND | 220,000 | $111,000 | thousands by filing date | principal |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 11,782 | $106,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 11,034 | $104,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 68,915 | $102,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 10,774 | $102,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 25,129 | $102,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 11,054 | $102,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 14,322 | $100,000 | thousands by filing date | |
| EVERI HLDGS INC | 30034T103 | COM | 20,790 | $99,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 30,611 | $98,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 17,850 | $97,000 | thousands by filing date | |
| SOCIETAL CDMO INC | 75629F109 | COM | 10,824 | $95,000 | thousands by filing date | |
| INSEEGO CORP | 45782BAA2 | NOTE 5.500% 6/1 | 105,000 | $91,000 | thousands by filing date | principal |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 140,847 | $88,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 15,524 | $88,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 31,577 | $88,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 23,545 | $87,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 22,762 | $86,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,488 | $84,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 10,928 | $83,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 12,409 | $82,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 32,990 | $82,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 143,056 | $79,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 21,543 | $79,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 33,064 | $75,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 10,232 | $75,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 12,789 | $74,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 21,117 | $73,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 27,750 | $72,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 17,029 | $72,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 13,661 | $71,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 14,133 | $71,000 | thousands by filing date | |
| FANG HOLDING-ADR | 30711Y102 | ADR | 22,005 | $71,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 14,834 | $70,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 47,544 | $68,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 43,732 | $68,000 | thousands by filing date | |
| NANTHEALTH INC | 630104107 | CMN | 13,109 | $65,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 16,539 | $64,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 12,033 | $63,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 14,537 | $63,000 | thousands by filing date | |
| SIGMA LABS INC | 826598302 | COM PAR | 20,296 | $63,000 | thousands by filing date | |
| VBI VACCINES INC | 91822J103 | COM NEW | 11,256 | $62,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 14,453 | $62,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 15,593 | $62,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 10,161 | $62,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 24,190 | $60,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 15,314 | $60,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 18,723 | $59,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 13,038 | $58,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 22,090 | $58,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 21,028 | $58,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 20,039 | $56,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 12,372 | $56,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907AK4 | NOTE 4.750 2/1 | 40,000 | $56,000 | thousands by filing date | principal |
| ZIX CORP | 98974P100 | COM | 11,133 | $54,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 15,232 | $54,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 17,358 | $53,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 16,818 | $52,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 42,480 | $49,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 12,092 | $48,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 26,160 | $47,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 24,612 | $46,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 29,640 | $46,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 13,127 | $45,000 | thousands by filing date | |
| CASCADIAN THERAPEUTICS INC | 14740B606 | COM NEW | 10,650 | $44,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 17,221 | $43,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 10,356 | $42,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 98,504 | $42,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 10,938 | $40,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 20,715 | $35,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 19,233 | $33,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 12,842 | $33,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 54,985 | $33,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 27,788 | $32,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 16,050 | $31,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 17,129 | $29,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 11,104 | $29,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 11,075 | $28,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 26,378 | $27,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 21,705 | $26,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 21,361 | $26,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,078 | $21,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 37,020 | $17,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,500 | $16,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 13,329 | $16,000 | thousands by filing date | |
| Gevo Inc stock | 374396307 | Stock | 10,394 | $12,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 13,570 | $11,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 15,245 | $11,000 | thousands by filing date | |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 262,097 | $10,000 | thousands by filing date | call |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 15,128 | $10,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 16,888 | $8,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 4,154,276 | $8,000 | thousands by filing date | call |
| CITIGROUP INC | 172967226 | WARRANT | 35,662 | $5,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001140361-17-020723 | this filing | 2017-05-15 | acceptance time not in the bulk data set |