13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-15, with 2,836 holding rows worth $36,894,949,000.
- Accession
- 0001172661-17-001209
- Filer
- CIK 1283072
- 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, 5,864 entries on the cover page, a total value of $36,894,949,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $36,894,949,000 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
- included managerSEI INVESTMENTS CO028-16454
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 |
|---|---|---|---|---|---|---|
| NUVEEN ALL CAP ENE MLP OP JMLP | 67075E108 | COMMON | 34,841 | $365,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 11,080 | $363,000 | thousands by filing date | |
| ORTHOFIX INTL N V | N6748L102 | COM | 9,483 | $363,000 | thousands by filing date | |
| PEBBLEBROOK HOTEL TR | 70509V100 | COM | 12,354 | $362,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 14,700 | $361,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 20,570 | $356,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 29,500 | $356,000 | thousands by filing date | |
| MATADOR RES CO COM | 576485205 | Stock | 14,728 | $351,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 11,719 | $351,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 35,310 | $351,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 12,070 | $349,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 12,294 | $349,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 56,064 | $347,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 7,099 | $347,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 3,536 | $347,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 11,079 | $346,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 9,251 | $346,000 | thousands by filing date | |
| MORNINGSTAR INC COM | 617700109 | Stock | 4,394 | $345,000 | thousands by filing date | |
| HEICO CORP NEW | 422806208 | CL A | 4,601 | $345,000 | thousands by filing date | |
| PAYCOMSOFTWAREINC | 70432V102 | STOK | 5,944 | $341,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 116,661 | $341,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 8,531 | $340,000 | thousands by filing date | |
| SILVER BAY REALTY TRUST CORP | 82735Q102 | COMMON STOCK | 15,767 | $339,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 20,505 | $337,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 34,317 | $336,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 24,792 | $333,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 6,097 | $332,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 4,826 | $332,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 8,800 | $330,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 37,361 | $330,000 | thousands by filing date | |
| HEALTHEQUITY INC COM | 42226A107 | Stock | 7,723 | $329,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 41,911 | $329,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 31,815 | $328,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 8,818 | $327,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 59,865 | $326,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 17,560 | $326,000 | thousands by filing date | |
| LENDINGCLUB CORP | 52603A109 | COM | 58,970 | $325,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 6,987 | $324,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 12,489 | $324,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 8,627 | $324,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 15,221 | $322,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 32,789 | $321,000 | thousands by filing date | |
| 51JOB INC | 316827104 | SPONSORED ADS | 8,668 | $317,000 | thousands by filing date | |
| LIVANOVA PLC | G5509L101 | SHS | 6,421 | $315,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 56,611 | $314,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 13,107 | $313,000 | thousands by filing date | |
| HAWKINS INC | 420261109 | COM | 6,372 | $312,000 | thousands by filing date | |
| WILLIAMS CLAYTON ENERGY INC | 969490101 | COM | 2,369 | $312,000 | thousands by filing date | |
| CHINA FD INC | 169373107 | COM | 18,800 | $311,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 6,344 | $310,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 23,225 | $310,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 34,111 | $310,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 7,649 | $309,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 32,991 | $308,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 121,235 | $307,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 16,400 | $302,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 9,256 | $297,000 | thousands by filing date | |
| UNIVEST FINANCIAL CORPORATIO | 915271100 | COM | 11,431 | $297,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 11,106 | $294,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 21,916 | $294,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 17,079 | $291,000 | thousands by filing date | |
| MONEYGRAM INTL INC | 60935Y208 | COM NEW | 17,330 | $291,000 | thousands by filing date | |
| ISHARES TR | 464288687 | COM | 7,352 | $285,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 3,031 | $284,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 13,629 | $282,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 9,451 | $279,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 6,469 | $278,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 10,468 | $276,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 64,845 | $275,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 45,122 | $275,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 8,014 | $273,000 | thousands by filing date | |
| MGM GROWTH PPTYS LLC | 55303A105 | CL A COM | 9,990 | $271,000 | thousands by filing date | |
| ILG INC | 44967H101 | COM | 12,887 | $269,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 29,148 | $267,000 | thousands by filing date | |
| Empire State Realty Trust, Inc. | 292104106 | Class A Common Stock, $0.01 par value per share | 12,762 | $264,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 5,319 | $256,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 2,798 | $255,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 47,216 | $255,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 16,606 | $251,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 22,785 | $251,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 22,193 | $250,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 27,801 | $248,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 26,029 | $248,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 16,393 | $248,000 | thousands by filing date | |
| ULTRATECH INC | 904034105 | COM | 8,337 | $247,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 39,636 | $245,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520102 | COM | 20,068 | $244,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 6,186 | $243,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 63,869 | $243,000 | thousands by filing date | |
| BUILDERS FIRSTSOURCE INC COM | 12008R107 | Stock | 16,197 | $240,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 21,702 | $240,000 | thousands by filing date | |
| NAVISTAR INTERNATIONAL | 63934E108 | COMMON STOCK | 9,722 | $240,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 53,958 | $238,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 25,396 | $236,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 10,610 | $236,000 | thousands by filing date | |
| ORMAT TECHNOLOGIES INC | 686688102 | COM | 4,096 | $234,000 | thousands by filing date | |
| SHAKE SHACK INC | 819047101 | CL A | 6,977 | $233,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 28,779 | $233,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 11,581 | $232,000 | thousands by filing date | |
| DONNELLEY FINL SOLUTIONS INC | 25787G100 | COM | 11,930 | $230,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 2,933 | $228,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 30,181 | $227,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 29,320 | $227,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 15,755 | $224,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044105 | COM | 3,064 | $224,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 8,849 | $224,000 | thousands by filing date | |
| GODADDY INC CL A | 380237107 | Stock | 5,886 | $223,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 22,808 | $223,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 12,591 | $223,000 | thousands by filing date | |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 114,812 | $222,000 | thousands by filing date | |
| SHOPIFY INC | 82509L107 | CL A SUB VTG SHS | 3,180 | $216,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 6,843 | $216,000 | thousands by filing date | |
| FAIRPOINT COMMUNICATIONS INC | 305560302 | COM NEW | 12,980 | $215,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 19,441 | $213,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 6,274 | $212,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 4,315 | $210,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 38,320 | $208,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 10,317 | $208,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 3,718 | $207,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 6,562 | $207,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 5,971 | $203,000 | thousands by filing date | |
| TERRENO RLTY CORP | 88146M101 | COM | 7,262 | $203,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 8,039 | $202,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 3,710 | $201,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 2,744 | $201,000 | thousands by filing date | |
| YIREN DIGITAL LTD | 98585L100 | SPONSORED ADS | 8,007 | $201,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 34,148 | $201,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 5,692 | $200,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 17,173 | $199,000 | thousands by filing date | |
| ETSY INC | 29786A106 | COM | 18,413 | $195,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 62,990 | $193,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 84,970 | $192,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 8,568 | $190,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 20,877 | $189,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 17,138 | $189,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 47,454 | $189,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 10,984 | $186,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 23,478 | $182,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 21,195 | $180,000 | thousands by filing date | |
| MATCH GROUP INC | 57665R106 | COM | 10,979 | $180,000 | thousands by filing date | |
| LUMOS NETWORKS CORP | 550283105 | COM | 10,211 | $179,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 33,381 | $178,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 14,899 | $178,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919500 | CL B NON VTG | 7,212 | $175,000 | thousands by filing date | |
| AMPHASTAR PHARMACEUTICALS IN | 03209R103 | COM | 12,003 | $173,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 36,307 | $172,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 12,936 | $170,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 16,680 | $170,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 23,976 | $166,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 18,903 | $165,000 | thousands by filing date | |
| VEON LTD | 91822M106 | SPONSORED ADR | 40,090 | $164,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 20,613 | $164,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 14,944 | $164,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 10,681 | $160,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 25,323 | $160,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 13,725 | $159,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 15,132 | $156,000 | thousands by filing date | |
| KONGZHONG CORP | 50047P104 | CMN | 20,916 | $155,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 11,478 | $154,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 10,550 | $152,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 25,271 | $151,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 12,015 | $150,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 19,826 | $148,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 19,836 | $148,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 12,640 | $147,000 | thousands by filing date | |
| CEMENTOS PACASMAYO S A FUNSPONSORED ADR 1 ADR REPS 5 ORD SHS | 15126Q208 | Equity | 12,928 | $146,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 28,208 | $145,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 12,050 | $143,000 | thousands by filing date | |
| UNIVERSAL AMERN CORP NEW | 91338E101 | COM | 14,216 | $142,000 | thousands by filing date | |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 1,563 | $141,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 18,399 | $141,000 | thousands by filing date | |
| RENREN INC | 759892201 | SPON ADR A NEW | 17,513 | $137,000 | thousands by filing date | |
| DRDGOLD LIMITED SPON ADR REPSTG | 26152H301 | ADR | 27,503 | $135,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 1,235 | $128,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 15,939 | $128,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 11,560 | $128,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 15,384 | $127,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 14,204 | $123,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 10,831 | $121,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 19,671 | $115,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 25,201 | $114,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 11,912 | $113,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 32,933 | $113,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,311 | $110,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 11,388 | $110,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 18,338 | $109,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 19,891 | $108,000 | thousands by filing date | |
| MIDCOAST ENERGY PARTNERSHIP LP | 59564N103 | COMMON STOCK | 13,386 | $108,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 18,750 | $107,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 3,700 | $105,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 11,759 | $103,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,323 | $103,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 11,262 | $103,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 860 | $102,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 154,628 | $99,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 11,194 | $99,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 12,767 | $92,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229409 | COM A SIRIUSXM | 2,321 | $90,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 14,892 | $88,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 33,596 | $87,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 54,958 | $84,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 10,410 | $83,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,365 | $83,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 14,684 | $81,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,129 | $81,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 13,941 | $79,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 31,691 | $78,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 21,135 | $78,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 21,479 | $77,000 | thousands by filing date | |
| SHORETEL INC | 825211105 | COM | 12,028 | $74,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 10,880 | $72,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 10,903 | $72,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 17,709 | $72,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10,540 | $72,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,792 | $69,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 11,487 | $68,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 16,998 | $68,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 16,057 | $64,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 39,745 | $62,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 10,571 | $61,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 10,205 | $61,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 17,302 | $59,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 41,718 | $59,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 12,465 | $58,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 21,769 | $56,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 11,598 | $55,000 | thousands by filing date | |
| ROCKET FUEL INC | 773111109 | COMMON STOCK | 10,229 | $55,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,640 | $55,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 18,658 | $53,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 16,714 | $53,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 4,570 | $52,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 13,074 | $51,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 48,344 | $50,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 11,987 | $50,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 12,106 | $50,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,984 | $49,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 75,288 | $49,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 12,285 | $47,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 11,471 | $45,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,696 | $43,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 82,391 | $42,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 10,509 | $42,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 10,559 | $41,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 11,204 | $41,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 13,095 | $41,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 11,045 | $40,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 13,821 | $38,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 33,455 | $37,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 20,270 | $35,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 10,786 | $34,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,851 | $34,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,305 | $31,000 | thousands by filing date | |
| Tremor Video | 89484Q100 | Common Stock | 15,615 | $31,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 53,345 | $31,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 16,968 | $31,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 11,728 | $30,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 22,453 | $30,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,709 | $27,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 12,981 | $27,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 12,805 | $27,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 13,976 | $27,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 18,966 | $27,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,382 | $27,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 15,725 | $27,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 11,683 | $26,000 | thousands by filing date | |
| BANCO BRADESCO S A | 059460402 | SPONSORED ADR | 2,594 | $26,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 13,381 | $26,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 762 | $25,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 13,679 | $25,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 17,374 | $25,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,889 | $24,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,334 | $23,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 13,230 | $23,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 16,096 | $23,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 26,736 | $23,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 10,932 | $22,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 18,280 | $22,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 13,487 | $22,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 10,457 | $22,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 12,427 | $21,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 12,588 | $21,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 17,674 | $21,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 14,179 | $21,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 29,576 | $21,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 45,333 | $20,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 13,699 | $20,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 1,163 | $20,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 11,267 | $20,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,185 | $19,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 24,591 | $19,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 18,103 | $18,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 40,563 | $18,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 11,684 | $18,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 10,795 | $17,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 12,682 | $17,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 11,606 | $17,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 23,765 | $17,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 17,237 | $16,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 14,749 | $16,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 32,896 | $15,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 15,099 | $15,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 25,577 | $13,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 12,917 | $13,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 22,767 | $13,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 20,175 | $13,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 190 | $12,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 20,502 | $12,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 15,497 | $12,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 11,982 | $12,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 20,130 | $12,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 10,122 | $12,000 | thousands by filing date | |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 29,609 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,674 | $11,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 14,701 | $11,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 22,966 | $11,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 22,718 | $11,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 10,806 | $10,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 16,774 | $10,000 | thousands by filing date | |
| CRYSTAL ROCK HLDGS INC | 22940F103 | COM | 11,469 | $10,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 18,108 | $9,000 | thousands by filing date | |
| STRATA SKIN SCIENCES INC | 86272A107 | COM | 15,265 | $9,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 18,878 | $8,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 13,128 | $8,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 10,085 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 305 | $7,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 13,587 | $7,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 14,823 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 12,780 | $7,000 | thousands by filing date | |
| WISDOMTREE EUROPE HEDGED EQUITY FUND | 97717X701 | ETF | 88 | $6,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 46,631 | $6,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 15,392 | $6,000 | thousands by filing date | |
| MAGNEGAS CORP | 55939L202 | COM NEW | 14,237 | $6,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 15,145 | $6,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 13,502 | $2,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P500 | COM PAR | 22,824 | $2,000 | 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 0001172661-17-001209 | this filing | 2017-05-15 | acceptance time not in the bulk data set |