13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-11-14, with 2,798 holding rows worth $42,571,796,000.
- Accession
- 0001172661-17-002140
- Filer
- CIK 1283072
- Filed
- 2017-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 5,687 entries on the cover page, a total value of $42,571,796,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $42,571,796,000 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 |
|---|---|---|---|---|---|---|
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 7,679 | $356,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 27,545 | $354,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 8,237 | $351,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 23,146 | $350,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 39,583 | $349,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 32,124 | $349,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 27,533 | $348,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 13,957 | $344,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 9,590 | $342,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 31,546 | $341,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 7,795 | $341,000 | thousands by filing date | |
| PLANTRONICS INC NEW | 727493108 | COM | 7,685 | $340,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 15,922 | $338,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 315 | $336,000 | thousands by filing date | |
| BOK FINL CORP COM NEW | 05561Q201 | Stock | 3,755 | $335,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 11,967 | $335,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 29,416 | $334,000 | thousands by filing date | |
| REALPAGE INC | 75606N109 | COM | 8,357 | $333,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 3,063 | $332,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 15,718 | $332,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 52,305 | $326,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 11,561 | $326,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 58,708 | $326,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 54,258 | $324,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 6,672 | $324,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 93,989 | $322,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 4,210 | $319,000 | thousands by filing date | |
| TIM PARTICIPACOES S A | 88706P205 | SPONSORED ADR | 17,457 | $319,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 51,265 | $318,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 2,562 | $317,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 26,365 | $317,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 3,857 | $316,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 70,372 | $316,000 | thousands by filing date | |
| BANNER CORP | 06652V208 | COM NEW | 5,129 | $315,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 38,547 | $314,000 | thousands by filing date | |
| BIT MINING LIMITED | 33829R100 | SPON ADR REP A | 28,568 | $314,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 20,342 | $313,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 9,496 | $312,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 4,193 | $312,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 2,420 | $312,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 35,158 | $312,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 21,874 | $311,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 58,416 | $311,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 6,754 | $310,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 12,866 | $309,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 1,936 | $308,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 21,851 | $307,000 | thousands by filing date | |
| SouthState Corp | 840441109 | Common Stock | 3,396 | $305,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 5,758 | $305,000 | thousands by filing date | |
| AVX CORP NEW | 002444107 | COM | 16,721 | $305,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 2,615 | $304,000 | thousands by filing date | |
| ROLLINS INC COM | 775711104 | Stock | 6,472 | $299,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 26,919 | $299,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 7,906 | $299,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 7,017 | $299,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 35,794 | $299,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 13,646 | $294,000 | thousands by filing date | |
| WILEY JOHN & SONS INC | 968223206 | CL A | 5,422 | $290,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 18,302 | $289,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 18,713 | $287,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 20,786 | $285,000 | thousands by filing date | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 8,750 | $281,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 32,203 | $279,000 | thousands by filing date | |
| WESTAMERICA BANCORPORATION COM | 957090103 | Stock | 4,645 | $277,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 54,865 | $277,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 3,137 | $276,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 35,353 | $274,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 47,201 | $271,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 6,007 | $266,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 16,016 | $266,000 | thousands by filing date | |
| BRIGHT SCHOLAR ED HLDGS LTD | 109199109 | SPONSORED ADS | 11,455 | $266,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 10,066 | $265,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 7,501 | $263,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 5,301 | $256,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 11,267 | $254,000 | thousands by filing date | |
| TRIUMPH GROUP INC NEW | 896818101 | COM | 8,464 | $252,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 5,083 | $249,000 | thousands by filing date | |
| OM ASSET MGMT PLC | G67506108 | SHS | 16,512 | $247,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 5,911 | $246,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 40,197 | $245,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 19,973 | $245,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 4,373 | $244,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 24,800 | $244,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 34,938 | $244,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 5,738 | $241,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 136,995 | $241,000 | thousands by filing date | |
| INOGEN INC | 45780L104 | COM | 2,474 | $236,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 69,050 | $234,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 15,496 | $232,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,602 | $230,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 77,792 | $230,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 120,680 | $230,000 | thousands by filing date | |
| ATHENE HOLDING LTD | G0684D107 | CL A | 4,264 | $229,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 17,479 | $229,000 | thousands by filing date | |
| GUANGSHEN RAILWAY CO LTD-ADR | 40065W107 | SPONSORED ADR | 7,851 | $229,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 8,298 | $228,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 16,980 | $227,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 6,449 | $227,000 | thousands by filing date | |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 69,742 | $226,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 9,897 | $225,000 | thousands by filing date | |
| YRC WORLDWIDE INC | 984249607 | COM | 16,052 | $222,000 | thousands by filing date | |
| SPARTAN MTRS INC | 846819100 | COM | 20,155 | $221,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 32,271 | $220,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 12,956 | $219,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 75,701 | $219,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 7,854 | $216,000 | thousands by filing date | |
| CRESUD S A C I F Y A | 226406106 | SPONSORED ADR | 11,494 | $215,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 5,903 | $215,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 21,859 | $214,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 7,215 | $212,000 | thousands by filing date | |
| LIBERTY LATIN AMERICA CL A ORD | G5480U138 | COM | 8,877 | $211,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 5,955 | $208,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 37,102 | $192,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 10,991 | $189,000 | thousands by filing date | |
| MIDSTATES PETE CO INC | 59804T407 | COM PAR | 12,136 | $189,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 13,750 | $187,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 10,016 | $186,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 15,977 | $185,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 17,912 | $182,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 11,816 | $181,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 10,555 | $181,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 30,621 | $177,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 11,520 | $177,000 | thousands by filing date | |
| CAREER EDUCATION CORP | 141665109 | COM | 17,074 | $176,000 | thousands by filing date | |
| AIX INC | 30712A103 | SPONSORED ADS | 13,916 | $175,000 | thousands by filing date | |
| SUTHERLAND ASSET MGMT CORP M | 86933G105 | COM | 11,157 | $175,000 | thousands by filing date | |
| HIBBETT INC | 428567101 | COM | 12,232 | $174,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 21,320 | $174,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 15,088 | $174,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 13,750 | $173,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 14,880 | $172,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 10,606 | $166,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 34,770 | $166,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 18,881 | $166,000 | thousands by filing date | |
| TITAN INTERNATIONAL INC | 88830M102 | COMMON STOCK | 16,006 | $163,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 11,160 | $162,000 | thousands by filing date | |
| PIONEER ENERGY SVCS CORP | 723664108 | COM | 63,687 | $162,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 130,149 | $154,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 15,429 | $149,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 13,331 | $139,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 11,426 | $134,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 18,382 | $129,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 12,726 | $129,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 12,212 | $127,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 20,366 | $122,000 | thousands by filing date | |
| EXPRO GROUP HOLDINGS NV COM | N33462107 | Stock | 15,911 | $122,000 | thousands by filing date | |
| NATIONAL CINEMEDIA INC | 635309107 | COM | 16,816 | $117,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 19,953 | $113,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 33,608 | $112,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 11,782 | $106,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 10,911 | $103,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,407 | $102,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 23,306 | $101,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 10,041 | $98,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 34,551 | $98,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 42,712 | $95,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 12,099 | $94,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 14,396 | $89,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 13,490 | $88,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 48,539 | $85,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,339 | $84,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 14,578 | $83,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 2,228 | $82,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 28,695 | $79,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 11,804 | $78,000 | thousands by filing date | |
| BILL BARRETT CORP | 06846N104 | COMMON STOCK | 18,202 | $77,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 27,025 | $76,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 10,437 | $76,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 56,564 | $75,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 20,642 | $75,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 20,471 | $74,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 15,693 | $72,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 13,743 | $72,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 12,217 | $70,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 15,415 | $69,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 24,571 | $68,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 27,244 | $68,000 | thousands by filing date | |
| TELARIA INC | 879181105 | COM | 15,520 | $68,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 48,296 | $67,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 12,506 | $67,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 74,977 | $66,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 10,293 | $65,000 | thousands by filing date | |
| DHI GROUP INC | 23331S100 | COM | 25,005 | $64,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 15,637 | $64,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 22,027 | $64,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 18,405 | $63,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 14,096 | $63,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 12,315 | $61,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 10,962 | $61,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 14,192 | $60,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 12,590 | $59,000 | thousands by filing date | |
| CSI COMPRESSCO LP | 12637A103 | COM UNIT | 11,361 | $59,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 19,055 | $58,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 14,110 | $58,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 10,348 | $58,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 17,105 | $55,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 11,997 | $55,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 36,477 | $55,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 10,399 | $54,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 11,738 | $54,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,153 | $52,000 | thousands by filing date | |
| FORTRESS BIOTECH INC | 34960Q109 | COM | 11,147 | $50,000 | thousands by filing date | |
| RAND LOGISTICS INC | 752182105 | COM | 154,628 | $50,000 | thousands by filing date | |
| PIXELWORKS INC | 72581M305 | COM NEW | 10,629 | $49,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 35,371 | $47,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 17,084 | $44,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 10,912 | $43,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 10,636 | $43,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 13,808 | $43,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 13,330 | $43,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 23,057 | $39,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 17,112 | $38,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661502 | COM PAR | 12,038 | $38,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,051 | $38,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 13,680 | $37,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 29,097 | $36,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 22,955 | $35,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 17,469 | $33,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 12,467 | $33,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 33,583 | $33,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 13,873 | $31,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 14,377 | $31,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229870 | COM SER A FRMLA | 834 | $30,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 45,744 | $30,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 17,392 | $30,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 3,110 | $29,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 13,971 | $29,000 | thousands by filing date | |
| UTSTARCOM HOLDINGS CORP | G9310A114 | SHS NEW | 11,870 | $28,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 23,224 | $27,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 45,150 | $26,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 18,995 | $26,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 11,688 | $25,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 15,859 | $25,000 | thousands by filing date | |
| United Parcel Service, Inc | 917286106 | COM | 1,343 | $24,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 14,883 | $24,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 10,768 | $23,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 14,088 | $23,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 13,522 | $23,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 31,605 | $23,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 21,092 | $23,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 56,126 | $23,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,975 | $23,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 14,994 | $23,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 12,242 | $22,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 11,837 | $21,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 11,243 | $21,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 10,366 | $20,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 13,573 | $20,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 15,080 | $20,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 22,792 | $19,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 25,174 | $19,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,255 | $19,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 10,177 | $19,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 13,089 | $19,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 10,441 | $19,000 | thousands by filing date | |
| NRG YIELD INC | 62942X306 | COM | 1,068 | $19,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 11,662 | $17,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 16,105 | $17,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 15,305 | $17,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 23,735 | $16,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 24,549 | $15,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 10,433 | $15,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 11,482 | $15,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 13,372 | $15,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 37,485 | $15,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 13,012 | $15,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 23,043 | $14,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 26,818 | $14,000 | thousands by filing date | |
| NET ELEMENT INC | 64111R201 | COM NEW | 16,012 | $14,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 11,610 | $14,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 20,212 | $14,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 14,345 | $13,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 13,692 | $13,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 19,129 | $12,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 16,503 | $12,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 17,417 | $12,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 10,779 | $11,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 172 | $10,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 10,170 | $10,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 20,066 | $10,000 | thousands by filing date | |
| SUPERIOR DRILLING PRODS INC | 868153107 | COM | 11,129 | $9,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 30,425 | $9,000 | thousands by filing date | |
| DOCUMENT SEC SYS INC COM NEW | 25614T200 | Stock | 10,493 | $9,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 28,415 | $8,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 22,259 | $8,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 19,813 | $8,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,694 | $8,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 305 | $7,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 13,592 | $7,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 21,929 | $7,000 | thousands by filing date | |
| GALENA BIOPHARMA INC COM NEW | 363256504 | Stock | 19,408 | $7,000 | thousands by filing date | |
| AMEDICA CORP COM PAR | 023435209 | Stock | 23,158 | $7,000 | thousands by filing date | |
| CARTESIAN INC | 146534102 | COM ADDED | 10,657 | $7,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 15,103 | $6,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 10,572 | $5,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 27,984 | $5,000 | thousands by filing date | |
| INPIXON COM | 45790J107 | Stock | 15,003 | $5,000 | thousands by filing date | |
| RENNOVA HEALTH INC COM NEW | 759757602 | Stock | 17,820 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-17-002140 | this filing | 2017-11-14 | acceptance time not in the bulk data set |