13F-HR filed by MILLENNIUM MANAGEMENT LLC
MILLENNIUM MANAGEMENT LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 3,231 holding rows worth $59,636,558,000.
- Accession
- 0001273087-16-000036
- Filer
- CIK 1273087
- Filed
- 2016-11-14
- 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, 3,234 entries on the cover page, a total value of $59,636,558,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $59,636,558,000 with VALUE read as thousands by filing date, 13F file number 028-10684. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerMILLENNIUM INTERNATIONAL MANAGEMENT LP028-12854
- included managerMILLENNIUM GLOBAL ESTATE GP LLC028-12858
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 |
|---|---|---|---|---|---|---|
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 35,689 | $187,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 14,301 | $185,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 33,178 | $183,000 | thousands by filing date | |
| Alcobra Ltd | M2239P109 | SHS | 74,200 | $183,000 | thousands by filing date | |
| STELLUS CAP INVT CORP | 858568108 | COM | 16,742 | $182,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 72,100 | $182,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 13,970 | $180,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 50,000 | $179,000 | thousands by filing date | call |
| FENIX PTS INC | 31446L100 | COM | 45,000 | $178,000 | thousands by filing date | |
| EHI CAR SVCS LTD | 26853A100 | SPON ADS CL A | 17,301 | $177,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 21,701 | $176,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 22,156 | $175,000 | thousands by filing date | |
| IMMUNE DESIGN CORP. | 45252L103 | Common Stock | 23,039 | $175,000 | thousands by filing date | |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 13,400 | $174,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 97,659 | $174,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 17,000 | $172,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 33,224 | $172,000 | thousands by filing date | |
| ATYR PHARMA INC | 002120103 | COM | 54,200 | $172,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 10,474 | $171,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 121,000 | $171,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 12,379 | $171,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 11,387 | $171,000 | thousands by filing date | |
| COHU INC | 192576106 | COM | 14,445 | $170,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 21,102 | $170,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 11,847 | $170,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 11,178 | $169,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 10,938 | $169,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 68,129 | $168,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 23,201 | $167,000 | thousands by filing date | |
| AVANTAX INC | 095229100 | COMMON STOCK | 14,899 | $167,000 | thousands by filing date | |
| OFS CAPITAL CORP | 67103B100 | COM | 12,744 | $166,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 19,168 | $166,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 12,154 | $166,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 20,300 | $165,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 12,651 | $165,000 | thousands by filing date | |
| COMTECH TELECOMMUNICATIONS C | 205826209 | COM NEW | 12,787 | $164,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 22,911 | $162,000 | thousands by filing date | |
| XERIUM TECHNOLOGIES INC | 98416J118 | COM | 20,328 | $162,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 12,089 | $161,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 14,739 | $159,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 21,401 | $158,000 | thousands by filing date | |
| ALIMERA SCIENCES INC | 016259103 | COM | 106,100 | $158,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 15,899 | $157,000 | thousands by filing date | |
| SECUREWORKS CORP | 81374A105 | CL A | 12,580 | $157,000 | thousands by filing date | |
| XCEL BRANDS INC | 98400M101 | COM NEW | 31,441 | $157,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 148,400 | $156,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 10,627 | $154,000 | thousands by filing date | |
| ENPHASE ENERGY INC COM | 29355A107 | Stock | 129,500 | $153,000 | thousands by filing date | |
| THRESHOLD PHARMACEUTICAL INC | 885807206 | COM NEW | 225,500 | $153,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 46,211 | $152,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 13,000 | $151,000 | thousands by filing date | |
| WINDTREE THERAPEUTICS INC | 97382D105 | COM | 58,874 | $151,000 | thousands by filing date | |
| TUNIU CORP | 89977P106 | SPONSORED ADS | 14,711 | $149,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 255,586 | $149,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 253,641 | $149,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 20,494 | $148,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 64,920 | $147,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 26,475 | $147,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 24,084 | $147,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 18,962 | $146,000 | thousands by filing date | |
| TITAN PHARMACEUTICALS INC DE | 888314309 | COM NEW | 24,911 | $146,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS INC COM NEW | 60786L206 | Stock | 88,798 | $146,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 51,999 | $145,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 20,900 | $144,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T129 | *W EXP 04/13/201 | 1,600,000 | $142,000 | thousands by filing date | |
| KIMBALL ELECTRONICS INC | 49428J109 | COMMON STOCK | 10,084 | $140,000 | thousands by filing date | |
| TECOGEN INC NEW | 87876P201 | COM NEW | 33,418 | $139,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 35,876 | $139,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC COM NEW | 686164302 | Stock | 41,735 | $139,000 | thousands by filing date | |
| LIQUIDITY SVCS INC | 53635B107 | COM | 12,301 | $138,000 | thousands by filing date | |
| HUTCHMED CHINA LTD SPONSORED ADS | 44842L103 | ADR | 11,368 | $135,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 24,129 | $135,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 11,479 | $135,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 24,834 | $135,000 | thousands by filing date | |
| ATOMERA INC | 04965B100 | COMMON STOCK | 17,148 | $134,000 | thousands by filing date | |
| CITIZENS INC | 174740100 | COMMON STOCK | 14,349 | $134,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 28,846 | $134,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E301 | Common Stock | 63,800 | $134,000 | thousands by filing date | |
| Viewra, Inc | 92672L107 | COM | 29,114 | $132,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 189,058 | $132,000 | thousands by filing date | |
| CELGENE CORP | 151020112 | RIGHT 12/31/2030 | 127,224 | $132,000 | thousands by filing date | |
| ENDOCHOICE HLDGS INC COM | 29272U103 | COM | 16,522 | $132,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 20,765 | $130,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 22,720 | $128,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 14,283 | $128,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 54,800 | $128,000 | thousands by filing date | |
| GEE GROUP INC | 36165A102 | COM | 24,361 | $127,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 11,659 | $127,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 46,103 | $125,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 12,300 | $124,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 43,018 | $124,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 11,200 | $123,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 10,300 | $123,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 33,373 | $122,000 | thousands by filing date | |
| AVIANCA HLDGS SA | 05367G100 | SPON ADR REP PFD | 18,800 | $122,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 16,158 | $121,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 19,993 | $121,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 12,665 | $120,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 31,979 | $120,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 24,955 | $120,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 11,487 | $118,000 | thousands by filing date | |
| ARGOS THERAPEUTICS INC | 040221103 | COM | 23,502 | $117,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 150,000 | $117,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 10,362 | $114,000 | thousands by filing date | |
| TELECOM ITALIA SPA | 87927Y102 | COMMON STOCK-FO | 13,600 | $113,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 10,676 | $112,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 11,268 | $112,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 11,893 | $112,000 | thousands by filing date | |
| KEMPHARM INC COM NEW | 488445107 | Stock | 25,043 | $112,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 15,974 | $111,000 | thousands by filing date | |
| HUTTIG BUILDING PRODUCTS | 448451104 | COMM | 19,159 | $111,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOURG SHS NEW | L7257P114 | Stock | 27,380 | $111,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 13,012 | $109,000 | thousands by filing date | |
| Zedge Inc | 98923T104 | COM | 31,944 | $109,000 | thousands by filing date | |
| CHRISTOPHER + BANKS CORP | 171046105 | COM | 75,409 | $109,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 23,183 | $109,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 34,680 | $108,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 23,735 | $107,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 46,285 | $107,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 11,791 | $106,000 | thousands by filing date | |
| SEMICONDUCTOR MFG INTL CORP | 81663N206 | SPONSORED ADR | 19,100 | $106,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 50,000 | $104,000 | thousands by filing date | call |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 10,237 | $103,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 20,300 | $103,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 25,383 | $103,000 | thousands by filing date | |
| VIOLIN MEMORY INC COM NEW | 92763A309 | Stock | 141,750 | $103,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 13,798 | $102,000 | thousands by filing date | |
| MERCER INTL INC | 588056101 | COM | 12,099 | $102,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 12,805 | $102,000 | thousands by filing date | |
| NEWCASTLE INVT CORP NEW COM PAR $0.01 | 65105M603 | REIT | 22,601 | $102,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 19,562 | $101,000 | thousands by filing date | |
| COBALT INTL ENERGY INC | 19075F106 | COM | 81,509 | $101,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 21,840 | $101,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225111 | W EXP 03/28/201 | 640,800 | $101,000 | thousands by filing date | |
| AMIRA NATURE FOODS LTD | G0335L102 | SHS | 12,089 | $100,000 | thousands by filing date | |
| LM FDG AMER INC | 502074107 | COM | 12,367 | $100,000 | thousands by filing date | |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 29,582 | $97,000 | thousands by filing date | |
| CHIASMA INC | 16706W102 | COM | 32,984 | $97,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 28,011 | $97,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 18,298 | $96,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 16,800 | $96,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 15,655 | $95,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 11,000 | $95,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 15,735 | $95,000 | thousands by filing date | |
| TESCO CORP | 88157K101 | COMMON STOCK-FO | 11,330 | $92,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 19,193 | $92,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 66,986 | $90,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 16,859 | $90,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 24,815 | $89,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,825 | $86,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 80,189 | $86,000 | thousands by filing date | |
| INTEVAC INC | 461148108 | COM | 14,109 | $83,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 24,324 | $83,000 | thousands by filing date | |
| UNIQURE NV | N90064101 | SHS | 10,657 | $82,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 13,511 | $82,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 11,058 | $81,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,564 | $76,000 | thousands by filing date | |
| TONIX PHARMACEUTICALS HOLDING | 890260201 | COM NEW | 108,961 | $76,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 31,950 | $75,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 120,875 | $75,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 43,306 | $74,000 | thousands by filing date | |
| ANAVEX LIFE SCIENCES CORP | 032797300 | COM NEW | 20,033 | $73,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 15,884 | $73,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 14,061 | $73,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 12,567 | $71,000 | thousands by filing date | |
| PERFORMANCE SPORTS GROUP LTD | 71377G100 | COM | 17,300 | $70,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 17,700 | $69,000 | thousands by filing date | |
| SEARS HOMETOWN & OUTLET STOR | 812362101 | COM | 14,031 | $69,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 36,520 | $68,000 | thousands by filing date | |
| YUME INC | 98872B104 | COM | 17,011 | $68,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 78,378 | $66,000 | thousands by filing date | |
| RENTECH INC | 760112201 | COMMON STOCK | 22,100 | $65,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 10,197 | $64,000 | thousands by filing date | |
| VERICEL CORP | 92346J108 | COM | 22,997 | $64,000 | thousands by filing date | |
| Xunlei Ltd-Adr | 98419E108 | COM | 11,741 | $63,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 11,501 | $63,000 | thousands by filing date | |
| IMATION CORP | 45245A107 | COM | 96,092 | $61,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 11,730 | $60,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 18,906 | $60,000 | thousands by filing date | |
| CEL SCI CORP | 150837177 | *W EXP 10/11/201 | 500,000 | $60,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 12,394 | $58,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 79,222 | $56,000 | thousands by filing date | |
| CEMTREX INC | 15130G303 | COM PAR $.001 | 14,054 | $56,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 120,016 | $55,000 | thousands by filing date | |
| SOCKET MOBILE INC | 83368E200 | COM NEW | 20,239 | $55,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 22,963 | $54,000 | thousands by filing date | |
| ONCOBIOLOGICS INC | 68235M121 | *W EXP 05/18/201 | 43,394 | $52,000 | thousands by filing date | |
| Adverum Biotechnologies, Inc. | 00773U108 | Common Stock | 11,941 | $49,000 | thousands by filing date | |
| INTELSAT S A | L5140P101 | COM | 16,800 | $46,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 160,159 | $44,000 | thousands by filing date | |
| PHASERX INC | 71723F103 | COM | 15,358 | $39,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 12,136 | $38,000 | thousands by filing date | |
| ZAIS GROUP HLDGS INC | 98887G106 | COM | 16,565 | $38,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 22,302 | $37,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 11,384 | $36,000 | thousands by filing date | |
| THE ONE GROUP HOSPITALITY IN | 88338K103 | COM | 14,181 | $35,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 19,793 | $35,000 | thousands by filing date | |
| ULTRAPETROL BAHAMAS LTD | P94398107 | COM | 113,600 | $34,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 16,151 | $34,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 11,648 | $34,000 | thousands by filing date | |
| CONNECTURE INC COM | 20786J106 | Stock | 18,187 | $34,000 | thousands by filing date | |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 18,205 | $33,000 | thousands by filing date | |
| W & T OFFSHORE INC | 92922P106 | COM | 18,355 | $32,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 15,462 | $32,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 40,214 | $32,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 10,663 | $30,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P116 | *W EXP 06/19/202 | 500,000 | $26,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 17,334 | $24,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 14,160 | $24,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 12,033 | $23,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 14,873 | $22,000 | thousands by filing date | |
| BROADWAY FINL CORP DEL | 111444105 | COM | 12,342 | $22,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 11,820 | $21,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 16,031 | $21,000 | thousands by filing date | |
| ONCOBIOLOG-CW17A | 68235M113 | EQUITY WRT | 43,525 | $21,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 11,560 | $19,000 | thousands by filing date | |
| TOKAI PHARMACEUTICALS INC COM | 88907J107 | Stock | 12,703 | $19,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,041 | $18,000 | thousands by filing date | |
| VERTEX ENERGY INC | 92534K107 | COM | 14,573 | $17,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 22,174 | $17,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 23,393 | $15,000 | thousands by filing date | |
| OPGEN INC | 68373L117 | *W EXP 05/05/202 | 76,821 | $15,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 14,804 | $13,000 | thousands by filing date | |
| GIGA TRONICS INC | 375175106 | COM | 13,012 | $12,000 | thousands by filing date | |
| CUMULUS MEDIA INC | 231082108 | CL A | 31,396 | $10,000 | thousands by filing date | |
| AMERICAN DG ENERGY INC | 025398108 | COM | 37,375 | $10,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 22,500 | $8,000 | thousands by filing date | |
| CHANTICLEER HLDGS INC | 15930P131 | W EXP 06/11/201 | 222,222 | $8,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 17,038 | $5,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 150,000 | $2,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 72,235 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001273087-16-000036 | this filing | 2016-11-14 | acceptance time not in the bulk data set |