13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-15, with 2,887 holding rows worth $32,145,749,000.
- Accession
- 0001172661-16-004345
- Filer
- CIK 1283072
- 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, 5,910 entries on the cover page, a total value of $32,145,749,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $32,145,749,000 with VALUE read as thousands by filing date, 13F file number 028-12836. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC028-11097
- included managerGUGGENHEIM FUNDS DISTRIBUTORS, LLC028-12550
- included managerSECURITY INVESTORS LLC028-01689
- included managerGuggenheim Partners Investment Management, LLC028-12837
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 |
|---|---|---|---|---|---|---|
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 14,788 | $363,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 42,455 | $360,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 12,416 | $360,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 21,890 | $359,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 6,010 | $357,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 16,011 | $357,000 | thousands by filing date | |
| ENEL GENERACION CHILE S A | 29244T101 | SPONSORED ADR | 17,879 | $355,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 5,546 | $354,000 | thousands by filing date | |
| PRIMERICA INC | 74164M108 | COM | 6,657 | $353,000 | thousands by filing date | |
| NUVEEN LG/SHT COMMODITY TOTR | 670731108 | COM UT BEN INT | 26,728 | $353,000 | thousands by filing date | |
| SHUTTERSTOCK INC COM | 825690100 | Stock | 5,512 | $351,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 3,366 | $351,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 14,808 | $350,000 | thousands by filing date | |
| TRI POINTE HOMES INC | 87265H109 | COM | 26,580 | $350,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 21,258 | $349,000 | thousands by filing date | |
| TEXTAINER GROUP HOLDINGS LTD | G8766E109 | SHS | 46,435 | $348,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 19,722 | $348,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 11,566 | $348,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 26,537 | $347,000 | thousands by filing date | |
| DELEK US HOLDINGS INC | 246647101 | COMMON STOCK | 19,823 | $343,000 | thousands by filing date | |
| MASTEC INC COM | 576323109 | Stock | 11,489 | $342,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 11,960 | $342,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 43,001 | $342,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 12,712 | $339,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 20,345 | $335,000 | thousands by filing date | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 15,708 | $333,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 12,705 | $331,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 354 | $329,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC COM | 21925Y103 | Stock | 7,159 | $329,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 11,418 | $325,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 26,627 | $323,000 | thousands by filing date | |
| DAVE & BUSTERS ENTMT INC | 238337109 | COM | 8,228 | $322,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 5,999 | $321,000 | thousands by filing date | |
| PARAGON COML CORP COM NEW | 69911U403 | Stock | 8,849 | $321,000 | thousands by filing date | |
| VIPER | 92763M105 | COMMON STOCK | 19,844 | $320,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 116,582 | $317,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 36,292 | $315,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 3,163 | $315,000 | thousands by filing date | |
| KRONOS WORLDWIDE INC COM | 50105F105 | Stock | 37,755 | $313,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 12,001 | $313,000 | thousands by filing date | |
| GETTY RLTY CORP NEW COM | 374297109 | REIT | 12,990 | $311,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 43,491 | $309,000 | thousands by filing date | |
| FERRARI N V | N3167Y103 | COM | 5,939 | $308,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 47,697 | $307,000 | thousands by filing date | |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 13,399 | $307,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 8,194 | $306,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 20,182 | $306,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 47,649 | $305,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 4,241 | $304,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 11,605 | $302,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 13,447 | $302,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 6,205 | $302,000 | thousands by filing date | |
| GLOBAL NET LEASE INC | 379378102 | COM | 36,997 | $302,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 12,188 | $301,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 126,709 | $300,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 14,989 | $299,000 | thousands by filing date | |
| WRIGHT MED GROUP N V | N96617118 | ORD SHS | 12,131 | $298,000 | thousands by filing date | |
| EPAM SYS INC COM | 29414B104 | Stock | 4,285 | $297,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 8,915 | $297,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 29,860 | $297,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 91,530 | $296,000 | thousands by filing date | |
| HOWARD HUGHES CORPORATION | 44267D107 | COMMON STOCK | 2,574 | $295,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 17,375 | $293,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 11,321 | $292,000 | thousands by filing date | |
| NEW YORK TIMES CO MTN BE CL A | 650111107 | Stock | 24,322 | $291,000 | thousands by filing date | |
| ACADIA HEALTHCARE COMPANY INC COM | 00404A109 | Stock | 5,845 | $290,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 16,454 | $290,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 14,551 | $289,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 2,134 | $287,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 12,721 | $287,000 | thousands by filing date | |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 16,934 | $287,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 17,734 | $285,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 49,630 | $285,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 15,030 | $284,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,777 | $284,000 | thousands by filing date | |
| KATE SPADE & COMPANY | 485865109 | COMMON STOCK | 16,486 | $282,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 21,376 | $281,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 10,733 | $281,000 | thousands by filing date | |
| MSC INDL DIRECT INC CL A | 553530106 | Stock | 3,818 | $280,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 44,108 | $279,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 2,600 | $278,000 | thousands by filing date | |
| FORWARD AIR CORP | 349853101 | COM | 6,430 | $278,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 58,772 | $278,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 24,416 | $278,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 41,116 | $277,000 | thousands by filing date | |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 9,737 | $276,000 | thousands by filing date | |
| CUBIC CORP | 229669106 | COM | 5,833 | $273,000 | thousands by filing date | |
| VEECO INSTRS INC DEL COM | 922417100 | Stock | 13,798 | $271,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 5,025 | $270,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 13,932 | $270,000 | thousands by filing date | |
| EPLUS INC | 294268107 | COM | 2,851 | $269,000 | thousands by filing date | |
| ROGERS CORP COM | 775133101 | Stock | 4,379 | $267,000 | thousands by filing date | |
| DIODES INC COM | 254543101 | Stock | 12,417 | $265,000 | thousands by filing date | |
| SILGAN HLDGS INC | 827048109 | COM | 5,243 | $265,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 30,917 | $264,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 38,904 | $263,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 22,580 | $262,000 | thousands by filing date | |
| WATERSTONE FINL INC MD | 94188P101 | COM | 15,388 | $262,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 1,779 | $260,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 7,060 | $260,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 39,864 | $258,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 30,136 | $258,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 56,548 | $253,000 | thousands by filing date | |
| ANIKA THERAPEUTICS INC | 035255108 | COM | 5,244 | $251,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 10,752 | $251,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 16,689 | $251,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 4,901 | $249,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 5,121 | $248,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 22,456 | $246,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 14,280 | $245,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 13,744 | $240,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 9,007 | $240,000 | thousands by filing date | |
| ALEXANDERS INC COM | 014752109 | REIT | 570 | $239,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 41,432 | $238,000 | thousands by filing date | |
| WOORI BK | 98105T104 | ADR | 7,500 | $236,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 30,261 | $235,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 44,227 | $233,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 26,791 | $233,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 19,621 | $232,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 6,118 | $232,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 4,206 | $232,000 | thousands by filing date | |
| EMERGE ENERGY SVCS LP | 29102H108 | COM REP PARTN | 17,772 | $232,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 14,795 | $231,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 5,048 | $231,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 4,137 | $230,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 3,104 | $228,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 11,513 | $228,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 58,451 | $226,000 | thousands by filing date | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 4,418 | $224,000 | thousands by filing date | |
| ENDESA AMERS SA | 29261D104 | SPON ADR ADDED | 16,300 | $224,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 28,884 | $223,000 | thousands by filing date | |
| MASONITE INTERNATIONAL CORP | 575385109 | COMMON STOCK-FO | 3,584 | $223,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 17,469 | $222,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 6,369 | $221,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 4,954 | $218,000 | thousands by filing date | |
| ETHAN ALLEN INTERIORS INC | 297602104 | COM | 6,923 | $217,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 11,261 | $216,000 | thousands by filing date | |
| INDUSTRIAS BACHOCO S A B DE | 456463108 | ADR | 4,311 | $216,000 | thousands by filing date | |
| ENCORE WIRE CORP | 292562105 | COM | 5,835 | $215,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 259,493 | $215,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 24,542 | $212,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 7,333 | $212,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 5,774 | $211,000 | thousands by filing date | |
| UNITED FIRE GROUP INC | 910340108 | COMMON STOCK | 4,962 | $210,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 9,184 | $210,000 | thousands by filing date | |
| FIVE BELOW INC COM | 33829M101 | Stock | 5,186 | $209,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 17,953 | $209,000 | thousands by filing date | |
| WSFS FINL CORP | 929328102 | COM | 5,712 | $209,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 59,773 | $208,000 | thousands by filing date | |
| GUGGENHEIM STRATEGIC OPPORTU | 40167F101 | COM SBI | 10,851 | $207,000 | thousands by filing date | |
| GREENHILL & CO INC COM | 395259104 | Stock | 8,792 | $207,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 19,227 | $206,000 | thousands by filing date | |
| DINE BRANDS GLOBAL INC | 254423106 | COM | 2,587 | $205,000 | thousands by filing date | |
| MILLER HOWARD HIGH INC EQTY | 600379101 | COM SHS BEN IN | 16,459 | $205,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 14,498 | $204,000 | thousands by filing date | |
| BARRETT BUSINESS SVCS INC | 068463108 | COM | 4,112 | $204,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 11,711 | $204,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 8,164 | $204,000 | thousands by filing date | |
| CORE-MARK HOLDING CO INC | 218681104 | COMMON STOCK | 5,678 | $203,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 4,659 | $199,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 10,705 | $197,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 79,665 | $197,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 65,146 | $197,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 12,877 | $194,000 | thousands by filing date | |
| CHEETAH MOBILE INC SPONSORED ADS | 163075104 | ADR | 15,486 | $193,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 23,902 | $191,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 20,261 | $191,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 10,334 | $190,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 3,808 | $188,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 10,720 | $187,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 17,193 | $186,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 17,342 | $186,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 23,090 | $186,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 10,374 | $185,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 28,343 | $184,000 | thousands by filing date | |
| BANC OF CALIFORNIA INC | 05990K106 | COMMON STOCK | 10,326 | $180,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 25,953 | $179,000 | thousands by filing date | |
| PRINCIPAL REAL ESTATE INCOME | 74255X104 | SHS BEN INT | 10,114 | $179,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 86,984 | $179,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 23,781 | $177,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 17,001 | $177,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 28,284 | $176,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 35,590 | $175,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 41,008 | $174,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 41,319 | $173,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 17,568 | $172,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 21,210 | $170,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 33,861 | $168,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 38,001 | $168,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 11,010 | $165,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 10,112 | $163,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 22,581 | $158,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 11,206 | $157,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 13,750 | $154,000 | thousands by filing date | |
| AXCELIS TECHNOLOGIES INC | 054540208 | COM NEW | 11,464 | $152,000 | thousands by filing date | |
| PINNACLE ENTMT INC NEW | 72348Y105 | COM | 11,889 | $147,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 24,755 | $146,000 | thousands by filing date | |
| TARENA INTL INC | 876108101 | SPONSORED ADS | 10,092 | $146,000 | thousands by filing date | |
| CNINSURE INC | 18976M103 | SPONSORED ADR | 19,023 | $146,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 19,457 | $144,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 24,178 | $144,000 | thousands by filing date | |
| RetailMeNot Inc | 76132B106 | COM SER 1 | 14,495 | $143,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 24,481 | $136,000 | thousands by filing date | |
| IXIA | 45071R109 | COM | 10,898 | $136,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 22,944 | $134,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 16,332 | $133,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 21,292 | $132,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 13,840 | $131,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 11,550 | $128,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 32,793 | $128,000 | thousands by filing date | |
| GENMARK DIAGNOSTICS INC | 372309104 | COM | 10,655 | $126,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 1,453 | $125,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 11,268 | $124,000 | thousands by filing date | |
| PHOENIX NEW MEDIA LTD | 71910C103 | SPONSORED ADR | 31,888 | $124,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 10,167 | $120,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 13,921 | $120,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 26,860 | $116,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 154,628 | $116,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 6,363 | $111,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 22,931 | $111,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 16,338 | $110,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 14,836 | $109,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 10,421 | $109,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 63,750 | $107,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 15,386 | $105,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 25,688 | $104,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 16,743 | $102,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 57,474 | $102,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 16,389 | $102,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 15,115 | $100,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 20,678 | $99,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 13,533 | $98,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 10,086 | $97,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 22,301 | $97,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 10,504 | $97,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 22,540 | $92,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 12,932 | $92,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 15,374 | $91,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 16,556 | $91,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972A301 | COM NEW | 10,240 | $88,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 10,520 | $88,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 24,894 | $88,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 23,738 | $87,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 10,382 | $86,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 10,403 | $86,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 11,309 | $84,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 10,317 | $84,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 12,000 | $83,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 11,804 | $80,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 33,362 | $80,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 31,092 | $80,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 10,169 | $77,000 | thousands by filing date | |
| MONSTER WORLDWIDE INC | 611742107 | COM | 20,879 | $75,000 | thousands by filing date | |
| SERVICESOURCE INTL LLC | 81763U100 | COM | 14,416 | $70,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,265 | $68,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 11,972 | $68,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 50,433 | $68,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 14,078 | $66,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 16,105 | $66,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 13,277 | $65,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 10,369 | $65,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 10,650 | $63,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 18,311 | $62,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 20,372 | $62,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 38,258 | $62,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 11,432 | $61,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 21,139 | $57,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 56,215 | $57,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 3,440 | $56,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 12,357 | $55,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 11,558 | $51,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 56,897 | $51,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 11,579 | $49,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 49,927 | $46,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 10,788 | $45,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 14,016 | $44,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 15,315 | $44,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 11,697 | $44,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 15,096 | $44,000 | thousands by filing date | |
| GSE SYS INC | 36227k106 | COM | 15,110 | $44,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 12,420 | $43,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,227 | $43,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 14,161 | $41,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 10,248 | $41,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,545 | $41,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 12,904 | $40,000 | thousands by filing date | |
| COWEN GROUP INC-CLASS A | 223622101 | CL A | 10,964 | $40,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 19,355 | $37,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 26,064 | $36,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 39,008 | $34,000 | thousands by filing date | |
| APTEVO THERAPEUTICS INC | 03835L108 | COM | 12,352 | $32,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 13,693 | $31,000 | thousands by filing date | |
| AEGERION PHARMACEUTICALS INC | 00767E102 | COM | 10,124 | $30,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 5,203 | $30,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 29,069 | $29,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 11,613 | $29,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 17,569 | $28,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 18,553 | $28,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 16,729 | $28,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,357 | $27,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 15,631 | $27,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 13,775 | $26,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,655 | $26,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 14,661 | $26,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 15,322 | $26,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 60,640 | $26,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 14,095 | $26,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 942 | $26,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 18,158 | $25,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 20,610 | $25,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,896 | $25,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 10,258 | $25,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,124 | $24,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 17,271 | $24,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 63,017 | $24,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 21,335 | $23,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,594 | $23,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,398 | $23,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 10,918 | $23,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 20,556 | $23,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 12,606 | $22,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 12,407 | $22,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 15,071 | $21,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 11,998 | $21,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 12,517 | $21,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 10,731 | $20,000 | thousands by filing date | |
| XOMA CORP DEL | 98419J107 | COM | 43,276 | $20,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 11,957 | $20,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 22,432 | $19,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 13,151 | $19,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 45,063 | $19,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 1,174 | $19,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 25,561 | $19,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 10,446 | $19,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 24,318 | $19,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 20,010 | $19,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 15,286 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 24,340 | $18,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 13,301 | $18,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,232 | $17,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 14,095 | $17,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 13,846 | $17,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 22,157 | $17,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 18,454 | $16,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 51,217 | $16,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 26,429 | $16,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 10,496 | $15,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 27,644 | $15,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 12,661 | $15,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 22,631 | $15,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 11,911 | $15,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 18,263 | $15,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 18,065 | $15,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,840 | $14,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 68,500 | $14,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 22,829 | $14,000 | thousands by filing date | |
| DGSE COMPANIES INC | 23323G106 | COM | 16,561 | $14,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 890 | $13,000 | thousands by filing date | principal |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 13,634 | $13,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,639 | $13,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,569 | $13,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 11,712 | $13,000 | thousands by filing date | |
| INSTITUTIONAL FINL MKTS INC | 45779L107 | COM | 12,183 | $13,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 195 | $12,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 23,623 | $12,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 23,425 | $11,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 10,918 | $11,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 29,480 | $10,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 11,401 | $10,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 15,428 | $9,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 79,366 | $9,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 17,866 | $8,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 15,174 | $8,000 | thousands by filing date | |
| SKYLINE MED INC | 83084T309 | COM NEW | 45,460 | $8,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 11,003 | $7,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 10,061 | $7,000 | thousands by filing date | |
| GEVO INC COM PAR | 374396208 | Stock | 13,896 | $7,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 24,814 | $7,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 11,935 | $6,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 10,025 | $6,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 46,353 | $5,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M307 | COM PAR 0.01 | 39,306 | $5,000 | thousands by filing date | |
| AG&E HOLDINGS INC | 00108M102 | COMMON | 19,899 | $5,000 | thousands by filing date | |
| INTERPACE DIAGNOSTICS GROUP | 46062X105 | Cmn | 31,365 | $5,000 | thousands by filing date | |
| TETRALOGIC PHARMACEUTICALS COR | 88165U109 | COMMON | 21,405 | $3,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 17,675 | $1,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-16-004345 | this filing | 2016-11-15 | acceptance time not in the bulk data set |