13F-HR filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-11, with 1,924 holding rows worth $6,885,074,000.
- Accession
- 0001333978-14-000005
- Filer
- CIK 1333978
- Filed
- 2014-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 1,924 entries on the cover page, a total value of $6,885,074,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,885,095,000 with VALUE read as thousands by filing date, 13F file number 028-13650. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| HENRY JACK & ASSOC INC | 426281101 | COM | 4,570 | $271,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 6,863 | $271,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 11,678 | $271,000 | thousands by filing date | |
| ISHARES INC | 464286202 | MSCI AUSTRIA ETF | 13,658 | $271,000 | thousands by filing date | |
| LANDAUER INC | 51476K103 | COM | 5,149 | $271,000 | thousands by filing date | |
| ISHARES TR | 464288596 | GOV/CRED BD ETF | 2,455 | $270,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267L805 | ETRACS DIV HI 43 | 10,571 | $270,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 6,947 | $269,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 5,733 | $269,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 10,160 | $269,000 | thousands by filing date | |
| JOS A BANK CLOTHIERS INC | 480838101 | COM | 4,908 | $269,000 | thousands by filing date | |
| UNITED FINANCIAL BANCORP INC | 91030T109 | COM | 14,246 | $269,000 | thousands by filing date | |
| VERADIGM INC | 01988P108 | COMMON STOCK | 17,319 | $268,000 | thousands by filing date | |
| RAVEN INDS INC COM | 754212108 | Stock | 6,524 | $268,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 42,500 | $267,000 | thousands by filing date | |
| JBT MAREL CORPORATION | 477839104 | COM | 9,111 | $267,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U191 | OIL SVCS ETF | 5,551 | $267,000 | thousands by filing date | |
| SPDR SERIES TRUST OILGAS EQUIP | 78464A748 | COM | 6,096 | $267,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 10,159 | $267,000 | thousands by filing date | |
| ROCKVILLE FINANCIAL INC | 774188106 | COM | 18,767 | $267,000 | thousands by filing date | |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 3,191 | $265,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 8,534 | $265,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 14,882 | $265,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 13,861 | $265,000 | thousands by filing date | |
| LACLEDE GROUP INC/THE | 505597104 | COM | 5,811 | $265,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 21,617 | $264,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 4,319 | $264,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 15,528 | $264,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 4,515 | $264,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 6,446 | $264,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 2,943 | $264,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 4,072 | $263,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 6,372 | $263,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 4,552 | $263,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P500 H | 73937B829 | COM | 8,601 | $263,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 5,193 | $261,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 21,530 | $261,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,273 | $261,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 5,754 | $261,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 34,390 | $260,000 | thousands by filing date | |
| ISHARES TR | 464288430 | ASIA 50 ETF | 5,416 | $260,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 4,637 | $259,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 4,699 | $259,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 3,090 | $259,000 | thousands by filing date | |
| PROSHARES TR II | 74347W361 | VIX STRMFUT ETF | 9,095 | $259,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 3,846 | $258,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 14,990 | $258,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 5,304 | $257,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 6,555 | $257,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 5,695 | $257,000 | thousands by filing date | |
| MESABI TR | 590672101 | CTF BEN INT | 11,540 | $257,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 27,765 | $257,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 2,450 | $257,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 5,929 | $257,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 64,033 | $257,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 5,096 | $256,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 6,534 | $256,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 19,900 | $256,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 4,495 | $256,000 | thousands by filing date | |
| MERIDIAN INTERSTAT BANCORP I | 58964Q104 | COM | 11,350 | $256,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 19,053 | $256,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 4,874 | $255,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 39,173 | $254,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 8,324 | $254,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 7,844 | $254,000 | thousands by filing date | |
| CAREFUSION CORP | 14170T101 | COM | 6,367 | $254,000 | thousands by filing date | |
| Vale Sa | 91912E204 | COM | 18,136 | $254,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 4,159 | $253,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 4,095 | $253,000 | thousands by filing date | |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 7,845 | $253,000 | thousands by filing date | |
| NEXSTAR MEDIA GROUP INC COMMON STOCK | 65336K103 | Stock | 4,521 | $252,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 6,350 | $252,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 8,117 | $251,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 22,191 | $250,000 | thousands by filing date | |
| GLADSTONE COMMERCIAL CORP | 376536108 | COM | 13,844 | $249,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 23,167 | $249,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 40,029 | $248,000 | thousands by filing date | |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 6,992 | $248,000 | thousands by filing date | |
| WINTRUST FINL CORP COM | 97650W108 | Stock | 5,334 | $246,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739E108 | PFD SECS INC ETF | 13,709 | $246,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 34,099 | $245,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097713 | PREFERRED STOCK | 10,229 | $245,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 7,626 | $245,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 10,454 | $245,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,076 | $244,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 24,148 | $244,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 4,893 | $244,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 4,218 | $244,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 20,700 | $244,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 4,672 | $244,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 13,450 | $243,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 72,274 | $243,000 | thousands by filing date | |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 12,514 | $243,000 | thousands by filing date | |
| CHART INDS INC | 16115Q308 | COM | 2,526 | $242,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HOLDINGS I | 049164205 | COM NEW | 5,870 | $242,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 3,671 | $241,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 3,444 | $240,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 7,224 | $240,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 4,921 | $240,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 13,766 | $238,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 16,200 | $238,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 12,617 | $238,000 | thousands by filing date | |
| PINNACLE FOODS INC DEL | 72348P104 | COM | 8,654 | $238,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 20,981 | $238,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 3,020 | $237,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 13,607 | $237,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 35,565 | $236,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 2,875 | $236,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 19,504 | $236,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 1,995 | $236,000 | thousands by filing date | |
| CURRENCYSHARES AUSTRALIAN DLAU | 23129U101 | ETF - EQUITY | 2,642 | $236,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 31,556 | $236,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 9,121 | $234,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 5,771 | $234,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 6,507 | $233,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 2,399 | $232,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF FD | 73936G308 | S&P 500 BUYWRT | 11,165 | $232,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B407 | TXBLE MUN PRTFLO | 8,512 | $232,000 | thousands by filing date | |
| LIFE TECHNOLOGIES CORP | 53217V109 | COM | 3,059 | $232,000 | thousands by filing date | |
| ARROW FINANCIAL CORP | 042744102 | COMMON STOCK | 8,706 | $231,000 | thousands by filing date | |
| GENERAL GROWTH PPTYS INC NEW | 370023103 | COM | 11,524 | $231,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 7,182 | $231,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 15,157 | $230,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41013X106 | COM | 12,816 | $229,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 6,763 | $229,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 9,303 | $229,000 | thousands by filing date | |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 25,142 | $229,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 3,074 | $228,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 3,239 | $228,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 4,608 | $226,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 9,675 | $226,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q726 | BARRONS 400 ETF | 7,584 | $226,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 19,426 | $225,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 2,807 | $225,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V707 | ST STR UL BD ETF | 5,600 | $225,000 | thousands by filing date | |
| Ashland | 044209104 | Common | 2,320 | $225,000 | thousands by filing date | |
| Vanguard Total International Bond Index Fund ETF | 92203J407 | SHS | 4,524 | $224,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 3,456 | $224,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,056 | $224,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 23,505 | $224,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 2,867 | $223,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 21,210 | $223,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 107,530 | $223,000 | thousands by filing date | |
| DIGITALGLOBE INC | 25389M877 | COM | 5,386 | $222,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 10,818 | $221,000 | thousands by filing date | |
| Invesco Intl Developed Low Vol | 73937B688 | INTL DEV LOWVL | 7,004 | $221,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 18,220 | $221,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 18,882 | $220,000 | thousands by filing date | |
| HARTFORD FINL SVCS GROUP INC | 416515120 | *W EXP 06/26/201 | 8,000 | $220,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 17,220 | $219,000 | thousands by filing date | |
| CVR REFINING LP COM UNIT REPSTG LTD PARTNER | 12663P107 | COM | 9,627 | $218,000 | thousands by filing date | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 5,165 | $217,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,713 | $217,000 | thousands by filing date | |
| BANK OF IRELAND-SPONS ADR | 46267Q202 | SPNS | 15,037 | $217,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,576 | $216,000 | thousands by filing date | |
| AXIS CAP HLDGS LTD SHS | G0692U109 | Stock | 4,512 | $215,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 6,982 | $215,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 17,562 | $214,000 | thousands by filing date | |
| TETRA TECH INC NEW | 88162G103 | COM | 7,640 | $214,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 10,525 | $214,000 | thousands by filing date | |
| OMNIAMERICAN BANCORP INC | 68216R107 | COM | 10,000 | $214,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 4,587 | $213,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 15,060 | $213,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 26,234 | $213,000 | thousands by filing date | |
| UBS AG | H89231338 | SHS | 11,062 | $213,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 11,731 | $213,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 5,731 | $212,000 | thousands by filing date | |
| ALAMO GROUP INC | 011311107 | COM | 3,482 | $211,000 | thousands by filing date | |
| FOX CORP CLASS B | 90130A200 | COM | 6,106 | $211,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 12,794 | $211,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 48,616 | $211,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 17,495 | $210,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 41,607 | $210,000 | thousands by filing date | |
| STANCORP FINL GROUP INC | 852891100 | COM | 3,165 | $210,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 3,664 | $210,000 | thousands by filing date | |
| ANDERSONS INC COM | 034164103 | Stock | 2,332 | $208,000 | thousands by filing date | |
| BANK OF AMER CORP | 060505682 | 7.25%CNV PFD L | 196 | $208,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 2,236 | $208,000 | thousands by filing date | |
| APTARGROUP INC COM | 038336103 | Stock | 3,046 | $207,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 7,663 | $207,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 2,799 | $206,000 | thousands by filing date | |
| PIMCO NY MUNICIPAL INCOME FD | 72200T103 | COM | 20,240 | $205,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q304 | JEFF TRJ CRB GLO | 4,673 | $205,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 4,152 | $204,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 21,659 | $204,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 7,036 | $204,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 5,756 | $204,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 7,109 | $204,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 19,425 | $203,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 5,550 | $203,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 12,215 | $203,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 8,387 | $203,000 | thousands by filing date | |
| ALLIANT TECHSYSTEMS INC | 018804104 | COM | 1,666 | $203,000 | thousands by filing date | |
| VOXELJET AG | 92912L107 | ADS | 5,133 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 1,925 | $201,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 1,637 | $201,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 2,277 | $200,000 | thousands by filing date | |
| NEWFIELD EXPL CO | 651290108 | COM | 8,110 | $200,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U514 | INVT GRD FL RT | 8,024 | $200,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,569 | $199,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 11,322 | $197,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 44,431 | $195,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 19,216 | $193,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 14,972 | $190,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 20,401 | $187,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 16,385 | $186,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 14,715 | $186,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 10,350 | $185,000 | thousands by filing date | |
| COSAN LTD | G25343107 | SHS A | 13,408 | $184,000 | thousands by filing date | |
| MEDALLION FINANCIAL CORP | 583928106 | COMMON STOCK | 12,837 | $184,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 19,248 | $184,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD I | 41021P103 | COM | 11,737 | $183,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 12,233 | $183,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 22,824 | $183,000 | thousands by filing date | |
| NATIONAL HEALTHCARE CORP | 635906209 | CVPFSTKF | 12,579 | $182,000 | thousands by filing date | |
| LEAP WIRELESS INTL INC | 521863308 | COM NEW | 10,422 | $181,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 15,276 | $181,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 13,746 | $180,000 | thousands by filing date | |
| DWS HIGH INCOME OPPORT FD IN | 23339M204 | COM NEW | 12,516 | $180,000 | thousands by filing date | |
| DWS HIGH INCOME TR | 23337C208 | SHS NEW | 19,632 | $179,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 19,323 | $178,000 | thousands by filing date | |
| JAVELIN MTG INVT CORP | 47200B104 | COM | 12,749 | $178,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 14,961 | $177,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 54,015 | $176,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 18,160 | $176,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 40,378 | $175,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 19,440 | $175,000 | thousands by filing date | |
| SHIP FINANCE INTL LTD | G81075106 | SHS | 10,673 | $175,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 10,261 | $173,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 13,921 | $172,000 | thousands by filing date | |
| F N B CORP | 302520101 | COM | 13,569 | $171,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 11,310 | $170,000 | thousands by filing date | |
| DOW 30 PREMIUM & DIV INC FD | 260582101 | COM | 10,917 | $170,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 12,169 | $169,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 14,934 | $169,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 16,259 | $169,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 19,562 | $169,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 13,193 | $169,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 13,159 | $169,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 22,800 | $168,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 14,232 | $168,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 13,752 | $168,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 54,311 | $167,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 11,782 | $166,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 12,800 | $165,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 30,885 | $164,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 41,826 | $162,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 13,708 | $162,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 30,780 | $162,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 13,150 | $161,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 27,002 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 12,134 | $160,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 20,343 | $160,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,292 | $159,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 11,174 | $159,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 10,903 | $157,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 11,817 | $157,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 13,142 | $157,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 12,034 | $155,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 18,203 | $155,000 | thousands by filing date | |
| KID BRANDS, INC. COM | 49375T100 | COM | 150,500 | $154,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 13,172 | $153,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 10,922 | $152,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 10,078 | $148,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 11,561 | $148,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 12,077 | $147,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 10,090 | $147,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 12,823 | $146,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 19,023 | $145,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 10,702 | $145,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 17,035 | $144,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 12,865 | $144,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 14,609 | $143,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 10,358 | $143,000 | thousands by filing date | |
| Peregrine Semiconductor | 71366R703 | COM | 19,297 | $143,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 23,215 | $142,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 10,363 | $142,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 20,047 | $142,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 11,252 | $142,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 10,848 | $142,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 15,628 | $141,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 11,413 | $141,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 18,897 | $141,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 10,870 | $140,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 14,395 | $139,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 30,115 | $139,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,310 | $139,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 15,580 | $139,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 10,210 | $136,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 10,266 | $134,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 10,098 | $133,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 12,055 | $131,000 | thousands by filing date | |
| NEXPOINT CR STRATEGIES FD | 65340G106 | COM | 13,505 | $127,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 12,909 | $125,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 18,230 | $124,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 13,362 | $124,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 18,154 | $120,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 17,817 | $120,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 21,188 | $120,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 10,223 | $119,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 18,083 | $118,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 10,381 | $118,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 10,008 | $117,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,433 | $116,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 10,523 | $116,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 18,280 | $115,000 | thousands by filing date | |
| NEWCASTLE INVT CORP | 65105M108 | COM | 19,617 | $113,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 21,637 | $112,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 11,079 | $111,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 14,737 | $109,000 | thousands by filing date | |
| CIMATRON LTD | M23798107 | ORD | 12,020 | $109,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 30,801 | $107,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 18,285 | $107,000 | thousands by filing date | |
| CHINA DIGITAL TV HLDG CO LTD | 16938G107 | SPONSORED ADR | 61,045 | $106,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 10,000 | $102,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 19,998 | $101,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 14,262 | $99,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 23,829 | $97,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 14,820 | $96,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 17,586 | $96,000 | thousands by filing date | |
| LEAPFROG ENTERPRISES INC | 52186N106 | COMMON STOCK | 11,563 | $92,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 11,463 | $92,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,277 | $91,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,035 | $91,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 40,333 | $91,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E106 | COM | 17,863 | $91,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,550 | $89,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 27,662 | $87,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 11,978 | $87,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 11,184 | $86,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 12,070 | $86,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 32,635 | $85,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 20,995 | $85,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,550 | $84,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 10,712 | $84,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS I | 45773H102 | COM | 27,792 | $81,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 17,711 | $80,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 16,933 | $80,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 38,599 | $80,000 | thousands by filing date | |
| PLX TECHNOLOGY INC | 693417107 | COM | 12,200 | $80,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 21,470 | $78,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 39,880 | $78,000 | thousands by filing date | |
| PEDEVCO CORP | 70532Y204 | COM | 36,196 | $78,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 20,365 | $77,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 14,714 | $77,000 | thousands by filing date | |
| Galena Biopharma Inc | 363256108 | COM | 15,414 | $76,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 48,494 | $75,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 12,685 | $75,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 11,536 | $72,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 10,800 | $72,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 70,000 | $71,000 | thousands by filing date | |
| PSB HLDGS INC | 69360W108 | COM | 10,650 | $68,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 19,345 | $66,000 | thousands by filing date | |
| MIDSTATES PETROLEUM CO INC | 59804T100 | COM | 10,000 | $66,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 14,000 | $64,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 14,252 | $63,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 12,984 | $62,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,000 | $62,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 16,942 | $61,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 20,187 | $60,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 10,701 | $60,000 | thousands by filing date | |
| DEMAND MEDIA INC | 24802N109 | COM | 10,250 | $59,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,489 | $59,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 33,500 | $59,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 12,680 | $58,000 | thousands by filing date | |
| EQUAL ENERGY LTD | 29390Q109 | COM | 10,700 | $57,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 10,651 | $55,000 | thousands by filing date | |
| ZOGENIX INC | 98978L105 | COM | 15,550 | $53,000 | thousands by filing date | |
| INTRICON CORP | 46121H109 | COM | 13,200 | $51,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 34,988 | $49,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 42,400 | $49,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 37,202 | $48,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 10,559 | $47,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 12,570 | $46,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC | 955306AA3 | SDCV 4.000% 3/1 | 30,000 | $46,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 10,371 | $43,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 17,320 | $43,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 20,000 | $41,000 | thousands by filing date | |
| WSP HOLDINGS LIMITED | 92934F203 | ADR NEW | 14,970 | $41,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 10,255 | $40,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 13,357 | $40,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 11,100 | $39,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 18,047 | $38,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 11,964 | $36,000 | thousands by filing date | |
| TRANSPORTADORA DE GAS SUR | 893870204 | SPONSORED ADS B | 15,982 | $35,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 24,203 | $34,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,000 | $34,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,418 | $33,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 16,690 | $33,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 13,640 | $33,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 30,000 | $32,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 30,000 | $32,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 17,964 | $32,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,298 | $31,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 19,305 | $31,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 17,100 | $31,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 21,885 | $30,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 10,000 | $29,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 30,100 | $28,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329YAC8 | CNV | 20,000 | $27,000 | thousands by filing date | |
| L-3 COMMUNICATIONS CORP | 502413AW7 | DEBT 3.000% 8/0 | 21,000 | $25,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $25,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $25,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 15,155 | $25,000 | thousands by filing date | |
| PROLOGIS | 743410AY8 | NOTE 3.250% 3/1 | 22,000 | $25,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 24,000 | $24,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 11,560 | $23,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 10,405 | $22,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 13,000 | $22,000 | thousands by filing date | |
| JETPAY CORP | 477177109 | COM | 10,399 | $21,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 16,661 | $20,000 | thousands by filing date | |
| CELL THERAPEUTICS INC | 150934883 | COM NPV NEW 2012 | 10,113 | $19,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 33,339 | $17,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 15,200 | $15,000 | thousands by filing date | |
| LDK SOLAR CO LTD | 50183L107 | SPONSORED ADR | 11,800 | $15,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 10,000 | $14,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 37,033 | $13,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 12,000 | $13,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 15,041 | $13,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 11,684 | $12,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 25,200 | $10,000 | thousands by filing date | |
| TIMBERLINE RESOURCES CORP | 887133106 | COM | 53,000 | $9,000 | thousands by filing date | |
| INTELLICHECK MOBILISA INC | 45817G102 | COM | 10,875 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-14-000005 | this filing | 2014-02-11 | acceptance time not in the bulk data set |