13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-03, with 4,266 holding rows worth $336,112,645,000.
- Accession
- 0001390777-16-000254
- Filer
- CIK 1390777
- Filed
- 2016-11-03
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A combination report, 22,845 entries on the cover page, a total value of $336,112,645,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $336,112,645,000 with VALUE read as thousands by filing date, 13F file number 028-12592. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filer1832 Asset Management L.P.028-11685
- reports for this filerKELLOGG W K FOUNDATION TRUST028-15333
- reports for this filerJOHNSTON ASSET MANAGEMENT LLC028-05210
- reports for this filerMANAGED ASSET PORTFOLIOS, LLC028-16090
- reports for this filerMawer Investment Management Ltd.028-14623
- reports for this filerABERDEEN ASSET MANAGEMENT PLC/UK028-04701
- 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 Investment Management (North America) 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 managerKayne Anderson Rudnick Investment Management, LLC 028-05792
- 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 managerWalthausen & Co., LLC 028-13672
- included managerGranite Investment Partners, LLC 028-14862
- included managerRice Hall James & Associates, LLC 028-10467
- included managerSirios Capital Management, L.P. 028-05369
- included managerOwl Creek Asset Management, L.P. 028-11037
- included managerBNY Mellon Investment Management Cayman Ltd. 028-12592
- included managerChanning Capital Management 028-11090
- included managerBrown Brothers Harriman & Co. 028-00408
- included managerMoody Aldrich Partners LLC 028-04634
- included managerCramer Rosenthal McGlynn, LLC 028-02028
- included managerPine River Capital Management LP 028-10902
- included managerRamius Advisors LLC 028-10674
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 |
|---|---|---|---|---|---|---|
| CENTURY BANCORP INC -CL A | 156432106 | CL A | 30,195 | $1,369,000 | thousands by filing date | |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 1,200,000 | $1,366,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 176,168 | $1,364,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 46,041 | $1,362,000 | thousands by filing date | |
| ING GROEP N V | 456837AE3 | DBCV 6.000%12/2 | 1,400,000 | $1,361,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 551,059 | $1,360,000 | thousands by filing date | |
| AIMMUNE THERAPEUTICS INC. | 00900T107 | Common Stock | 90,663 | $1,360,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 53,600 | $1,360,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 625,888 | $1,358,000 | thousands by filing date | |
| KMG CHEMICALS INC | 482564101 | COM | 47,819 | $1,355,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 42,657 | $1,353,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 66,301 | $1,352,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 39,188 | $1,350,000 | thousands by filing date | |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 60,765 | $1,349,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 316,472 | $1,348,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 118,404 | $1,345,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 1,500,000 | $1,335,000 | thousands by filing date | |
| TRISTATE CAP HLDGS INC COM | 89678F100 | COM | 82,515 | $1,333,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 172,884 | $1,331,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 408,664 | $1,328,000 | thousands by filing date | |
| GP STRATEGIES CORP | 36225V104 | COM | 53,771 | $1,324,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 84,165 | $1,320,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 73,649 | $1,319,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 347,710 | $1,318,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 56,477 | $1,318,000 | thousands by filing date | |
| ISHARES INC MSCI CHILE ETF | 464286640 | MSCI CHILE ETF | 35,650 | $1,315,000 | thousands by filing date | |
| UTAH MEDICAL PRODUCTS INC | 917488108 | COMMON STOCK | 21,960 | $1,313,000 | thousands by filing date | |
| CU BANCORP | 126534106 | COM | 57,572 | $1,313,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 116,159 | $1,311,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 153,307 | $1,309,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 1,650,000 | $1,305,000 | thousands by filing date | |
| CSW INDUSTRIALS INC | 126402106 | COM | 40,243 | $1,304,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 20,557 | $1,304,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 67,159 | $1,302,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 100,238 | $1,297,000 | thousands by filing date | |
| GRAHAM CORP | 384556106 | COM | 67,804 | $1,296,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 112,986 | $1,292,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 216,623 | $1,291,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 105,008 | $1,286,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 137,301 | $1,285,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 196,604 | $1,282,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 12,149 | $1,278,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 378,056 | $1,278,000 | thousands by filing date | |
| AMERICAN NATL BANKSHARES INC | 027745108 | COM | 45,628 | $1,275,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 584,367 | $1,274,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 71,792 | $1,267,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 51,005 | $1,265,000 | thousands by filing date | |
| FRANKLIN FINL NETWORK INC | 35352P104 | COM | 33,840 | $1,265,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 75,413 | $1,263,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 69,396 | $1,258,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 89,462 | $1,257,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 36,249 | $1,256,000 | thousands by filing date | |
| TOBIRA THERAPEUTICS INC COM | 88883P101 | COM | 31,622 | $1,256,000 | thousands by filing date | |
| WINMARK CORP | 974250102 | COM | 11,893 | $1,255,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 173,578 | $1,251,000 | thousands by filing date | |
| TRIUMPH FINANCIAL INC | 89679E300 | COM | 62,851 | $1,246,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 107,780 | $1,235,000 | thousands by filing date | |
| NUTRACEUTICAL INTERNATIONAL | 67060Y101 | COMMON STOCK | 39,474 | $1,234,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 22,815 | $1,231,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 167,451 | $1,231,000 | thousands by filing date | |
| PATHEON N V | N6865W105 | SHS | 41,522 | $1,230,000 | thousands by filing date | |
| DEL FRISCOS RESTAURANT GROUP | 245077102 | COM | 91,218 | $1,228,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 63,553 | $1,227,000 | thousands by filing date | |
| MIDWESTONE FINACIAL GROUP I | 598511103 | COMMON STOCK | 40,374 | $1,226,000 | thousands by filing date | |
| CUTERA INC | 232109108 | COM | 102,667 | $1,224,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 67,200 | $1,221,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 50,551 | $1,216,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 1,230,000 | $1,215,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 31,496 | $1,211,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 76,791 | $1,208,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 1,006,000 | $1,204,000 | thousands by filing date | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 46,733 | $1,198,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 112,911 | $1,194,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 26,909 | $1,193,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 15,261 | $1,191,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 79,452 | $1,191,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 1,250,000 | $1,188,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 26,021 | $1,180,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 142,310 | $1,178,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 136,129 | $1,177,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 1,200,000 | $1,177,000 | thousands by filing date | |
| LIVE OAK BANCSHARES INC | 53803X105 | COM | 81,599 | $1,176,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 17,727 | $1,175,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 93,188 | $1,175,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 186,160 | $1,173,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 102,347 | $1,170,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 44,790 | $1,167,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 68,410 | $1,163,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 32,774 | $1,162,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 26,101 | $1,160,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 61,271 | $1,158,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 89,210 | $1,157,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 144,569 | $1,157,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 343,657 | $1,155,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 127,457 | $1,154,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 1,154,000 | $1,151,000 | thousands by filing date | |
| TPI Composites Inc | 87266J104 | Common Stock | 54,104 | $1,150,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 90,021 | $1,149,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 170,026 | $1,148,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 150,177 | $1,147,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 26,701 | $1,142,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 89,585 | $1,140,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 10,690 | $1,138,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 27,203 | $1,136,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 12,491 | $1,136,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 1,250,000 | $1,130,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 1,000,000 | $1,129,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 8,136 | $1,127,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 111,411 | $1,126,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 98,686 | $1,122,000 | thousands by filing date | |
| PICO HLDGS INC | 693366205 | COM NEW | 95,091 | $1,121,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 43,279 | $1,113,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAQ3 | ETF | 43,085 | $1,109,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 1,008,000 | $1,108,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 149,064 | $1,105,000 | thousands by filing date | |
| VANGUARD BD INDEX FDS | 921937793 | LONG TERM BOND | 11,143 | $1,099,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 47,468 | $1,099,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 1,200,000 | $1,099,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 1,125,000 | $1,098,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 214,554 | $1,098,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 77,914 | $1,091,000 | thousands by filing date | |
| BANK OF N T BUTTERFIELD & SO | G0772R208 | SHS NEW | 45,409 | $1,089,000 | thousands by filing date | |
| BANK OF MARIN BANCORP CA | 063425102 | COMMON STOCK | 21,889 | $1,089,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 10,550 | $1,086,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 56,174 | $1,086,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 780099CJ4 | DEBT 7.500%12/3 | 1,182,000 | $1,084,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 1,200,000 | $1,083,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 1,050,000 | $1,080,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 37,393 | $1,079,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 55,042 | $1,079,000 | thousands by filing date | |
| OLD SECOND BANCORP INC | 680277100 | COMMON STOCK | 129,520 | $1,077,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 48,940 | $1,074,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 1,000,000 | $1,071,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 184,800 | $1,069,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 42,469 | $1,069,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 623,920 | $1,067,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 187,197 | $1,067,000 | thousands by filing date | |
| Lifetime Brands Inc | 53222Q103 | COM | 79,135 | $1,065,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 367,839 | $1,062,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 89,117 | $1,062,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 505,000 | $1,058,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 349,742 | $1,057,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 1,050,000 | $1,057,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 132,150 | $1,056,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 238,632 | $1,052,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 34,562 | $1,051,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 141,904 | $1,050,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 105,010 | $1,050,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 68,355 | $1,047,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 124,968 | $1,044,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 249,180 | $1,043,000 | thousands by filing date | |
| DONEGAL GROUP INC CL A | 257701201 | COMMON STOCK | 64,815 | $1,043,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 1,000,000 | $1,041,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 108,047 | $1,038,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 759,000 | $1,032,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 85,032 | $1,032,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 57,978 | $1,032,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 30,644 | $1,028,000 | thousands by filing date | |
| TPG SPECIALTY LENDING INC | 87265KAB8 | NOTE 4.50012/1 | 1,000,000 | $1,028,000 | thousands by filing date | |
| OVASCIENCE INC | 69014Q101 | COM | 143,347 | $1,027,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 66,840 | $1,024,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 68,337 | $1,018,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 228,751 | $1,017,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 900,000 | $1,017,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 141,686 | $1,016,000 | thousands by filing date | |
| GLOBAL INDEMNITY PLC | G39319101 | SHS | 34,145 | $1,014,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 103,819 | $1,009,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 750,000 | $1,008,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 38,936 | $1,007,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 146,068 | $1,006,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 26,517 | $1,006,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 39,148 | $1,006,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 211,853 | $1,002,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 1,000,000 | $1,001,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 51,900 | $999,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 256,363 | $999,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 20,561 | $999,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 23,580 | $995,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 430,744 | $995,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 33,535 | $994,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 112,557 | $992,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 7,840 | $991,000 | thousands by filing date | |
| ICON 1.5 3/18 | 451055AF4 | Bond 30/360P2 U | 1,150,000 | $991,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 1,000,000 | $990,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 1,000,000 | $990,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 19,120 | $987,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 178,069 | $987,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 47,740 | $985,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 190,430 | $983,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 366,832 | $983,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 867,827 | $981,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 92,494 | $981,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 26,673 | $980,000 | thousands by filing date | |
| CPI CARD GROUP INC | 12634H101 | COM | 161,791 | $978,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 9,998 | $976,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 36,669 | $972,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 12,114 | $970,000 | thousands by filing date | |
| APIGEE CORP COM | 03765N108 | Stock | 55,752 | $970,000 | thousands by filing date | |
| MERCHANTS BANCSHARES INC | 588448100 | COM | 29,708 | $962,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 317,012 | $960,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 224,770 | $958,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 36,426 | $957,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 115,371 | $955,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 365,557 | $953,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 48,586 | $950,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 121,832 | $949,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 106,937 | $947,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 166,108 | $947,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 4,949 | $946,000 | thousands by filing date | |
| RIGNET INC | 766582100 | COM | 62,336 | $943,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 38,129 | $940,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 40,742 | $939,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 56,933 | $935,000 | thousands by filing date | |
| SOCIETE GENERALE | F849BQAA2 | DEBT 8.250%12/3 | 920,000 | $933,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 139,930 | $930,000 | thousands by filing date | |
| CAI INTERNATIONAL INC | 12477X106 | COM | 112,217 | $928,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 115,931 | $927,000 | thousands by filing date | |
| EVERBRIDGE INC | 29978A104 | COM | 54,510 | $919,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,075,000 | $918,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 24,836 | $914,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 67,807 | $913,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 7,968 | $908,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 254,375 | $905,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 9,084 | $904,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 177,350 | $903,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 100,588 | $899,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 152,049 | $897,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 47,635 | $895,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P101 | CL A | 56,745 | $894,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 37,513 | $892,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 80,347 | $892,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 396,052 | $887,000 | thousands by filing date | |
| ISHARES TR | 46434VAA8 | IBONDS DEC18 ETF | 35,080 | $886,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 86,004 | $885,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 60,911 | $883,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 17,235 | $882,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 7,121 | $880,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 107,728 | $879,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 61,979 | $878,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 110,342 | $876,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 110,966 | $874,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 8,130 | $872,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 68,262 | $872,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 22,930 | $871,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 116,365 | $871,000 | thousands by filing date | |
| INTRAWEST RESORTS HLDGS INC | 46090K109 | COM | 53,706 | $871,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 999,000 | $869,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 69,189 | $869,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 8,125 | $867,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 6,850 | $866,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 77,376 | $866,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 111,703 | $865,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 850,000 | $862,000 | thousands by filing date | |
| CDI CORP | 125071100 | COM | 151,883 | $861,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 36,604 | $860,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 228,784 | $858,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 65,900 | $857,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 87,806 | $854,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 69,614 | $854,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 33,089 | $852,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 61,320 | $849,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,366,495 | $848,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 19,498 | $843,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 27,060 | $842,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 10,662 | $838,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 32,893 | $836,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 59,156 | $835,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 72,829 | $832,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 641,000 | $831,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 67,464 | $829,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 1,000,000 | $827,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 72,295 | $826,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 12,360 | $825,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 57,682 | $824,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 40,407 | $822,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 5,998 | $821,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 35,378 | $816,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 84,493 | $815,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 29,063 | $814,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 221,825 | $814,000 | thousands by filing date | |
| V2X INC | 92242T101 | COM | 53,200 | $810,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 660,000 | $810,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 755,549 | $809,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 294,238 | $809,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 315,228 | $806,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 113,592 | $806,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 45,643 | $804,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 60,225 | $804,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 58,114 | $803,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 26,612 | $802,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 31,520 | $801,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 92,367 | $801,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 29,667 | $801,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 750,000 | $795,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 27,116 | $794,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 42,191 | $794,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 800,000 | $792,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 750,000 | $791,000 | thousands by filing date | |
| DYNAMIC MATLS CORP | 267888105 | COM | 73,897 | $788,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 7,900 | $787,000 | thousands by filing date | |
| REGENXBIO INC | 75901B107 | COM | 56,091 | $786,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 800,000 | $786,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 70,352 | $784,000 | thousands by filing date | |
| PROSHARES ULTRAPRO DOW30 | 74347X823 | UIT EXCHANGE TRADED | 10,501 | $784,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 76,099 | $783,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 123,158 | $779,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 59,065 | $779,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 750,000 | $779,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 30,701 | $778,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 26,763 | $777,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 17,261 | $777,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 758,000 | $775,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 103,840 | $771,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 113,428 | $771,000 | thousands by filing date | |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 750,000 | $769,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 93,457 | $767,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 650,000 | $767,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 700,000 | $765,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 55,984 | $764,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 23,314 | $763,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 23,546 | $760,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 51,426 | $759,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 129,624 | $758,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 47,502 | $758,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 27,385 | $757,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 16,200 | $756,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 44,693 | $755,000 | thousands by filing date | |
| AVEXIS INC | 05366U100 | COM | 18,327 | $755,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 1,000,000 | $752,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 33,485 | $751,000 | thousands by filing date | |
| WESTFIELD FINANCIAL INC | 96008P104 | COM | 98,054 | $750,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 750,000 | $750,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 750,000 | $749,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 41,045 | $747,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 400,000 | $746,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 67,649 | $739,000 | thousands by filing date | |
| LNKD .5 11/19 | 53578AAB4 | Bond 30/360P2 U | 750,000 | $739,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 81,760 | $738,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 234,507 | $735,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 135,321 | $733,000 | thousands by filing date | |
| SUNEDISON SEMI | Y8213L102 | Common Stock | 64,365 | $733,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 15,137 | $728,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 45,961 | $726,000 | thousands by filing date | |
| iShares Morningstar Mid-Cap Value ETF | 464288406 | SHS | 5,412 | $725,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 700,000 | $725,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 45,367 | $724,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 69,428 | $723,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 102,466 | $722,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 64,587 | $721,000 | thousands by filing date | |
| NOVADAQ TECHNOLOGIES INC COMMON | 66987G102 | COM | 62,263 | $721,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 18,321 | $720,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 50,011 | $720,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 31,812 | $719,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 700,000 | $719,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 650,000 | $718,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 64,437 | $717,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 423,272 | $715,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 421,979 | $713,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 716,000 | $713,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 55,756 | $712,000 | thousands by filing date | |
| JAZZ INVESTMENTS I LTD | 472145AB7 | NOTE 1.875% 8/1 | 700,000 | $711,000 | thousands by filing date | |
| VINCE HLDG CORP | 92719W108 | COM | 126,095 | $711,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 5,811 | $709,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 57,879 | $709,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 7,336 | $702,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 222,807 | $702,000 | thousands by filing date | |
| DAVIDSTEA INC | 238661102 | COM | 56,962 | $702,000 | thousands by filing date | |
| CARE COM INC | 141633107 | COM | 70,244 | $700,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 26,442 | $699,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 13,902 | $698,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 29,576 | $695,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 65,196 | $695,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 21,343 | $693,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 14,274 | $691,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 25,552 | $691,000 | thousands by filing date | |
| GRUPO TELEVISA S A B | 40049J206 | SPON ADR REP ORD | 26,843 | $690,000 | thousands by filing date | |
| FOSTER LB CO A | 350060109 | COMMON STOCK | 57,337 | $689,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 30,009 | $686,000 | thousands by filing date | |
| CHIPMOS TECH BERMUDA LTD | G2110R114 | SHS | 34,668 | $686,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 51,507 | $686,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 23,514 | $685,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 149,037 | $684,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 48,816 | $684,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 704,000 | $684,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 72,626 | $683,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 63,004 | $679,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 293,888 | $679,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 111,581 | $677,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 28,553 | $676,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 10,017 | $671,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 40,239 | $670,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 51,200 | $668,000 | thousands by filing date | |
| ISHARES TR | 464288836 | U.S. PHARMA ETF | 4,460 | $666,000 | thousands by filing date | |
| NANTKWEST INC | 63016Q102 | COM | 85,467 | $666,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 600,000 | $666,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 23,715 | $664,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 500,000 | $661,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 600,000 | $660,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 78,669 | $658,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 158,311 | $658,000 | thousands by filing date | |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 553,000 | $657,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 40,750 | $655,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 6,784 | $651,000 | thousands by filing date | |
| BBX CAPITAL CORP-A | 05540P100 | CL A | 31,547 | $650,000 | thousands by filing date | |
| CRAWFORD COMPANY CL A | 224633206 | COMMON STOCK | 72,513 | $649,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 110,391 | $649,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 13,570 | $648,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 29,201 | $647,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 120,914 | $646,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 2,948 | $645,000 | thousands by filing date | |
| EVERYDAY HEALTH INC COM | 300415106 | Stock | 83,732 | $643,000 | thousands by filing date | |
| NATURAL HEALTH TRENDS CORP | 63888P406 | COM | 22,736 | $642,000 | thousands by filing date | |
| ATLANTIC CAP BANCSHARES INC | 048269203 | COM | 42,855 | $642,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 500,000 | $641,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 54,167 | $638,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 503,000 | $638,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 46,324 | $637,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 16,600 | $636,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 78,933 | $636,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 1,000,000 | $636,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 104,898 | $633,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 40,638 | $633,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 60,659 | $631,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 12,802 | $627,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 36,465 | $626,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 525,000 | $625,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 550,000 | $621,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 11,802 | $620,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 69,032 | $619,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 500,000 | $619,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X756 | S&P EMKTSC ETF | 14,317 | $618,000 | thousands by filing date | |
| DELTA NATURAL GAS CO INC | 247748106 | COM | 25,817 | $616,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 500,000 | $616,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 19,976 | $615,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 106,307 | $615,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 35,237 | $615,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 14,246 | $614,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 113,362 | $614,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 15,907 | $613,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 7,400 | $613,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 109,048 | $608,000 | thousands by filing date | |
| ISHARES TR | 464287697 | U.S. UTILITS ETF | 4,950 | $607,000 | thousands by filing date | |
| Rocket Pharmaceuticals Inc | 45780V102 | SHS | 63,764 | $605,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 14,477 | $604,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 22,443 | $603,000 | thousands by filing date | |
| INSULET CORP | 45784PAD3 | NOTE 2.000% 6/1 | 550,000 | $602,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 23,376 | $600,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 66,781 | $597,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 5,878 | $596,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 23,947 | $596,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 504,000 | $595,000 | thousands by filing date | |
| TUBEMOGUL INC COM | 898570106 | Stock | 63,532 | $595,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 500,000 | $594,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 23,815 | $591,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 32,335 | $589,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 93,634 | $589,000 | thousands by filing date | |
| FOREST CITY ENTERPRISES | 345550AP2 | NOTE | 500,000 | $588,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 18,842 | $585,000 | thousands by filing date | |
| SYNUTRA INTERNATIONAL INC | 87164C102 | COMMON STOCK | 137,228 | $585,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 75,547 | $582,000 | thousands by filing date | |
| VALVOLINE INC COM | 92047W101 | Stock | 24,773 | $581,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 84,199 | $578,000 | thousands by filing date | |
| TESSCO TECHNOLOGIES INC | 872386107 | COM | 46,589 | $578,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 20,259 | $577,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 109,802 | $577,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 133,410 | $577,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 216,011 | $577,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 148,759 | $574,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC | 04269XAA3 | NOTE 3.000% 6/0 | 500,000 | $574,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 32,220 | $571,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 186,726 | $571,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 66,917 | $570,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 148,369 | $569,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 47,426 | $568,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 24,218 | $567,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 15,973 | $564,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 64,269 | $563,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 346,903 | $562,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 51,627 | $560,000 | thousands by filing date | |
| HILL INTERNATIONAL INC | 431466101 | COM | 121,524 | $560,000 | thousands by filing date | |
| COMPUTER TASK GROUP INC | 205477102 | COM | 118,875 | $558,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 20,061 | $557,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 34,694 | $555,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 72,023 | $555,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 400,000 | $555,000 | thousands by filing date | |
| RADWARE LTD | M81873107 | COMMON STOCK | 40,224 | $553,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 52,635 | $553,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 40,888 | $552,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 98,433 | $552,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 13,401 | $551,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 49,920 | $547,000 | thousands by filing date | |
| Vanguard Consumer Discretionary ETF | 92204A108 | SHS | 4,339 | $546,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 95,208 | $546,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 500,000 | $546,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 500,000 | $545,000 | thousands by filing date | |
| ITURAN LOCATION AND CONTROL SHS | M6158M104 | Stock | 20,563 | $544,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 197,880 | $544,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 67,208 | $541,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 49,733 | $539,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 51,755 | $539,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-16-000254 | this filing | 2016-11-03 | acceptance time not in the bulk data set |