13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-13, with 4,210 holding rows worth $366,196,482,000.
- Accession
- 0001390777-14-000087
- Filer
- CIK 1390777
- Filed
- 2014-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A combination report, 22,485 entries on the cover page, a total value of $366,196,482,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $366,196,482,000 with VALUE read as thousands by filing date, 13F file number 028-12592. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
Other managers
- reports for this filerKELLOGG W K FOUNDATION TRUST028-15333
- reports for this filer1832 Asset Management L.P.028-11685
- reports for this filerJOHNSTON ASSET MANAGEMENT CORP028-05210
- reports for this filerWHV Investment Management, Inc.028-01204
- included managerThe Boston Company Asset Management, LLC 028-00242
- included managerBNY Mellon Trust of Delaware 028-12592
- included managerMellon Capital Management Corporation 028-02900
- included managerThe Dreyfus Corporation 028-00127
- included managerNewton Capital Management Limited 028-12592
- included managerNewton Investment Management Limited 028-04797
- included managerStandish Mellon Asset Management Company LLC 028-04303
- included managerThe Bank of New York Mellon Trust Company, NA 028-11850
- included managerThe Bank of New York Mellon 028-02009
- included managerBNY Mellon, NA 028-00620
- included managerWalter Scott & Partners Limited 028-12592
- included managerCenterSquare Investment Management, Inc. 028-05577
- included managerLockwood Advisors, Inc. 028-11769
- included managerBNY Mellon Service Kapitalanlage-Gesellschaft mbH 028-12592
- included managerAmerican Beacon Advisors, Inc. 028-14511
- included managerCupps Capital Management, LLC 028-12766
- included managerEAM Investors, LLC 028-14070
- included managerFayez Sarofim & Co. 028-10991
- included managerGeneva Capital Management, LTD 028-03935
- included managerHamon Asian Advisors Limited 028-13658
- included managerIridian Asset Management, LLC 028-06008
- included managerKayne Anderson Rudnick Investment Management, LLC 028-05792
- included managerKing Investment Advisors, Inc. 028-01717
- included managerLombardia Capital Partners, LLC 028-03157
- included managerNeuberger Berman Management, LLC 028-13574
- included managerNicholas Investment Partners, L.P. 028-12426
- included managerRiverbridge Partners, LLC 028-05655
- included managerRobeco Investment Management, Inc. 028-12484
- included managerThompson, Siegel & Walmsley, LLC 028-04041
- included managerVulcan Value Partners, LLC 028-15045
- included managerWalthausen & Co., LLC 028-13672
- included managerMeriten Investment Management GmbH 028-12592
- included managerGranite Investment Partners, LLC 028-14862
- included managerRice Hall James & Associates, LLC 028-10467
- included managerSirios Capital Management, L.P. 028-05369
- included managerUnion Point Advisers 028-15635
- included managerOwl Creek Asset Management, L.P. 028-11037
- included managerPerella Weinberg Partners Capital Management LP 028-12930
- included managerBNY Mellon Investment Management Cayman Ltd. 028-12592
- included managerChanning Capital Management 028-11090
- included managerBrown Brothers Harriman & Co. 028-00408
- included managerStandard Pacific Capital LLC 028-06046
- included managerTOBAM 028-14715
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 |
|---|---|---|---|---|---|---|
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 15,801 | $118,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 34,473 | $118,000 | thousands by filing date | |
| TECUMSEH PRODS CO | 878895309 | COM | 27,542 | $118,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 58,489 | $117,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 16,288 | $116,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 20,300 | $116,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 10,047 | $114,000 | thousands by filing date | |
| FONAR CORP | 344437405 | COM NEW | 10,339 | $114,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 76,857 | $114,000 | thousands by filing date | |
| ROYAL BANCSHARES OF PENN-A | 780081105 | CL A | 70,588 | $114,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 11,646 | $113,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 15,000 | $113,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 13,799 | $112,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 45,996 | $112,000 | thousands by filing date | |
| INNOVATIVE SOLUTIONS SUPP | 45769N105 | COMMON STOCK | 21,245 | $111,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 60,184 | $111,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 16,000 | $110,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 92,827 | $110,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 22,249 | $109,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 69,479 | $109,000 | thousands by filing date | |
| LO JACK CORP | 539451104 | COMMON STOCK | 27,622 | $108,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 63,023 | $108,000 | thousands by filing date | |
| CEMENTOS PACASMAYO SAA - ADR | 15126Q109 | SPON | 12,080 | $108,000 | thousands by filing date | |
| PLANAR SYSTEMS INC | 726900103 | COM | 28,403 | $108,000 | thousands by filing date | |
| AMBASSADORS GROUP INC | 023177108 | COM | 28,977 | $107,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 28,310 | $107,000 | thousands by filing date | |
| 1ST CENTURY BANCSHARES INC | 31943X102 | COM | 14,500 | $107,000 | thousands by filing date | |
| ZHONE TECHNOLOGIES INC NEW | 98950P884 | COM | 39,652 | $107,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 12,966 | $106,000 | thousands by filing date | |
| OCERA THERAPEUTICS INC COM | 67552A108 | COM | 21,703 | $106,000 | thousands by filing date | |
| CHINA GREEN AGRICULTURE INC | 16943W105 | COMMON STOCK | 53,000 | $105,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 101,878 | $105,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 34,408 | $104,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 95,468 | $104,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 48,991 | $104,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 128,027 | $104,000 | thousands by filing date | |
| PLANET PAYMENT INC | U72603118 | SHS | 53,065 | $104,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 29,464 | $103,000 | thousands by filing date | |
| ARTS WAY MFG INC | 043168103 | COM | 20,494 | $102,000 | thousands by filing date | |
| PERFUMANIA HOLDINGS INC | 71376C100 | COM | 16,019 | $102,000 | thousands by filing date | |
| VIDEO DISPLAY CORP | 926555103 | COM | 34,698 | $102,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 46,883 | $101,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 89,461 | $100,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 85,204 | $100,000 | thousands by filing date | |
| COSI INC | 22122P200 | COM | 44,480 | $100,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 17,663 | $100,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 11,598 | $99,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 12,414 | $98,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 19,387 | $97,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 17,016 | $97,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 27,095 | $96,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 47,105 | $96,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 22,000 | $95,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 27,789 | $95,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 19,375 | $93,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 167,295 | $93,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 10,125 | $93,000 | thousands by filing date | |
| KOSS CORP | 500692108 | COM | 44,088 | $91,000 | thousands by filing date | |
| PLUMAS BANCORP | 729273102 | COMMON STOCK | 11,660 | $90,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 52,395 | $90,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 16,307 | $89,000 | thousands by filing date | |
| FRIEDMAN INDUSTRIES | 358435105 | COMMON STOCK | 11,138 | $88,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 28,849 | $88,000 | thousands by filing date | |
| UNI-PIXEL INC | 904572203 | COM | 13,868 | $88,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 34,948 | $87,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 61,551 | $87,000 | thousands by filing date | |
| DOVER MOTORSPORTS INC | 260174107 | COM | 37,629 | $87,000 | thousands by filing date | |
| TRANS WORLD ENTERTAINMENT CP | 89336Q100 | COM | 23,787 | $87,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 10,082 | $86,000 | thousands by filing date | |
| ARRHYTHMIA RESH TECHNOLOGY I | 042698308 | COM PAR $0.01 | 12,985 | $86,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 26,379 | $85,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 23,000 | $85,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 75,999 | $85,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 56,175 | $85,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 59,955 | $85,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 14,739 | $84,000 | thousands by filing date | |
| LIQUID HLDGS GROUP INC COM | 53633A101 | COM | 62,084 | $84,000 | thousands by filing date | |
| CROWN CRAFTS INC | 228309100 | COM | 11,206 | $83,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 27,165 | $83,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 13,748 | $82,000 | thousands by filing date | |
| NETSOL TECHNOLOGIES INC | 64115A402 | COM PAR $.001 | 22,403 | $82,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 22,125 | $82,000 | thousands by filing date | |
| EMAGIN CORP | 29076N206 | COM | 34,824 | $82,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 92,013 | $82,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 17,949 | $82,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 16,343 | $81,000 | thousands by filing date | |
| EDGEWATER TECHNOLOGY INC | 280358102 | COM | 11,789 | $81,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 47,420 | $81,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 88,051 | $80,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 37,193 | $80,000 | thousands by filing date | |
| IMPERIAL HOLDINGS INC | 452834104 | COM | 12,345 | $80,000 | thousands by filing date | |
| BALLANTYNE STRONG INC | 058516105 | COM | 17,929 | $80,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 26,948 | $80,000 | thousands by filing date | |
| QUEST RESOURCE HOLDING CORP | 74836W104 | COMM | 46,057 | $80,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 35,231 | $79,000 | thousands by filing date | |
| GOLDEN ENTERPRISES | 381010107 | COM | 17,015 | $79,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 95,351 | $78,000 | thousands by filing date | |
| ALEXZA PHARMACEUTICALS INC | 015384209 | COM | 33,445 | $78,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 36,681 | $77,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 28,584 | $77,000 | thousands by filing date | |
| TEJON RANCH CO-CW16 | 879080133 | WTS | 37,879 | $77,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 50,232 | $76,000 | thousands by filing date | |
| COBRA ELECTRONICS CORP | 191042100 | COM | 17,677 | $76,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 143,486 | $76,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 31,302 | $75,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 42,247 | $75,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 72,870 | $74,000 | thousands by filing date | |
| REGADO BIOSCIENCE INC | 75874Q107 | COM | 65,413 | $74,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 66,190 | $73,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 67,566 | $73,000 | thousands by filing date | |
| SECURITY NATL FINL CORP CL A | 814785309 | COMMON STOCK | 14,490 | $72,000 | thousands by filing date | |
| NATURAL ALTERNATIVES INTL IN | 638842302 | COM NEW | 11,157 | $72,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 15,100 | $72,000 | thousands by filing date | |
| MGC DIAGNOSTICS CORP | 552768103 | COM | 10,938 | $72,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 94,869 | $71,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 61,705 | $70,000 | thousands by filing date | |
| DATA I O CORP | 237690102 | COM | 20,366 | $67,000 | thousands by filing date | |
| EMERSON RADIO CORP | 291087203 | COM NEW | 34,038 | $67,000 | thousands by filing date | |
| SHARPS COMPLIANCE CORP | 820017101 | COM | 15,286 | $67,000 | thousands by filing date | |
| VIRCO MFG CO | 927651109 | COM | 25,459 | $66,000 | thousands by filing date | |
| SYNACOR INC | 871561106 | COM | 33,688 | $65,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 35,524 | $63,000 | thousands by filing date | |
| CREXENDO INC | 226552107 | COMMON STOCK | 20,235 | $60,000 | thousands by filing date | |
| CHARLES + COLVARD LTD | 159765106 | COM | 28,362 | $60,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 44,104 | $58,000 | thousands by filing date | |
| SYPRIS SOLUTIONS INC | 871655106 | COM | 17,271 | $57,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 56,010 | $54,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 11,716 | $53,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 61,762 | $52,000 | thousands by filing date | |
| CHAMPION HOMES INC | 830830105 | COM | 12,467 | $51,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 15,338 | $51,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 15,043 | $49,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 49,137 | $48,000 | thousands by filing date | |
| ONCOGENEX PHARMACEUTICALS IN | 68230A106 | COM | 17,132 | $46,000 | thousands by filing date | |
| ROYALE ENERGY INC | 78074G200 | COM NEW | 15,957 | $46,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 11,794 | $46,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 10,583 | $45,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 49,043 | $45,000 | thousands by filing date | |
| INTERPHASE CORP | 460593106 | COM | 14,484 | $45,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 161,409 | $45,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 75,964 | $43,000 | thousands by filing date | |
| LEARNING TREE INTERNATIONAL | 522015106 | COM | 18,289 | $43,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954206 | COM | 23,915 | $43,000 | thousands by filing date | |
| CORP RES SVCS INC COM | 22004Y105 | Stock | 28,417 | $43,000 | thousands by filing date | |
| WIRELESS TELECOM GROUP INC | 976524108 | COM | 17,524 | $42,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 69,798 | $42,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 14,500 | $42,000 | thousands by filing date | |
| STANLEY FURNITURE CO INC | 854305208 | COM NEW | 14,586 | $41,000 | thousands by filing date | |
| BTU INTERNATIONAL INC | 056032105 | COM | 12,549 | $41,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 36,181 | $41,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 19,560 | $40,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 15,859 | $40,000 | thousands by filing date | |
| PDI INC | 69329V100 | COM | 16,554 | $40,000 | thousands by filing date | |
| BSQUARE CORP | 11776U300 | COM | 10,275 | $40,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 42,849 | $38,000 | thousands by filing date | |
| INFOSONICS CORP | 456784107 | COM | 19,033 | $38,000 | thousands by filing date | |
| CODEXIS INC | 192005106 | COM | 15,812 | $37,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 27,732 | $37,000 | thousands by filing date | |
| COMSTOCK HOLDING COMPANIES | 205684103 | CL A | 31,909 | $37,000 | thousands by filing date | |
| BARNWELL INDS INC | 068221100 | COM | 12,845 | $34,000 | thousands by filing date | |
| NEWTEK BUSINESS SERVICES INC | 652526104 | COMMON STOCK | 12,295 | $34,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 60,081 | $34,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 17,068 | $33,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 49,558 | $32,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 11,250 | $32,000 | thousands by filing date | |
| FIRST MARBLEHEAD CORP COM NEW | 320771207 | Stock | 11,097 | $32,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 12,302 | $30,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 11,557 | $29,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 14,433 | $29,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 16,101 | $28,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 31,223 | $28,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 13,920 | $27,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 17,800 | $27,000 | thousands by filing date | |
| DATARAM CORP | 238108302 | COM | 10,665 | $27,000 | thousands by filing date | |
| FIRST ACCEP CORP | 318457108 | COMMON STOCK | 10,521 | $26,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 45,884 | $26,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 34,736 | $26,000 | thousands by filing date | |
| LIFE PARTNERS HOLDINGS INC | 53215T106 | COM | 12,905 | $26,000 | thousands by filing date | |
| Escalera Resources Co | 296064108 | Ordinary Shares | 13,465 | $26,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 11,877 | $24,000 | thousands by filing date | |
| ESCALON MED CORP CMN STK | 296074305 | Cmn | 16,000 | $24,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 11,338 | $23,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 12,247 | $22,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 14,167 | $22,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 68,983 | $22,000 | thousands by filing date | |
| BOOKS-A-MILLION INC | 098570104 | COM | 13,341 | $22,000 | thousands by filing date | |
| CACHE INC | 127150308 | COM | 24,023 | $20,000 | thousands by filing date | |
| BIODEL INC | 09064M204 | COM | 12,201 | $20,000 | thousands by filing date | |
| PULSE ELECTRONICS CORP | 74586W205 | COM | 15,148 | $20,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 173,426 | $19,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 25,234 | $19,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 64,119 | $19,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 14,934 | $18,000 | thousands by filing date | |
| OCEAN POWER TECHNOLOGIES INC | 674870308 | COM | 13,373 | $16,000 | thousands by filing date | |
| RELIV INTERNATIONAL INC | 75952R100 | COM | 13,404 | $16,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 16,837 | $16,000 | thousands by filing date | |
| SUNLINK HEALTH SYSTEMS INC | 86737U102 | COM | 10,720 | $16,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 13,243 | $16,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 11,032 | $15,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 12,608 | $14,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 210 | $12,000 | thousands by filing date | call |
| SOLARCITY CORP | 83416T100 | COM | 203 | $12,000 | thousands by filing date | put |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 32,931 | $12,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 18,604 | $11,000 | thousands by filing date | |
| DELIAS INC XXX REGISTRATION REVOKED BY THE SEC EFF: 04/17/19 | 246911101 | Stock | 33,506 | $9,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 24,270 | $8,000 | thousands by filing date | |
| ENTERTAINMENT GAMING ASIA IN | 29383V206 | COM | 11,628 | $8,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 61,476 | $2,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 22,623 | $1,000 | thousands by filing date | |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 12,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-14-000087 | this filing | 2014-11-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-14-000088 | base | 2014-11-18 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-15-000123 | added | 2015-08-28 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001390777-16-000216 | added | 2016-04-01 | acceptance time not in the bulk data set |