13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2018-03-31, filed 2018-05-15, with 2,787 holding rows worth $40,994,128,000.
- Accession
- 0001172661-18-001253
- Filer
- CIK 1283072
- Filed
- 2018-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2018
A holdings report, 5,709 entries on the cover page, a total value of $40,994,128,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $40,994,128,000 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
- included managerGuggenheim Life & Annuity Co028-18657
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 |
|---|---|---|---|---|---|---|
| AVANTAX INC | 095229100 | COMMON STOCK | 13,928 | $342,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 3,279 | $341,000 | thousands by filing date | |
| WOODWARD INC COM | 980745103 | Stock | 4,742 | $341,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741L107 | COM STK | 20,628 | $341,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 5,754 | $341,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 7,965 | $339,000 | thousands by filing date | |
| AMERIS BANCORP | 03076K108 | COM | 6,378 | $337,000 | thousands by filing date | |
| BASIC ENERGY SVCS INC NEW | 06985P209 | COM NEW | 23,383 | $337,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 40,362 | $336,000 | thousands by filing date | |
| QIWI PLC | 74735M108 | SPON ADR REP B | 17,565 | $335,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 41,001 | $334,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 18,219 | $333,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 16,259 | $333,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 8,111 | $332,000 | thousands by filing date | |
| DEPOMED INC | 249908104 | COM | 49,569 | $325,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 5,649 | $324,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 12,987 | $323,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082102 | COM | 11,785 | $323,000 | thousands by filing date | |
| HEARTLAND EXPRESS INC | 422347104 | COM | 17,744 | $320,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 3,677 | $320,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 19,645 | $319,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 19,966 | $318,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 15,561 | $318,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 71,917 | $317,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 50,502 | $316,000 | thousands by filing date | |
| TELADOC HEALTH INC | 87918A105 | COM | 7,780 | $315,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 953 | $315,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 24,236 | $315,000 | thousands by filing date | |
| DORMAN PRODS INC | 258278100 | COM | 4,743 | $314,000 | thousands by filing date | |
| INNERWORKINGS INC | 45773Y105 | COM | 34,587 | $312,000 | thousands by filing date | |
| SCHNITZER STEEL INDUSTRIES INC | 806882106 | CL A | 9,597 | $311,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 12,004 | $307,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 65,288 | $307,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 24,855 | $306,000 | thousands by filing date | |
| WD 40 CO COM | 929236107 | Stock | 2,297 | $303,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 23,152 | $302,000 | thousands by filing date | |
| HEARTLAND FINL USA INC | 42234Q102 | COM | 5,594 | $297,000 | thousands by filing date | |
| GUGGENHEIM S&P HIGH INCOME INFRASTRUCTURE ETF | 18383Q721 | ETF | 11,652 | $296,000 | thousands by filing date | |
| IMPAX LABORATORIES INC | 45256B101 | COM | 15,117 | $293,000 | thousands by filing date | |
| ABERDEEN INDIA FD INC | 454089103 | COM | 11,868 | $292,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 17,674 | $291,000 | thousands by filing date | |
| EAGLE BANCORPORATION INC | 268948106 | COM | 4,861 | $291,000 | thousands by filing date | |
| DR REDDYS LABS LTD ADR | 256135203 | ADR | 8,863 | $290,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 22,257 | $290,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 31,653 | $290,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 34,439 | $289,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 5,324 | $289,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 718 | $288,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 15,619 | $288,000 | thousands by filing date | |
| RITCHIE BROS AUCTIONEERS | 767744105 | COM | 9,107 | $287,000 | thousands by filing date | |
| BBVA BANCO FRANCES S A | 07329M100 | CMN | 12,591 | $287,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 15,983 | $285,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 4,559 | $284,000 | thousands by filing date | |
| BALDWIN + LYONS INC -CL B | 057755209 | CL B | 12,899 | $283,000 | thousands by filing date | |
| VARONIS SYS INC | 922280102 | COM | 4,655 | $282,000 | thousands by filing date | |
| DONALDSON INC COM | 257651109 | Stock | 6,242 | $281,000 | thousands by filing date | |
| FLOOR & DECOR HLDGS INC CL A | 339750101 | Stock | 5,360 | $279,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 3,425 | $279,000 | thousands by filing date | |
| STORE CAP CORP | 862121100 | COM | 11,227 | $279,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 13,767 | $279,000 | thousands by filing date | |
| LITHIA MTRS INC COM | 536797103 | Stock | 2,753 | $276,000 | thousands by filing date | |
| CHILDRENS PL INC NEW | 168905107 | COM | 2,032 | $275,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 7,579 | $269,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 11,077 | $265,000 | thousands by filing date | |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 8,444 | $264,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q605 | COM PAR NEW | 54,095 | $264,000 | thousands by filing date | |
| CLEAN HARBORS INC COM | 184496107 | Stock | 5,389 | $263,000 | thousands by filing date | |
| EXTRACTION OIL AND GAS INC | 30227M105 | COM | 22,964 | $263,000 | thousands by filing date | |
| GENTHERM INC | 37253A103 | COM | 7,692 | $260,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044207 | COMMON STOCK | 9,543 | $259,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 7,102 | $258,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 13,061 | $257,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 13,435 | $257,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 6,457 | $256,000 | thousands by filing date | |
| WNS HOLDINGS LTD | 92932M101 | SPON ADR | 5,654 | $256,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 13,396 | $255,000 | thousands by filing date | |
| CONNS INC | 208242107 | COM | 7,502 | $255,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 217 | $254,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 19,346 | $251,000 | thousands by filing date | |
| AZUL S A | 05501U106 | OPT | 7,218 | $251,000 | thousands by filing date | |
| RESTAURANT BRANDS INTL INC COM | 76131D103 | Stock | 4,354 | $248,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 7,890 | $245,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 4,181 | $242,000 | thousands by filing date | |
| MONRO INC | 610236101 | COMMON STOCK | 4,487 | $242,000 | thousands by filing date | |
| HYATT HOTELS CORP COM CL A | 448579102 | Stock | 3,148 | $240,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 40,373 | $240,000 | thousands by filing date | |
| URSTADT BIDDLE PROPERTIES | 917286205 | COMMON STOCK | 12,176 | $236,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 11,581 | $236,000 | thousands by filing date | |
| VIDEOCON D2H LTD | 92657J101 | ADR | 28,781 | $236,000 | thousands by filing date | |
| ACXIOM CORP | 005125109 | COMMON STOCK | 10,310 | $235,000 | thousands by filing date | |
| AIR TRANSPORT SERVICES GRP I | 00922R105 | COM | 10,010 | $234,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 14,344 | $231,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 7,683 | $231,000 | thousands by filing date | |
| STEELCASE INC-CLASS A | 858155203 | CL A | 16,929 | $230,000 | thousands by filing date | |
| CROCS INC COM | 227046109 | Stock | 14,073 | $229,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 17,637 | $228,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 37,075 | $227,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 71,464 | $227,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 115,578 | $226,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 5,620 | $226,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 18,916 | $224,000 | thousands by filing date | |
| PRICESMART INC COM | 741511109 | Stock | 2,671 | $223,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 15,897 | $222,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 10,162 | $219,000 | thousands by filing date | |
| CHINA LIFE INSURANCE CO-ADR | 16939P106 | SPON ADR REP H | 15,575 | $218,000 | thousands by filing date | |
| SHINHAN FINANCIAL GROUP CO LTD SPN ADR RESTRD | 824596100 | ADR | 5,110 | $217,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 13,132 | $217,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 10,436 | $217,000 | thousands by filing date | |
| SERVICEMASTER GLOBAL HOLDING | 81761R109 | COMMON STOCK | 4,220 | $214,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 12,314 | $213,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 81,072 | $213,000 | thousands by filing date | |
| PLANET FITNESS MASTER ISSUER L CL A | 72703H101 | Stock | 5,596 | $211,000 | thousands by filing date | |
| VANECK EGYPT INDEX ETF | 92189F775 | FUND | 5,400 | $211,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 6,525 | $209,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 21,945 | $208,000 | thousands by filing date | |
| BEST INC | 08653C106 | SPONSORED ADS | 20,102 | $207,000 | thousands by filing date | |
| AMERICAN ASSETS TR INC COM | 024013104 | REIT | 6,083 | $205,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 10,951 | $205,000 | thousands by filing date | |
| TABULA RASA HEALTHCARE INC | 873379101 | COMMON STOCK | 5,288 | $205,000 | thousands by filing date | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 32,115 | $203,000 | thousands by filing date | |
| CHENIERE ENERGY PTNRS LP HLD | 16411W108 | COM REP LLC IN | 7,358 | $203,000 | thousands by filing date | |
| MECHEL PAO | 583840608 | SPONSORED ADR NE | 46,497 | $202,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 41,378 | $201,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 2,277 | $200,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 11,558 | $196,000 | thousands by filing date | |
| ATLANTIC COAST FINL CORP | 048426100 | COM | 18,981 | $195,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914208 | COM NEW | 46,790 | $195,000 | thousands by filing date | |
| GOGO INC | 38046C109 | COM | 22,146 | $192,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 18,924 | $191,000 | thousands by filing date | |
| SOGOU INC ADR REPSTG A | 83409V104 | ADR REPSTG A | 22,864 | $189,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 11,454 | $188,000 | thousands by filing date | |
| ADECOAGRO S A | L00849106 | COM | 24,850 | $187,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 13,651 | $184,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 11,996 | $181,000 | thousands by filing date | |
| PARAMOUNT GROUP INC | 69924R108 | COM | 12,612 | $180,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 14,846 | $180,000 | thousands by filing date | |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 20,840 | $179,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 16,119 | $175,000 | thousands by filing date | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 15,729 | $173,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 16,462 | $170,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 32,506 | $169,000 | thousands by filing date | |
| High Templar Tech Limit | 747798106 | COM | 13,902 | $163,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 10,274 | $162,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 36,064 | $157,000 | thousands by filing date | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 23,891 | $153,000 | thousands by filing date | |
| ENDOCYTE INC | 29269A102 | COM | 15,972 | $145,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 10,987 | $144,000 | thousands by filing date | |
| MIDSTREAM PARTNERS | 02752P100 | COMMON STOCK | 13,369 | $144,000 | thousands by filing date | |
| OAKTREE STRATEGIC INCOME COR | 67402D104 | COM | 17,993 | $142,000 | thousands by filing date | |
| 8POINT3 ENERGY PARTNERS LP | 282539105 | CL A RPT LTDPT | 11,609 | $141,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 15,458 | $139,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 17,640 | $136,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 20,241 | $134,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 22,053 | $134,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 2,724 | $129,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 10,892 | $127,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 21,126 | $127,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 12,860 | $127,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 10,295 | $126,000 | thousands by filing date | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 17,250 | $123,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 25,396 | $122,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 14,919 | $119,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 11,500 | $116,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 10,124 | $109,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 12,642 | $108,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 12,028 | $106,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 14,421 | $106,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 10,294 | $104,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 47,218 | $98,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 68,977 | $97,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 14,084 | $95,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 14,605 | $93,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 49,561 | $91,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 42,167 | $90,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 32,625 | $88,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 30,948 | $86,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 72,218 | $84,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 11,575 | $83,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 28,898 | $82,000 | thousands by filing date | |
| JUMEI INTL HLDG LTD | 48138L107 | SPONSORED ADR | 28,130 | $82,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 11,431 | $77,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 21,026 | $76,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 10,189 | $75,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 25,809 | $75,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 21,553 | $73,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 15,153 | $72,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H200 | COMMON STOCK | 23,319 | $71,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 14,992 | $70,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 17,985 | $69,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 28,985 | $68,000 | thousands by filing date | |
| THE MEET GROUP INC. | 58513U101 | Common Stock | 32,957 | $68,000 | thousands by filing date | |
| CEDAR REALTY TRUST INC | 150602209 | COMMON STOCK | 17,138 | $67,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 13,779 | $67,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 13,296 | $66,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 17,065 | $65,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 11,790 | $65,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 11,264 | $64,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 17,503 | $64,000 | thousands by filing date | |
| EAGLE BULK SHIPPING INC | Y2187A143 | SHS NEW | 13,036 | $64,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 16,349 | $64,000 | thousands by filing date | |
| TANDEM DIABETES CARE INC | 875372203 | COM NEW | 12,544 | $62,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 16,307 | $61,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 14,242 | $61,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 11,495 | $61,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 25,067 | $59,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 10,073 | $58,000 | thousands by filing date | |
| COGENTIX MED INC COM | 19243A104 | Stock | 14,649 | $56,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 18,866 | $54,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 10,703 | $53,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 16,980 | $53,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 39,777 | $52,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 11,988 | $52,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 10,805 | $52,000 | thousands by filing date | |
| LILIS ENERGY INC | 532403201 | COM NEW | 12,653 | $50,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 35,944 | $48,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 43,379 | $47,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 15,299 | $46,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 10,949 | $46,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 2,206 | $44,000 | thousands by filing date | principal |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 31,699 | $43,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 63,190 | $42,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 11,691 | $40,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 12,707 | $38,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 30,768 | $37,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 11,306 | $37,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 11,189 | $36,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 17,851 | $36,000 | thousands by filing date | |
| AVID BIOSERVICES INC | 05368M106 | COM | 12,038 | $35,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 10,957 | $33,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 19,195 | $33,000 | thousands by filing date | |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 10,177 | $31,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 20,622 | $31,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 15,305 | $30,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 12,859 | $30,000 | thousands by filing date | |
| SIERRA ONCOLOGY INC | 82640U107 | COM | 14,316 | $30,000 | thousands by filing date | |
| INFINITY PHARMACEUTICALS INC | 45665G303 | COM | 13,488 | $28,000 | thousands by filing date | |
| PACIFIC COAST OIL TR | 694103102 | UNIT BEN INT | 13,312 | $28,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 15,043 | $28,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 15,625 | $27,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 20,015 | $26,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 12,235 | $25,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 21,281 | $23,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 39,089 | $23,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,730 | $23,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 13,072 | $23,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 12,140 | $22,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 40,384 | $22,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 12,408 | $22,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 12,912 | $21,000 | thousands by filing date | |
| STEEL CONNECT INC | 858098106 | CMN | 10,056 | $21,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 10,113 | $20,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 10,384 | $20,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 10,639 | $19,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 26,025 | $19,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 20,386 | $18,000 | thousands by filing date | |
| FIVE STAR SENIOR LIVING | 33832D106 | COMMON STOCK | 14,184 | $18,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 50,201 | $18,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 10,232 | $18,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 15,578 | $18,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 16,989 | $17,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 21,364 | $16,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 17,109 | $15,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 12,246 | $15,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 10,866 | $14,000 | thousands by filing date | |
| GENOCEA BIOSCIENCES INC | 372427104 | COM | 12,705 | $13,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 10,430 | $11,000 | thousands by filing date | |
| CDTI ADVANCED MATLS INC | 12514V105 | COM | 11,705 | $11,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 16,492 | $10,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 27,963 | $10,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 11,961 | $10,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 21,958 | $9,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 11,707 | $9,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 23,735 | $9,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 19,909 | $8,000 | thousands by filing date | |
| ENSYNC INC. | 29359T102 | Common Stock | 20,065 | $8,000 | thousands by filing date | |
| MICROBOT MED INC | 59503A105 | COM | 11,639 | $8,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 19,614 | $8,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 28,415 | $7,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,255 | $7,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 10,998 | $7,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 17,694 | $7,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 30,424 | $7,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 25,173 | $6,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 15,695 | $5,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 27,360 | $4,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 13,592 | $4,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 95 | $3,000 | thousands by filing date | principal |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-18-001253 | this filing | 2018-05-15 | acceptance time not in the bulk data set |