13F-HR filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-01, with 2,318 holding rows worth $13,536,376,000.
- Accession
- 0001333978-17-000004
- Filer
- CIK 1333978
- Filed
- 2017-02-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 2,318 entries on the cover page, a total value of $13,536,376,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $13,536,425,000 with VALUE read as thousands by filing date, 13F file number 028-13650. A later restatement replaced it, so the quarter does not use it. 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 |
|---|---|---|---|---|---|---|
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 9,901 | $216,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 3,247 | $215,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 13,470 | $215,000 | thousands by filing date | |
| GAMING & LEISURE P COM | 36467J108 | REIT | 6,970 | $213,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X871 | ST INTL CAP ETF | 7,342 | $213,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 33,341 | $213,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,983 | $213,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 12,578 | $213,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 3,053 | $213,000 | thousands by filing date | |
| PIMCO GLOBAL ADV INFL LKD BD STRAT(ILB) | 72201R791 | ETF | 5,100 | $213,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 9,322 | $212,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 64,363 | $212,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 5,990 | $211,000 | thousands by filing date | |
| RAYMOND JAMES FINL INC COM | 754730109 | Stock | 3,049 | $211,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 14,352 | $211,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 12,294 | $211,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 6,913 | $211,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 22,204 | $211,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,099 | $210,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 16,832 | $210,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 2,872 | $210,000 | thousands by filing date | |
| POWELL INDS INC | 739128106 | COM | 5,367 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 6,343 | $209,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 10,790 | $209,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 7,918 | $209,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 8,542 | $209,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 16,019 | $209,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 4,126 | $209,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 18,140 | $208,000 | thousands by filing date | |
| EW SCRIPPS CO THE A | 811054402 | COMMON STOCK | 10,749 | $208,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 700 | $208,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 3,239 | $207,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 6,531 | $206,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 15,620 | $206,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 15,180 | $206,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,036 | $205,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,449 | $205,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 3,350 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q309 | HIGH INCM STRGC | 4,102 | $205,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 9,643 | $205,000 | thousands by filing date | |
| BLACKROCK SCIENCE & TECHNOLO | 09258G104 | SHS | 11,348 | $204,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 5,196 | $204,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 3,404 | $203,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 5,151 | $203,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 3,386 | $202,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 8,121 | $202,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371201 | LARGE VALUE | 5,871 | $202,000 | thousands by filing date | |
| PARK NATL CORP COM | 700658107 | Stock | 1,680 | $201,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 14,524 | $201,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 4,168 | $201,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E333 | GLBX SUPRINC ETF | 15,713 | $201,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 12,291 | $201,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90270L842 | ETRACS MTH 2XLV | 12,000 | $201,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 20,284 | $201,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 1,629 | $200,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 7,888 | $200,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 15,678 | $199,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F809 | COAL ETF | 16,211 | $199,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 27,038 | $198,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 13,971 | $197,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 35,293 | $197,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON | 25153Q658 | ETN DJ HY 2022 | 10,648 | $197,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 10,345 | $194,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 10,160 | $193,000 | thousands by filing date | |
| GUESS INC COM | 401617105 | Stock | 15,894 | $192,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 15,500 | $191,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 13,744 | $190,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 71,183 | $190,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 37,547 | $189,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 156,670 | $188,000 | thousands by filing date | |
| AEROJET ROCKETDYNE HLDGS INC C | 007800105 | COM | 10,468 | $188,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 14,208 | $186,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 11,841 | $185,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 20,314 | $185,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,977 | $184,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 14,254 | $182,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 313,476 | $182,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 23,605 | $181,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 13,904 | $180,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 23,258 | $180,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 27,130 | $179,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 15,604 | $179,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 20,892 | $178,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 46,723 | $178,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 21,030 | $178,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 15,355 | $176,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 18,653 | $176,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 47,746 | $176,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 18,008 | $176,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 10,848 | $175,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 17,295 | $174,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 30,705 | $173,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 19,111 | $172,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 12,310 | $172,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 10,365 | $172,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 31,852 | $172,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 26,079 | $172,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 168,000 | $172,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 25,120 | $167,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 10,003 | $166,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 13,492 | $166,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 30,083 | $166,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 19,045 | $166,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 10,672 | $165,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 11,081 | $165,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 11,171 | $165,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 11,620 | $165,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 21,680 | $164,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,765 | $163,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 16,977 | $163,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 15,398 | $163,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 14,545 | $162,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,333 | $162,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,077 | $161,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 29,026 | $161,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 11,384 | $161,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 77,167 | $160,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 12,493 | $160,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 20,871 | $159,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 18,946 | $159,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 23,952 | $159,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 21,203 | $159,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,552 | $159,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 14,157 | $159,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 24,921 | $158,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 64,513 | $158,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,724 | $158,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 10,283 | $156,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,336 | $156,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 17,477 | $156,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 18,208 | $155,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 13,096 | $155,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 11,153 | $155,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 44,118 | $154,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 15,756 | $154,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 10,674 | $153,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 13,758 | $153,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 12,329 | $153,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,880 | $152,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 15,254 | $150,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,200 | $147,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,310 | $147,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 17,949 | $146,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 35,175 | $144,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 10,119 | $143,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 10,800 | $142,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 10,435 | $140,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 11,965 | $140,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 11,398 | $139,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 135,000 | $138,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 29,958 | $137,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 47,785 | $137,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 14,485 | $137,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 11,991 | $135,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 10,928 | $133,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 10,012 | $131,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,840 | $131,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 15,882 | $130,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,472 | $130,000 | thousands by filing date | |
| WEIGHT WATCHERS INTL INC | 948626106 | COM | 11,370 | $130,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 13,959 | $128,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 10,793 | $128,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 23,000 | $128,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 21,849 | $127,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 413,261 | $127,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 25,319 | $126,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 241,862 | $124,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 21,752 | $122,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 27,240 | $121,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 17,600 | $121,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 90,425 | $121,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 23,310 | $120,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 10,461 | $119,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,455 | $119,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 16,125 | $115,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 151,665 | $113,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 14,217 | $112,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 18,406 | $112,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 21,624 | $111,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 17,492 | $110,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 15,825 | $110,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 29,495 | $108,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 13,290 | $107,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 11,653 | $107,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 105,000 | $107,000 | thousands by filing date | |
| FIFTH STR SR FLOATNG RATE CORP COM | 31679F101 | CEF | 12,298 | $107,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 45,630 | $106,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 20,874 | $104,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 30,588 | $103,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 20,624 | $101,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 11,101 | $101,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 10,162 | $100,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 14,357 | $100,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 29,413 | $100,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 18,636 | $100,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 10,511 | $99,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 12,297 | $99,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 70,399 | $99,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 21,294 | $99,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 58,915 | $97,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 24,962 | $96,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 10,297 | $92,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 10,732 | $92,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 16,531 | $92,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 10,428 | $91,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 16,257 | $89,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 10,463 | $86,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 75,202 | $86,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 59,516 | $85,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 24,966 | $85,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 10,000 | $84,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 11,437 | $84,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 15,259 | $83,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 17,494 | $81,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 20,143 | $81,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 15,242 | $79,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 39,426 | $79,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 13,449 | $78,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 12,760 | $76,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 10,078 | $75,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 15,257 | $75,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 20,049 | $72,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 10,456 | $71,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 110,390 | $70,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 70,000 | $68,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 21,662 | $67,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 38,755 | $67,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 25,535 | $66,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,684 | $63,000 | thousands by filing date | |
| DERMA SCIENCES INC | 249827502 | COM PAR $.01 | 12,100 | $63,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 10,909 | $62,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 19,716 | $61,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 30,062 | $61,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 33,798 | $60,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 22,410 | $58,000 | thousands by filing date | |
| HHGREGG INC | 42833L108 | COM | 40,000 | $57,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 17,052 | $56,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 20,354 | $52,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 34,600 | $52,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 55,000 | $51,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 102,565 | $51,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 10,315 | $50,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 42,215 | $49,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,335 | $49,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 26,352 | $46,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 12,793 | $45,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,914 | $45,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 10,657 | $45,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 40,000 | $43,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 29,324 | $42,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 28,516 | $41,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 27,304 | $41,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 12,040 | $38,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 10,000 | $38,000 | thousands by filing date | |
| BOVIE MEDICAL CORP | 10211F100 | COM | 10,700 | $38,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $36,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 17,500 | $35,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 17,968 | $33,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $33,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $32,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 12,202 | $31,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 14,127 | $30,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $30,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 12,006 | $29,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 42,910 | $29,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 16,645 | $29,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 27,000 | $28,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 25,000 | $28,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 13,468 | $27,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 42,000 | $27,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 26,000 | $26,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 14,900 | $26,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $26,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,000 | $25,000 | thousands by filing date | |
| RYLAND GROUP 0.250 | 783764AS2 | NOTE 0.250% 6/0 | 27,000 | $25,000 | thousands by filing date | |
| NAVIOS MARITIME ACQUISITION | Y62159101 | COMMON | 14,434 | $25,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 25,000 | $25,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 25,000 | $24,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 23,000 | $24,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 11,212 | $23,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 16,862 | $23,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 24,000 | $23,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 17,930 | $23,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 23,000 | $23,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 23,000 | $23,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 10,301 | $22,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 34,087 | $22,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 11,099 | $22,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $22,000 | thousands by filing date | |
| THE BANK OF NOVA4 5 25F DUE 12/16/25 | 064159HB5 | FOREIGN BONDS (US $) | 20,000 | $21,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 11,000 | $19,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $19,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 15,233 | $18,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 12,447 | $17,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 12,844 | $17,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 19,150 | $17,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 42,822 | $16,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 15,051 | $16,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 10,000 | $14,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 14,000 | $14,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 13,300 | $13,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 13,000 | $13,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 12,331 | $13,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 14,522 | $13,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 13,012 | $11,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 16,000 | $11,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| ARVINMERITOR INC | 043353AH4 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 13,500 | $10,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 11,033 | $8,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 16,701 | $6,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 10,750 | $5,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 39,000 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 18,040 | $5,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 10,850 | $3,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 15,971 | $2,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 60,108 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-17-000004 | this filing | 2017-02-01 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001333978-18-000003 | base | 2018-02-16 | acceptance time not in the bulk data set |