13F-HR/A filed by Commonwealth Equity Services, Inc
Commonwealth Equity Services, Inc filed this 13F-HR/A for the quarter ended 2017-03-31, filed 2018-02-16, with 2,414 holding rows worth $14,935,564,000.
- Accession
- 0001333978-18-000004
- Filer
- CIK 1333978
- Filed
- 2018-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, amendment of type restatement, 2,414 entries on the cover page, a total value of $14,935,564,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,935,565,000 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 |
|---|---|---|---|---|---|---|
| ALKERMES PLC | G01767105 | SHS | 4,216 | $247,000 | thousands by filing date | |
| LIFE STORAGE INC | 53223X107 | COM | 3,012 | $247,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R878 | DORSEY WRIGHT | 11,002 | $247,000 | thousands by filing date | |
| IPATH DJ-UBS COCOA SUBINDEX | 06739H313 | CMN | 9,512 | $247,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 2,051 | $246,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 4,609 | $246,000 | thousands by filing date | |
| ORCHIDS PAPER PRODUCTS CO | 68572N104 | COMMON STOCK | 10,218 | $245,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J404 | CMN | 7,734 | $245,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 176,470 | $244,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 8,778 | $244,000 | thousands by filing date | |
| BLUE HILLS BANCORP INC | 095573101 | COM | 13,690 | $244,000 | thousands by filing date | |
| COCA COLA CONS INC | 191098102 | COM | 1,181 | $243,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 20,713 | $243,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 52,662 | $243,000 | thousands by filing date | |
| PACIFIC CONTINENTAL CORP | 69412V108 | COMMON STOCK | 9,902 | $243,000 | thousands by filing date | |
| ISHARES GLOBAL HIGH YIELD CO | 464286178 | US INTL HGH YLD | 4,907 | $242,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 90,656 | $242,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 3,009 | $242,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 16,190 | $241,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33718M105 | COM SHS ANNUAL | 5,670 | $241,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 2,885 | $240,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y673 | US INFR DEV ETF | 16,245 | $240,000 | thousands by filing date | |
| TENNANT CO | 880345103 | COM | 3,300 | $240,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 2,391 | $239,000 | thousands by filing date | |
| SPDR SER TR | 78464A862 | S&P SEMICNDCTR | 3,965 | $239,000 | thousands by filing date | |
| ALEXANDER & BALDWIN INC NEW | 014491104 | COM | 5,372 | $239,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 17,005 | $237,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 8,646 | $237,000 | thousands by filing date | |
| TWILIO INC CL A | 90138F102 | Stock | 8,161 | $236,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 6,826 | $236,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 3,772 | $236,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 5,732 | $236,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 18,915 | $236,000 | thousands by filing date | |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 5,305 | $235,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 7,970 | $235,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 32,432 | $235,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q593 | MED BREAKTHGH | 9,132 | $235,000 | thousands by filing date | |
| ISHARES INC | 46434G509 | CUR HD MSCI EM | 10,336 | $235,000 | thousands by filing date | |
| ENSTAR GROUP LIMITED | G3075P101 | SHS | 1,230 | $235,000 | thousands by filing date | |
| HEALTHCARE RLTY TR | 421946104 | COM | 7,239 | $235,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 40,107 | $235,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 4,539 | $234,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 16,766 | $234,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 84,745 | $234,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 40,219 | $233,000 | thousands by filing date | |
| WATTS WATER TECHNOLOGIES INC CL A | 942749102 | Stock | 3,728 | $232,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 12,624 | $232,000 | thousands by filing date | |
| FLY LEASING LTD | 34407D109 | SPONSORED ADR | 17,700 | $232,000 | thousands by filing date | |
| ABIOMED INC | 003654100 | COM | 1,848 | $231,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 4,250 | $231,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 12,945 | $231,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 2,953 | $230,000 | thousands by filing date | |
| ISHARES TR | 46434V738 | CORE MSCI EURO | 5,200 | $229,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 13,153 | $229,000 | thousands by filing date | |
| FORTIS INC | 349553107 | COM | 6,898 | $229,000 | thousands by filing date | |
| TAILORED BRANDS INC | 87403A107 | COM | 15,319 | $229,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 4,794 | $228,000 | thousands by filing date | |
| DIREXION SHS ETF TR ZACKS MLP | 25459y298 | INDX FD | 12,118 | $228,000 | thousands by filing date | |
| EMCOR GROUP INC COM | 29084Q100 | Stock | 3,601 | $227,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X681 | INTL HLTH ETF | 4,848 | $227,000 | thousands by filing date | |
| INFOSYS LTD SPONSORED ADR | 456788108 | ADR | 14,315 | $226,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 5,765 | $226,000 | thousands by filing date | |
| POWERSHS EXCH TRAD FD TR INSURED NEW YORK MUNI | 73936T458 | ETF | 9,391 | $226,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 20,606 | $225,000 | thousands by filing date | |
| ISHARES INC ETF MSCI GLOBAL GOLD MINERS ETF NEW | 46434G855 | ETF | 11,879 | $225,000 | thousands by filing date | |
| FRESENIUS MEDICAL CARE AG SPONSORED ADR | 358029106 | ADR | 5,326 | $224,000 | thousands by filing date | |
| BLACK HILLS CORP COM | 092113109 | Stock | 3,351 | $223,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 24,985 | $223,000 | thousands by filing date | |
| FIRST MIDWEST BANCORP INC/IL | 320867104 | COM | 9,421 | $223,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 7,102 | $222,000 | thousands by filing date | |
| CABOT CORP | 127055101 | COM | 3,706 | $222,000 | thousands by filing date | |
| ISHARES | 46434VBG4 | EXCHANGE TRADED | 8,953 | $222,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 33,370 | $222,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 17,542 | $222,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 13,390 | $221,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,531 | $221,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 6,135 | $220,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 51,000 | $220,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A573 | ST STR SP HCSVC | 3,792 | $220,000 | thousands by filing date | |
| PAREXEL INTL CORP | 699462107 | COM | 3,483 | $220,000 | thousands by filing date | |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 1,516 | $219,000 | thousands by filing date | |
| ITAU UNIBANCO HLDG S A SPON ADR REP PFD | 465562106 | ADR | 18,151 | $219,000 | thousands by filing date | |
| CORCEPT THERAPEUTICS INC | 218352102 | COM | 20,000 | $219,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 11,949 | $219,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 18,200 | $218,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 33,341 | $218,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 10,998 | $218,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 5,670 | $217,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 8,735 | $217,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R403 | BROAD US TIPS | 3,723 | $217,000 | thousands by filing date | |
| NEXPOINT DIVERSIFIED REAL ESTA | 65340G205 | COM NEW | 9,434 | $216,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 1,683 | $216,000 | thousands by filing date | |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 4,299 | $216,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X658 | DYN EN EX PROD | 10,165 | $216,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N832 | VCSHS US SML CAP | 5,160 | $216,000 | thousands by filing date | |
| ISHARES TR | 46432FAW7 | IBONDS MAR18 ETF | 8,426 | $216,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 3,511 | $215,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 5,528 | $215,000 | thousands by filing date | |
| 2U INC | 90214J101 | COM | 5,430 | $215,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 15,774 | $214,000 | thousands by filing date | |
| IDEAL PWR INC | 451622104 | COM | 65,763 | $214,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X855 | ST STR INFRA ETF | 4,352 | $213,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 8,599 | $212,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 16,073 | $212,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 11,663 | $212,000 | thousands by filing date | |
| PB BANCORP INC | 70454T100 | COM | 20,777 | $212,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 6,186 | $211,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 41,153 | $211,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 82,606 | $211,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 3,657 | $211,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 25,486 | $211,000 | thousands by filing date | |
| XPO INC COM | 983793100 | Stock | 4,375 | $210,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 50,896 | $210,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 12,351 | $210,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L108 | SELECT FINL | 10,103 | $210,000 | thousands by filing date | |
| BNC Bancorp | 05566T101 | Com | 6,004 | $210,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 5,551 | $209,000 | thousands by filing date | |
| CHOICE HOTELS INTL INC | 169905106 | COM | 3,342 | $209,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 12,487 | $209,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R106 | 1-3YR USTREIDX | 4,126 | $209,000 | thousands by filing date | |
| LAKELAND FINL CORP | 511656100 | COM | 4,816 | $208,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 4,823 | $208,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 236 | $208,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 11,874 | $208,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 17,968 | $207,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 5,283 | $206,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 10,236 | $206,000 | thousands by filing date | |
| AMEDISYS INC | 023436108 | COM | 4,028 | $206,000 | thousands by filing date | |
| UNION BANKSHARES CORP | 90539J109 | COM | 5,843 | $206,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP CL A | 78410G104 | REIT | 1,707 | $205,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 4,465 | $205,000 | thousands by filing date | |
| EASTGROUP PPTYS INC | 277276101 | COM | 2,783 | $205,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 11,228 | $204,000 | thousands by filing date | |
| ZIONS BANCORPORATION | 989701107 | COM | 4,844 | $203,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,318 | $202,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 3,333 | $202,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 4,210 | $202,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 5,383 | $202,000 | thousands by filing date | |
| NATIXIS ETF TR | 63873X109 | SEEYOND INTL ETF | 4,950 | $202,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y628 | ATHENA HGH DIV | 11,121 | $202,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 1,593 | $201,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 4,422 | $201,000 | thousands by filing date | |
| FOUR CORNERS PPTY TR INC | 35086T109 | COM | 8,819 | $201,000 | thousands by filing date | |
| LANNETT COMPANY INCORPORATED | 516012101 | COM | 9,010 | $201,000 | thousands by filing date | |
| ISHARES INC | 46434G780 | MSCI SINGPOR ETF | 8,815 | $201,000 | thousands by filing date | |
| AGRIUM INC | 008916108 | COM | 2,106 | $201,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 13,248 | $200,000 | thousands by filing date | |
| PACER FDS TR | 69374H881 | US CASH COWS 100 | 7,692 | $200,000 | thousands by filing date | |
| WISDOMTREE TR | 97717x552 | EUROP OPPOR FD | 7,079 | $200,000 | thousands by filing date | |
| TEJON RANCH CO | 879080109 | COMMON STOCK | 9,150 | $200,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 13,872 | $199,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 49,799 | $199,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 13,649 | $198,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 12,620 | $198,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 16,633 | $198,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 313,518 | $198,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 25,569 | $197,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 26,186 | $197,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 13,518 | $194,000 | thousands by filing date | |
| NORTHEAST BANCORP | 663904209 | COM | 12,650 | $194,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 23,755 | $193,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 22,238 | $191,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 31,227 | $191,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 15,500 | $191,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 13,535 | $190,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 25,875 | $190,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 11,259 | $189,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 14,480 | $188,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 14,708 | $188,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 190,000 | $188,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 48,638 | $188,000 | thousands by filing date | |
| TIDEWATER INC | 886423102 | COM | 162,134 | $186,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 18,391 | $185,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 20,590 | $185,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 19,903 | $183,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 29,372 | $182,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 14,306 | $181,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 17,608 | $180,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,334 | $180,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 13,233 | $180,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 12,410 | $180,000 | thousands by filing date | |
| FIRST TR/ABERDEEN EMERG OPT | 33731K102 | COM | 11,791 | $180,000 | thousands by filing date | |
| TENET HEALTHCARE CORP COM NEW | 88033G407 | Stock | 10,124 | $179,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 20,565 | $179,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 31,911 | $179,000 | thousands by filing date | |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 20,703 | $178,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 28,844 | $178,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 18,141 | $177,000 | thousands by filing date | |
| MSB FINL CORP NEW | 55352L101 | COM | 10,724 | $177,000 | thousands by filing date | |
| NUVEEN FLEXIBLE INVT INCOME | 67075B104 | COM | 10,454 | $177,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 25,135 | $175,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 32,374 | $175,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 12,384 | $175,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 12,420 | $174,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 11,170 | $174,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 75,667 | $172,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 57,587 | $172,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 21,417 | $172,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 14,639 | $171,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS INC COM | 101119105 | Stock | 10,365 | $170,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 10,108 | $169,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 20,477 | $168,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 16,618 | $168,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 10,564 | $168,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 17,585 | $167,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 18,280 | $167,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 75,513 | $166,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 25,500 | $165,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 18,117 | $164,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 14,157 | $164,000 | thousands by filing date | |
| PEOPLES FINL CORP MISS | 71103B102 | COM | 10,848 | $163,000 | thousands by filing date | |
| CALIX INC | 13100M509 | COM | 22,350 | $162,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 13,867 | $162,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 158,000 | $162,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 23,260 | $161,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 14,873 | $159,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 12,329 | $159,000 | thousands by filing date | |
| BLACKROCK MASS TAX-EXEMPT TR | 09258E109 | SH BEN INT | 11,634 | $159,000 | thousands by filing date | |
| ASTRONOVA INC | 04638F108 | COM | 10,310 | $157,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,988 | $154,000 | thousands by filing date | |
| NABRIVA THERAPEUTICS AG | 62957M104 | SPONSORED ADR | 12,760 | $153,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 15,329 | $152,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 10,756 | $152,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 27,711 | $151,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 10,271 | $151,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 11,490 | $151,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 12,563 | $150,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 241,862 | $150,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 10,479 | $150,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 15,138 | $150,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 147,000 | $150,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 12,202 | $149,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 12,343 | $149,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 66,390 | $147,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 30,123 | $147,000 | thousands by filing date | |
| INTELLIA THERAPEUTICS INC | 45826J105 | COM | 10,450 | $147,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 43,220 | $147,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 11,135 | $147,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 11,344 | $145,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 16,873 | $144,000 | thousands by filing date | |
| RAMBUS INC DEL COM | 750917106 | Stock | 10,956 | $144,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 18,600 | $144,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 21,578 | $143,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 14,704 | $141,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 11,878 | $139,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 13,904 | $139,000 | thousands by filing date | |
| WESTERN ASSET CORPORATE LN F | 95790J102 | COM | 12,117 | $137,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 31,238 | $137,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,200 | $136,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 12,384 | $136,000 | thousands by filing date | |
| MANAGED DURATION INVT GRD FU | 56165R103 | COM | 10,112 | $133,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 14,302 | $131,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,467 | $131,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 22,687 | $130,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 14,170 | $129,000 | thousands by filing date | |
| CVD EQUIP CORP | 126601103 | COM | 12,428 | $129,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 171,725 | $128,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 15,685 | $128,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 15,778 | $127,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 10,100 | $126,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 44,336 | $126,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 15,711 | $125,000 | thousands by filing date | |
| MFS SPECIAL VALUE TRUST | 55274E102 | CMN | 20,879 | $121,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 20,873 | $120,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 10,017 | $119,000 | thousands by filing date | |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 116,000 | $119,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 10,478 | $118,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 12,596 | $118,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 13,067 | $116,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,043 | $113,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 23,929 | $112,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 15,208 | $110,000 | thousands by filing date | |
| COHEN & STEERS GLOBAL INC BLDR | 19248M103 | COM | 11,784 | $108,000 | thousands by filing date | |
| SYNERON MEDICAL LTD | M87245102 | ORD | 10,000 | $106,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R401 | COM NEW | 20,108 | $106,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 11,031 | $103,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 22,423 | $103,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 10,074 | $102,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 33,075 | $102,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 70,212 | $100,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 10,664 | $100,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 15,910 | $100,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 13,944 | $100,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 10,230 | $100,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K205 | COMMON STOCK | 18,449 | $99,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 11,463 | $99,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 13,449 | $97,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 14,725 | $97,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,773 | $95,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,292 | $94,000 | thousands by filing date | |
| MILESTONE PHARMACEUTICALS IN | 59935P209 | COM NEW | 69,097 | $93,000 | thousands by filing date | |
| EVOKE PHARMA INC | 30049G104 | COM | 30,062 | $93,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 27,716 | $89,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 17,462 | $88,000 | thousands by filing date | |
| CMB.TECH NV SHS | B38564108 | Stock | 11,069 | $87,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 35,100 | $87,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,473 | $85,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 28,953 | $85,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G206 | COM NEW | 10,989 | $82,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 27,410 | $78,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 22,649 | $78,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 39,426 | $75,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 19,509 | $74,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 10,949 | $74,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 14,447 | $73,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 22,466 | $71,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,729 | $68,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,684 | $66,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 11,647 | $63,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 15,639 | $61,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 10,342 | $60,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 38,755 | $60,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 14,542 | $58,000 | thousands by filing date | |
| R1 RCM INC | 749397105 | COM | 18,500 | $57,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 32,545 | $55,000 | thousands by filing date | |
| AZURRX BIOPHARMA INC | 05502L105 | COM | 14,247 | $55,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 53,757 | $54,000 | thousands by filing date | |
| CHAMPIONS ONCOLOGY INC | 15870P307 | COM NEW | 16,653 | $53,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 62,269 | $53,000 | thousands by filing date | |
| RELM WIRELESS CORP | 759525108 | COM | 10,524 | $53,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 55,000 | $53,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 14,916 | $52,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 20,432 | $52,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 71,802 | $52,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 10,009 | $51,000 | thousands by filing date | |
| PROTALIX BIOTHERAPEUTICS INC | 74365A101 | COM | 37,750 | $51,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 14,088 | $48,000 | thousands by filing date | |
| REAL GOODS SOLAR XXXREGISTRATION REVOKED BY THE SEC EFF: 05/02/22 | 75601N500 | Equity | 34,503 | $48,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,090 | $47,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 47,569 | $46,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 106,565 | $46,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 28,304 | $45,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 42,215 | $43,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 12,023 | $43,000 | thousands by filing date | |
| Royal Bk CDA Sub Nt NVCC Conve | 780082AD5 | CONV | 40,000 | $42,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 15,602 | $41,000 | thousands by filing date | |
| PROPHASE LABS INC | 74345W108 | COM | 17,500 | $40,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 33,828 | $40,000 | thousands by filing date | |
| MICRON SOLUTIONS INC | 59511X105 | COM | 10,000 | $40,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 23,757 | $39,000 | thousands by filing date | |
| DANAHER CORP DEL | 235851AF9 | NOTE 1/2 | 12,000 | $39,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 18,503 | $37,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 21,410 | $37,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 26,120 | $36,000 | thousands by filing date | |
| ENERGY FOCUS INC | 29268T300 | COM NEW | 10,957 | $36,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 10,680 | $35,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 24,071 | $35,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 22,699 | $34,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,100 | $34,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 13,038 | $34,000 | thousands by filing date | |
| PLURISTEM THERAPEUTICS INC | 72940R102 | COM | 27,516 | $34,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 19,694 | $33,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 16,645 | $32,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 30,000 | $32,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 16,925 | $31,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 29,000 | $31,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AK8 | NOTE 3.250 4/0 | 25,000 | $30,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 11,250 | $29,000 | thousands by filing date | |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 25,000 | $29,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 23,738 | $28,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 10,002 | $27,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 27,000 | $27,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 25,000 | $27,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 26,000 | $26,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 11,474 | $26,000 | thousands by filing date | |
| INTELLIPHARMACEUTICS INTERNA | 458173101 | CMN | 10,264 | $26,000 | thousands by filing date | |
| TOP SHIPS INC | Y8897Y156 | SHS NEW 2016 | 23,809 | $26,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 13,398 | $25,000 | thousands by filing date | |
| KB HOME 1.375 | 48666KAS8 | NOTE 1.375% 2/0 | 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 | 14,312 | $25,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 25,000 | $25,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 23,000 | $24,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 23,000 | $24,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 23,000 | $24,000 | thousands by filing date | |
| INSEEGO CORP | 45782B104 | COMMON STOCK | 11,006 | $23,000 | thousands by filing date | |
| CHESAPEAKE ENERGY CORP | 165167BW6 | NOTE 2.750%11/1 | 39,000 | $23,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 11,000 | $23,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 25,000 | $23,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 20,500 | $22,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AH5 | NOTE 2.875% 3/1 | 25,000 | $22,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 12,500 | $21,000 | 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 | |
| NETLIST INC | 64118P109 | COM | 20,000 | $20,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 34,087 | $20,000 | thousands by filing date | |
| PERION NETWORK LTD | M78673106 | COMMON STOCK USD.01 | 11,400 | $20,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 12,900 | $20,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 16,930 | $20,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 42,259 | $19,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 14,000 | $19,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 16,733 | $19,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 12,601 | $18,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q408 | COM PAR | 10,619 | $18,000 | thousands by filing date | |
| NANOVIRICIDES INC | 630087203 | COM NEW | 16,331 | $18,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 12,634 | $17,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 10,788 | $17,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 13,287 | $16,000 | thousands by filing date | |
| LIQTECH INTERNATIONAL | 53632a102 | COM | 42,000 | $16,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 10,881 | $15,000 | thousands by filing date | |
| LIGHTBRIDGE CORP | 53224K203 | COM NEW | 11,346 | $15,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 22,938 | $14,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 13,000 | $13,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 11,099 | $13,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 11,000 | $11,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 13,300 | $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 | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 16,000 | $10,000 | thousands by filing date | |
| CERECOR INC | 15671L109 | COM | 13,012 | $9,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 16,701 | $7,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 11,033 | $7,000 | thousands by filing date | |
| BIOSTAGE INC | 09074M103 | COM | 14,547 | $5,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 13,250 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 79,340 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001333978-17-000006 | superseded | 2017-05-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001333978-18-000004 | this filing | 2018-02-16 | acceptance time not in the bulk data set |