13F-HR filed by Bank of New York Mellon Corp
Bank of New York Mellon Corp filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 4,260 holding rows worth $347,370,548,000.
- Accession
- 0001390777-17-000064
- Filer
- CIK 1390777
- Filed
- 2017-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A combination report, 24,773 entries on the cover page, a total value of $347,370,548,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $347,370,548,000 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 028-17542
- included managerMellon Capital Management Corporation 028-02900
- included managerThe Dreyfus Corporation 028-00127
- included managerNewton Investment Management (North America) Limited 028-17543
- included managerNewton Investment Management Limited 028-04797
- included managerMBSC Securities Corporation 028-12592
- 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 028-17544
- included managerCenterSquare Investment Management, Inc. 028-05577
- included managerLockwood Advisors, Inc. 028-11769
- included managerInsight Investment Management (Global) Limited 028-12592
- included managerBNY Mellon Service Kapitalanlage-Gesellschaft mbH 028-17545
- included managerPershing LLC 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 Capital Markets 028-12592
- included managerBNY Mellon Investment Management Cayman Ltd. 028-17546
- 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 |
|---|---|---|---|---|---|---|
| EXACTECH INC | 30064E109 | COM | 57,873 | $1,580,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C730 | COM | 15,381 | $1,578,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 29,585 | $1,576,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 65,527 | $1,574,000 | thousands by filing date | |
| Allegiance Bancshares | 01748H107 | COM | 43,516 | $1,573,000 | thousands by filing date | |
| First Foundation Inc | 32026V104 | Common Stock | 55,146 | $1,572,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VBK5 | ETF | 63,528 | $1,569,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 113,960 | $1,565,000 | thousands by filing date | |
| GLOBAL INDEMNITY GROUP LLC COM CL A | G3933F105 | Stock | 40,889 | $1,563,000 | thousands by filing date | |
| PENNYMAC FINANCIAL SERVICE-A | 70932B101 | CL A | 93,881 | $1,563,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 1,550,000 | $1,561,000 | thousands by filing date | |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 69,835 | $1,552,000 | thousands by filing date | |
| Lion Biotechnologies | 53619R102 | COM | 223,223 | $1,551,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 86,465 | $1,549,000 | thousands by filing date | |
| FIRST NBC BK HLDG CO COM | 32115D106 | COM | 212,183 | $1,548,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 251,034 | $1,547,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 217,765 | $1,546,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 27,893 | $1,545,000 | thousands by filing date | |
| BATS GLOBAL MKTS INC COM | 05491G109 | Stock | 45,934 | $1,540,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 147,782 | $1,539,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 26,453 | $1,538,000 | thousands by filing date | |
| FRONTLINE PLC F | G3682E192 | ORD SHS | 215,831 | $1,536,000 | thousands by filing date | |
| BENEFITFOCUS INC | 08180D106 | COM | 51,669 | $1,535,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 82,279 | $1,533,000 | thousands by filing date | |
| FRANKLIN COVEY CO | 353469109 | COMMON STOCK | 75,944 | $1,531,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 71,116 | $1,530,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 56,897 | $1,525,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 405,051 | $1,523,000 | thousands by filing date | |
| Vaneck Long Muni ETF | 92189F536 | ETF | 78,651 | $1,523,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 1,204,753 | $1,517,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 115,586 | $1,508,000 | thousands by filing date | |
| MARLIN BUSINESS SVCS CORP | 571157106 | COM | 72,001 | $1,505,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 230,331 | $1,497,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 1,103,896 | $1,494,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 140,319 | $1,491,000 | thousands by filing date | |
| ACUSHNET HLDGS CORP | 005098108 | COM | 75,595 | $1,490,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 89,915 | $1,488,000 | thousands by filing date | |
| TERRAFORM GLOBAL INC | 88104M101 | CL A | 376,205 | $1,486,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 300,752 | $1,483,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 390,104 | $1,482,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 296,444 | $1,482,000 | thousands by filing date | |
| CITIZENS NORTHERN CORP | 172922106 | COMMON STOCK | 56,461 | $1,479,000 | thousands by filing date | |
| BG STAFFING INC | 05544A109 | COM | 94,686 | $1,477,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 51,199 | $1,476,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 1,500,000 | $1,474,000 | thousands by filing date | |
| BANKFINANCIAL CORP | 06643P104 | COM | 99,355 | $1,473,000 | thousands by filing date | |
| ARC DOCUMENT SOLUTIONS INC | 00191G103 | COM | 289,023 | $1,468,000 | thousands by filing date | |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 202,189 | $1,464,000 | thousands by filing date | |
| SUPREME INDS INC-CLASS A | 868607102 | CL A | 93,121 | $1,462,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 44,960 | $1,460,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 123,649 | $1,459,000 | thousands by filing date | |
| VISHAY PRECISION GROUP INC | 92835K103 | COM | 77,144 | $1,458,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 1,600,000 | $1,457,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V306 | COM SER C | 96,875 | $1,456,000 | thousands by filing date | |
| WESTERN NEW ENGLAND BANCORP | 958892101 | COMMON STOCK | 155,239 | $1,451,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 431,768 | $1,451,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 465,986 | $1,445,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 110,633 | $1,440,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 1,000,000 | $1,438,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 18,475 | $1,437,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 423,172 | $1,435,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 20,557 | $1,432,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 75,147 | $1,431,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 79,721 | $1,426,000 | thousands by filing date | |
| YY INC. ADR | 98426T106 | SPONSORED ADS A | 36,179 | $1,426,000 | thousands by filing date | |
| Ishares Ibonds Dec | 46434VAU4 | ETF | 57,272 | $1,426,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338PAB6 | NOTE 4.000% 7/1 | 1,450,000 | $1,421,000 | thousands by filing date | |
| DESCARTES SYS GROUP INC COM | 249906108 | Stock | 66,255 | $1,417,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 204,038 | $1,416,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 38,100 | $1,415,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 88,858 | $1,409,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 1,350,000 | $1,407,000 | thousands by filing date | |
| WEST MARINE INC | 954235107 | COM | 133,763 | $1,401,000 | thousands by filing date | |
| BONANZA CREEK ENERGY INC | 097793103 | COMMON STOCK | 1,371,412 | $1,399,000 | thousands by filing date | |
| RUBICON PROJ INC | 78112V102 | COM | 188,631 | $1,399,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 511,422 | $1,397,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC DEL | 464337AJ3 | NOTE 1.000%11/1 | 1,350,000 | $1,395,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 27,595 | $1,394,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 35,507 | $1,388,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 1,150,000 | $1,381,000 | thousands by filing date | |
| ELFBEAUTYINC | 26856L103 | STOK | 47,566 | $1,376,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 41,875 | $1,375,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 16,002 | $1,374,000 | thousands by filing date | |
| CAPITAL CITY BANK GROUP INC | 139674105 | COMMON STOCK | 67,057 | $1,373,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 69,416 | $1,370,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 108,887 | $1,369,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 378,836 | $1,368,000 | thousands by filing date | |
| ING GROEP N V | 456837AE3 | DBCV 6.000%12/2 | 1,400,000 | $1,365,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 146,852 | $1,364,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 103,320 | $1,363,000 | thousands by filing date | |
| BRIGHTCOVE INC | 10921T101 | COM | 169,075 | $1,361,000 | thousands by filing date | |
| GLOBAL EAGLE ENTERTAINMENT I | 37951D102 | COM | 210,837 | $1,361,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 1,350,000 | $1,353,000 | thousands by filing date | |
| ALARM COM HLDGS INC COM | 011642105 | Stock | 48,555 | $1,351,000 | thousands by filing date | |
| NOVOCURE LTD | G6674U108 | ORD SHS | 171,043 | $1,343,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 37,334 | $1,342,000 | thousands by filing date | |
| ATLASSIAN CORP | G06242104 | CL A | 55,471 | $1,336,000 | thousands by filing date | |
| FRESHPET INC COM | 358039105 | Stock | 130,895 | $1,328,000 | thousands by filing date | |
| SAFEGUARD SCIENTIFICS INC | 786449207 | COMMON STOCK | 98,576 | $1,327,000 | thousands by filing date | |
| PEOPLES UTAH BANCORP | 712706209 | COM | 49,425 | $1,327,000 | thousands by filing date | |
| AMERICAN FARMLA | 02589Y100 | Common Stock | 166,449 | $1,326,000 | thousands by filing date | |
| XACTLY CORP | 98386L101 | COM | 120,475 | $1,324,000 | thousands by filing date | |
| HERITAGE OAKS BANCORP | 42724R107 | COM | 107,053 | $1,320,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 158,503 | $1,317,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 35,069 | $1,317,000 | thousands by filing date | |
| SUN BANCORP INC | 86663B201 | COM NEW | 50,674 | $1,317,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 94,646 | $1,314,000 | thousands by filing date | |
| NEOPHOTONICS CORP | 64051T100 | COM | 121,257 | $1,311,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 162,598 | $1,308,000 | thousands by filing date | |
| SALEM MEDIA GROUP INC CLASS A | 794093104 | COM | 209,256 | $1,308,000 | thousands by filing date | |
| NEWLINK GENETICS CORP | 651511107 | COM | 126,930 | $1,304,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 143,264 | $1,303,000 | thousands by filing date | |
| MALIBU BOATS INC A | 56117J100 | COMMON STOCK | 68,289 | $1,303,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 98,276 | $1,295,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 94,999 | $1,295,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 159,777 | $1,295,000 | thousands by filing date | |
| INCYTE CORP | 45337CAM4 | NOTE 0.375%11/1 | 650,000 | $1,294,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354AB3 | NOTE 1.750%12/0 | 1,250,000 | $1,292,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 180,326 | $1,291,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 21,736 | $1,286,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 25,705 | $1,285,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 1,250,000 | $1,285,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 355,912 | $1,277,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 199,477 | $1,267,000 | thousands by filing date | |
| QUNAR CAYMAN IS LTD SPNS ADR CL B | 74906P104 | ADR | 41,831 | $1,260,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 1,250,000 | $1,259,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 488,695 | $1,256,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 71,561 | $1,255,000 | thousands by filing date | |
| ING GROEP N V | 456837AF0 | DBCV 6.500%12/2 | 1,300,000 | $1,254,000 | thousands by filing date | |
| STANDARD BIOTOOLS INC | 34385P108 | COM | 171,402 | $1,248,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 49,158 | $1,248,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 153,367 | $1,245,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 299,851 | $1,242,000 | thousands by filing date | |
| SYSTEMAX INC | 871851101 | COM | 141,414 | $1,240,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635AE9 | NOTE 4.250% 2/1 | 1,300,000 | $1,238,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120W708 | COM NEW | 148,506 | $1,237,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 209,413 | $1,236,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 28,420 | $1,235,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 41,176 | $1,235,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 1,200,000 | $1,234,000 | thousands by filing date | |
| WILLIS LEASE FINANCE CORP | 970646105 | COMMON STOCK | 47,989 | $1,228,000 | thousands by filing date | |
| CONCERT PHARMACEUTICALS INC | 206022105 | COM | 119,271 | $1,228,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 46,996 | $1,227,000 | thousands by filing date | |
| PIMCO DYNAMIC INCOME FD | 72201Y101 | SHS | 44,219 | $1,225,000 | thousands by filing date | |
| SILVER STD RES INC | 82823LAC0 | NOTE 2.875% 2/0 | 1,316,000 | $1,224,000 | thousands by filing date | |
| ADEPTUS HEALTH | 006855100 | Common Stock | 159,460 | $1,218,000 | thousands by filing date | |
| BAR HBR BANKSHARES | 066849100 | COM | 25,642 | $1,213,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 500,000 | $1,211,000 | thousands by filing date | |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 43,145 | $1,209,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 22,616 | $1,208,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 36,065 | $1,207,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 38,065 | $1,202,000 | thousands by filing date | |
| CAMPING WORLD HLDGS INC CL A | 13462K109 | Stock | 36,839 | $1,201,000 | thousands by filing date | |
| ZOGENIX INC. | 98978L204 | Common Stock | 98,876 | $1,201,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 75,251 | $1,197,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 1,359,000 | $1,196,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 55,138 | $1,194,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 97,177 | $1,194,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 83,663 | $1,188,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 182,318 | $1,185,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAB8 | NOTE 11/0 | 1,000,000 | $1,185,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 228,374 | $1,182,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 1,150,000 | $1,181,000 | thousands by filing date | |
| SYNGENTA AG ADR | 87160A100 | SPONS ADR | 14,916 | $1,180,000 | thousands by filing date | |
| DHT HOLDINGS INC | 23335SAB2 | DEBT 4.50010/0 | 1,300,000 | $1,180,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 1,000,000 | $1,179,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 482,563 | $1,178,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 1,003,000 | $1,178,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 25,756 | $1,175,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 177,749 | $1,175,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 84,045 | $1,173,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 103,817 | $1,169,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 176,669 | $1,168,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 560,370 | $1,166,000 | thousands by filing date | |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 1,250,000 | $1,163,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 376,753 | $1,161,000 | thousands by filing date | |
| PROVIDENT FINL HLDGS INC | 743868101 | COM | 57,362 | $1,160,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 79,517 | $1,160,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 37,848 | $1,157,000 | thousands by filing date | |
| COVENANT LOGISTICS GROUP INC | 22284P105 | CL A | 59,774 | $1,156,000 | thousands by filing date | |
| DUCOMMUN INC DEL | 264147109 | COM | 45,230 | $1,156,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 63,400 | $1,155,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 30,040 | $1,155,000 | thousands by filing date | |
| READING INTL INC | 755408101 | CL A | 69,509 | $1,154,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 1,100,000 | $1,152,000 | thousands by filing date | |
| TWITTER INC | 90184LAD4 | NOTE 1.000% 9/1 | 1,250,000 | $1,151,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 43,268 | $1,151,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 36,465 | $1,147,000 | thousands by filing date | |
| UNIQUE FABRICATING INC | 90915J103 | COM | 78,573 | $1,147,000 | thousands by filing date | |
| MAXWELL TECHNOLOGIES INC | 577767106 | COMMON STOCK | 223,469 | $1,145,000 | thousands by filing date | |
| CINER RES LP | 172464109 | COM UNIT LTD | 39,280 | $1,139,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723AA8 | NOTE 2.500 7/1 | 1,125,000 | $1,139,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 12,366 | $1,138,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 69,602 | $1,138,000 | thousands by filing date | |
| OPPENHEIMER HOLDINGS CL A | 683797104 | COMMON STOCK | 61,102 | $1,136,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 26,126 | $1,135,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 77,796 | $1,124,000 | thousands by filing date | |
| SPARTON CORP | 847235108 | COM | 47,130 | $1,124,000 | thousands by filing date | |
| HARBORONE BANCORP INC | 41165F101 | COM | 58,001 | $1,122,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 780099CJ4 | DEBT 7.500%12/3 | 1,182,000 | $1,120,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 125,418 | $1,118,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 51,566 | $1,117,000 | thousands by filing date | |
| VANGUARDRUSSELL2000ETF | 92206C664 | STOK | 10,300 | $1,112,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V848 | ST STR TOTAL ETF | 22,906 | $1,108,000 | thousands by filing date | |
| AIRGAIN INC | 00938A104 | COM | 76,946 | $1,108,000 | thousands by filing date | |
| SHORE BANCSHARES INC | 825107105 | COMMON STOCK | 72,511 | $1,106,000 | thousands by filing date | |
| DRIVE SHACK INC | 262077100 | COM | 293,497 | $1,104,000 | thousands by filing date | |
| Marine Harvest ASA | 56824R205 | ADR | 60,747 | $1,102,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374302 | Equity | 71,540 | $1,101,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 35,748 | $1,099,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 30,453 | $1,099,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 98,005 | $1,094,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 69,203 | $1,093,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AL6 | NOTE 1.250% 4/0 | 1,250,000 | $1,091,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 211,592 | $1,090,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 28,212 | $1,089,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 64,267 | $1,086,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 61,907 | $1,084,000 | thousands by filing date | |
| Vanguard Mid-Cap Growth ETF | 922908538 | SHS | 10,229 | $1,081,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 1,200,000 | $1,080,000 | thousands by filing date | |
| HALLMARK FINL SERVICES INC | 40624Q203 | COM | 92,744 | $1,079,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 32,592 | $1,076,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W869 | EUROPE SMCP DV | 19,571 | $1,070,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 447,252 | $1,065,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 686,284 | $1,064,000 | thousands by filing date | |
| HOSTESS BRANDS INC | 44109J106 | COMMON STOCK | 81,561 | $1,061,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 69,808 | $1,061,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 69,942 | $1,060,000 | thousands by filing date | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 112,287 | $1,056,000 | thousands by filing date | |
| NICOLET BANKSHARES INC | 65406E102 | COM | 22,124 | $1,055,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 228,963 | $1,054,000 | thousands by filing date | |
| M B T FINANCIAL CORP | 578877102 | Stock | 92,867 | $1,054,000 | thousands by filing date | |
| WORKIVA INC COM CL A | 98139A105 | Stock | 76,996 | $1,051,000 | thousands by filing date | |
| JIVE SOFTWARE INC | 47760A108 | COM | 241,540 | $1,051,000 | thousands by filing date | |
| OXFORD IMMUNOTEC GLOBAL PLC | G6855A103 | ORD SHS | 70,306 | $1,051,000 | thousands by filing date | |
| HALLADOR ENERGY COMPANY | 40609P105 | COM | 115,492 | $1,050,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 904,000 | $1,048,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 12,856 | $1,046,000 | thousands by filing date | |
| FIRST MID BANCSHARES INC | 320866106 | COMMON STOCK | 30,684 | $1,044,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973WAB3 | NOTE 1.625%10/1 | 1,003,000 | $1,043,000 | thousands by filing date | |
| RMR GROUP INC | 74967R106 | CL A | 26,370 | $1,042,000 | thousands by filing date | |
| TITAN MACHY INC | 88830R101 | COM | 71,297 | $1,039,000 | thousands by filing date | |
| SPECTRANETICS CORP | 84760CAA5 | MTNF 2.625% 6/0 | 1,000,000 | $1,037,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 50,044 | $1,036,000 | thousands by filing date | |
| HOLOGIC INC | 436440AC5 | CORPORATE OBLIG | 759,000 | $1,036,000 | thousands by filing date | |
| Foundation Medicine Inc | 350465100 | COM | 58,530 | $1,036,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 40,543 | $1,032,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 236,689 | $1,030,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 95,040 | $1,029,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 213,229 | $1,026,000 | thousands by filing date | |
| PHI INC-NON VOTING | 69336T205 | COM | 56,848 | $1,025,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 9,720 | $1,024,000 | thousands by filing date | |
| MANNING + NAPIER INC | 56382Q102 | CL A | 135,635 | $1,023,000 | thousands by filing date | |
| FIRST BUSINESS FINANCIAL SER | 319390100 | COMMON STOCK | 43,025 | $1,021,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 109,921 | $1,021,000 | thousands by filing date | |
| BOOT BARN HLDGS INC | 099406100 | COM | 81,236 | $1,017,000 | thousands by filing date | |
| COLUCID PHARMACEUTICALS INC | 19716T101 | COM | 27,930 | $1,017,000 | thousands by filing date | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 80,863 | $1,012,000 | thousands by filing date | |
| ROVI CORP | 779376AD4 | NOTE 0.500% 3/0 | 1,000,000 | $1,012,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 38,936 | $1,006,000 | thousands by filing date | |
| JAMBA INC | 47023A309 | COM NEW | 97,507 | $1,004,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 80,741 | $1,002,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 1,000,000 | $1,001,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367P100 | COM | 226,973 | $999,000 | thousands by filing date | |
| B. RILEY FINANCIAL INC | 05580M108 | COM | 53,931 | $996,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 44,934 | $996,000 | thousands by filing date | |
| INTERCEPT PHARMACEUTICALS IN | 45845PAA6 | NOTE 3.250% 7/0 | 1,100,000 | $992,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 84,569 | $990,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 6,234 | $987,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 950,000 | $986,000 | thousands by filing date | |
| GENER8 MARITIME INC | Y26889108 | COM | 220,212 | $986,000 | thousands by filing date | |
| CAROLINA FINL CORP NEW | 143873107 | COM | 31,728 | $977,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 69,429 | $973,000 | thousands by filing date | |
| DMC GLOBAL INC | 23291C103 | COM | 61,209 | $970,000 | thousands by filing date | |
| POWERSHARESETF TRUST DYN SFTWR | 73935X773 | ETF - EQUITY | 20,561 | $970,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 164,976 | $969,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 124,383 | $964,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 361,047 | $964,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 23,746 | $960,000 | thousands by filing date | |
| RYERSON HLDG CORP | 783754104 | COM | 71,841 | $959,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 45,787 | $958,000 | thousands by filing date | |
| COLLEGIUM PHARMACEUTICAL INC | 19459J104 | COM | 61,530 | $958,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 314,163 | $958,000 | thousands by filing date | |
| SOCIETE GENERALE | F849BQAA2 | DEBT 8.250%12/3 | 920,000 | $957,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 900,000 | $956,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 86,863 | $955,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 224,319 | $953,000 | thousands by filing date | |
| SPRAGUE RES LP | 849343108 | COM UNIT REP LTD | 33,683 | $946,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 900,000 | $944,000 | thousands by filing date | |
| ADAMS RESOURCES & ENERGY INC | 006351308 | COMMON STOCK | 23,782 | $943,000 | thousands by filing date | |
| VERITEX HLDGS INC | 923451108 | COM | 35,287 | $942,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 170,212 | $941,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 145,494 | $939,000 | thousands by filing date | |
| HABIT RESTAURANTS INC | 40449J103 | COM CL A | 54,394 | $938,000 | thousands by filing date | |
| Vanguard Energy ETF | 92204A306 | SHS | 8,951 | $937,000 | thousands by filing date | |
| NEWSTAR FINANCIAL INC | 65251F105 | COM | 101,167 | $936,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 94,716 | $933,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 129,659 | $931,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 12,715 | $929,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 78,052 | $927,000 | thousands by filing date | |
| MINERVA NEUROSCIENCES INC COM NEW | 603380106 | Stock | 78,915 | $927,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 75,940 | $924,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 476,000 | $923,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 31,816 | $921,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 58,986 | $920,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 46,946 | $919,000 | thousands by filing date | |
| BUILD-A-BEAR WORKSHOP INC | 120076104 | COM | 66,794 | $918,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 114,609 | $918,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 154,852 | $918,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 22,699 | $915,000 | thousands by filing date | |
| FRP HOLDINGS INC | 30292L107 | COMMON STOCK | 24,252 | $914,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 16,365 | $913,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 800,000 | $908,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 47,277 | $905,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229706 | COM A BRAVES GRP | 44,021 | $902,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 193,235 | $899,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 88,050 | $899,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 7,545 | $898,000 | thousands by filing date | |
| VANECK VECTORS ETF TR | 92189F718 | OIL SVCS ETF | 26,811 | $894,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 38,368 | $892,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 7,357 | $890,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 18,241 | $885,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 8,065 | $883,000 | thousands by filing date | |
| GMS INC | 36251C103 | COM | 30,162 | $883,000 | thousands by filing date | |
| SPDR SER TR | 78468R721 | NUVEEN BLMBRG MU | 18,570 | $881,000 | thousands by filing date | |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 54,150 | $880,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 7,091 | $879,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 1,377,821 | $877,000 | thousands by filing date | |
| BANKWELL FINL GROUP INC | 06654A103 | COM | 26,897 | $874,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 7,035 | $871,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 123,340 | $870,000 | thousands by filing date | |
| SIGMA DESIGNS INC | 826565103 | COM | 144,511 | $867,000 | thousands by filing date | |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 1,000,000 | $866,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 81,749 | $866,000 | thousands by filing date | |
| NUTANIX INC CL A | 67059N108 | Stock | 32,599 | $865,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 12,517 | $863,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 54,901 | $863,000 | thousands by filing date | |
| PFSWEB INC | 717098206 | COM | 101,533 | $863,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 64,788 | $860,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 45,571 | $856,000 | thousands by filing date | |
| PZENA INVESTMENT MANAGM-CL A | 74731Q103 | CLAS | 77,146 | $856,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 17,162 | $855,000 | thousands by filing date | |
| LAYNE CHRISTENSEN CO | 521050104 | COM | 78,535 | $855,000 | thousands by filing date | |
| SAPIENS INTERNATIONAL CORP | N7716A151 | SHS | 59,614 | $855,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 141,919 | $852,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 115,033 | $851,000 | thousands by filing date | |
| ON DECK CAP INC | 682163100 | COM | 183,359 | $849,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 18,624 | $848,000 | thousands by filing date | |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 34,218 | $847,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 26,174 | $844,000 | thousands by filing date | |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 35,774 | $844,000 | thousands by filing date | |
| BRIDGEPOINT EDUCATION INC | 10807M105 | COM | 82,966 | $840,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X682 | S&P 500 QLTY PRT | 32,282 | $839,000 | thousands by filing date | |
| AUTOBYTEL INC | 05275N205 | COM | 62,333 | $838,000 | thousands by filing date | |
| CORNERSTONE ONDEMAND INC | 21925YAB9 | NOTE 1.500% 7/0 | 800,000 | $838,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 20,140 | $834,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 850,000 | $833,000 | thousands by filing date | |
| NV5 HOLDINGS, INC | 62945V109 | COM | 24,907 | $831,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 13,407 | $831,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 800,000 | $831,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 41,496 | $829,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 28,809 | $824,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 686,242 | $823,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AB6 | NOTE 2.500% 9/1 | 800,000 | $822,000 | thousands by filing date | |
| PREMIER FINL BANCORP INC | 74050M105 | COM | 40,811 | $820,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 6,097 | $817,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 24,666 | $817,000 | thousands by filing date | |
| SCORPIO BULKERS INC | Y7546A122 | COM | 161,575 | $816,000 | thousands by filing date | |
| WAVE LIFE SCIENCES LTD SHS | Y95308105 | Stock | 31,071 | $813,000 | thousands by filing date | |
| SERES THERAPEUTICS INC | 81750R102 | COM | 81,917 | $811,000 | thousands by filing date | |
| HARDINGE INC | 412324303 | COM | 72,957 | $808,000 | thousands by filing date | |
| AMERICAN RENAL ASSOCIATES HO | 029227105 | COM | 37,932 | $807,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 23,215 | $806,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 108,998 | $806,000 | thousands by filing date | |
| NATHANS FAMOUS INC NEW | 632347100 | COM | 12,392 | $805,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 47,764 | $805,000 | thousands by filing date | |
| BEAR ST FINL INC | 073844102 | COM | 79,225 | $805,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 89,320 | $804,000 | thousands by filing date | |
| RTI BIOLOGICS INC | 74975N105 | COM | 246,977 | $803,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 7,843 | $802,000 | thousands by filing date | |
| KYOCERA CORP -SPONS ADR | 501556203 | COM | 16,092 | $802,000 | thousands by filing date | |
| ONCOMED PHARMACEUTICALS INC COM | 68234X102 | Stock | 103,968 | $802,000 | thousands by filing date | |
| SFLY 0.25 5/18 | 82568PAB2 | Bond 30/360P2 U | 800,000 | $802,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 3,315 | $801,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 29,353 | $797,000 | thousands by filing date | |
| CENTRAL EUROPEAN MEDIA ENTERPRISES LTD-CL A | G20045202 | COM | 312,068 | $796,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 160,795 | $796,000 | thousands by filing date | |
| DISTRIBUTION SOLUTIONS GRP I | 520776105 | COM | 33,387 | $795,000 | thousands by filing date | |
| WASHINGTONFIRST BANKSHARES I | 940730104 | COM | 27,412 | $794,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 3,803 | $791,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 750,000 | $791,000 | thousands by filing date | |
| Golden Entertainment Inc | 381013101 | Common Stock | 65,219 | $790,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 46,731 | $790,000 | thousands by filing date | |
| AMBER ROAD INC | 02318Y108 | COM | 86,957 | $790,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 750,000 | $784,000 | thousands by filing date | |
| BOTTOMLINE TECH DEL INC | 101388AA4 | NOTE 1.500%12/0 | 755,000 | $780,000 | thousands by filing date | |
| AEGEAN MARINE PETROLEUM NETW | Y0017S102 | SHS | 76,810 | $780,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 750,000 | $778,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 166,232 | $778,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 380,401 | $776,000 | thousands by filing date | |
| TRUPANION INC | 898202106 | COM | 49,937 | $775,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 39,647 | $775,000 | thousands by filing date | |
| CYBEROPTICS CORP COM | 232517102 | Stock | 29,569 | $772,000 | thousands by filing date | |
| MOBILEIRON INC | 60739U204 | COM NEW | 205,472 | $771,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 76,554 | $769,000 | thousands by filing date | |
| FIRSTSERVICE CORP NEW | 33767E103 | COM | 16,199 | $769,000 | thousands by filing date | |
| MULTI PACKAGING SOLUTIONS IN | G6331W109 | COM | 53,609 | $764,000 | thousands by filing date | |
| EDGE THERAPEUTICS INC | 279870109 | COM | 61,078 | $764,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 27,082 | $762,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 500,000 | $761,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 101,405 | $756,000 | thousands by filing date | |
| BLACKLINE, INC. | 09239B109 | COM | 27,353 | $756,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 15,197 | $755,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 7,564 | $755,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 600,000 | $754,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAE1 | NOTE 0.750%10/1 | 660,000 | $744,000 | thousands by filing date | |
| China Yuchai Intl Ltd | G21082105 | COM | 53,785 | $742,000 | thousands by filing date | |
| ISHARES IBONDS DEC 2017 TERM CORPORATE ETF | 46434VAR1 | ETF | 29,822 | $742,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 32,616 | $741,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943FAD2 | NOTE 1.250%10/1 | 641,000 | $741,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 23,051 | $738,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 74,908 | $738,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 843,392 | $737,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 92,653 | $736,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 28,855 | $735,000 | thousands by filing date | |
| XBIOTECH INC | 98400H102 | COM | 72,505 | $734,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 149,755 | $734,000 | thousands by filing date | |
| COMMERCEHUB INC | 20084V108 | COM SER A | 48,888 | $734,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 33,972 | $732,000 | thousands by filing date | |
| RCI HOSPITALITY HOLDINGS INC | 74934Q108 | COMMON STOCK | 42,824 | $732,000 | thousands by filing date | |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 181,783 | $732,000 | thousands by filing date | |
| NICE LTD SPONSORED ADR | 653656108 | ADR | 10,606 | $730,000 | thousands by filing date | |
| J ALEXANDERS HLDGS INC | 46609J106 | COM | 67,212 | $722,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AJ5 | NOTE 1.625% 7/1 | 700,000 | $720,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 17,261 | $719,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 185,560 | $715,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 106,743 | $715,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 700,000 | $713,000 | thousands by filing date | |
| PFENEX INC | 717071104 | COM | 78,659 | $713,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 13,968 | $710,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 19,982 | $707,000 | thousands by filing date | |
| MEDICINOVA INC | 58468P206 | COM NEW | 116,655 | $704,000 | thousands by filing date | |
| MODEL N INC | 607525102 | COM | 79,578 | $704,000 | thousands by filing date | |
| CLEAR CHANNEL OUTDOOR HLDGS | 18451C109 | CL A | 138,408 | $699,000 | thousands by filing date | |
| LENNAR CORP CL B | 526057302 | Stock | 20,228 | $697,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 10,000 | $696,000 | thousands by filing date | call |
| FOGO DE CHAO INC | 344177100 | COM | 48,468 | $696,000 | thousands by filing date | |
| STEMLINE THERAPEUTICS INC | 85858C107 | COM | 64,014 | $685,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W794 | TRUE DEV INTL FD | 15,884 | $680,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 32,310 | $680,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 170,373 | $673,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 41,429 | $672,000 | thousands by filing date | |
| SUNPOWER CORP | 867652AJ8 | DBCV 0.875% 6/0 | 1,000,000 | $670,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 18,313 | $666,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 120,416 | $662,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 262,685 | $662,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 8,228 | $661,000 | thousands by filing date | |
| TILLYS INC | 886885102 | CL A | 50,042 | $660,000 | thousands by filing date | |
| EQUITY BANCSHARES INC CL A | 29460X109 | COMMON STOCK | 19,607 | $659,000 | thousands by filing date | |
| OWENS RLTY MTG INC | 690828108 | COM | 35,552 | $659,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 225,486 | $654,000 | thousands by filing date | |
| CIENA CORP | 171779AE1 | NOTE | 653,000 | $652,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 42,361 | $652,000 | thousands by filing date | |
| EXA CORP | 300614500 | COM | 42,306 | $650,000 | thousands by filing date | |
| CONTAINER STORE GROUP INC | 210751103 | COMMON STOCK | 101,987 | $648,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 600,000 | $648,000 | thousands by filing date | |
| ITAU CORPBANCA | 45033E105 | SPONSORED ADR | 52,042 | $647,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 16,013 | $645,000 | thousands by filing date | |
| TWIN DISC INC | 901476101 | COMMON STOCK | 44,241 | $645,000 | thousands by filing date | |
| INTERNATIONAL SEAWAYS INC COM | Y41053102 | Stock | 45,809 | $643,000 | thousands by filing date | |
| NEVRO CORP | 64157FAA1 | BOND | 600,000 | $643,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 27,501 | $641,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 111,315 | $640,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 40,616 | $638,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 500,000 | $637,000 | thousands by filing date | |
| WALTER INVT MGMT CORP | 93317W102 | COM | 133,889 | $636,000 | thousands by filing date | |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 35,154 | $635,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 500,000 | $633,000 | thousands by filing date | |
| COMMERCIAL VEH GROUP INC | 202608105 | COM | 114,422 | $632,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102202 | COM NEW | 22,398 | $632,000 | thousands by filing date | |
| TOWNSQUARE MEDIA INC | 892231101 | CL A | 60,619 | $631,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 82,414 | $631,000 | thousands by filing date | |
| INSTRUCTURE INC | 45781U103 | COM | 32,205 | $630,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 20,371 | $629,000 | thousands by filing date | |
| TECHTARGET INC | 87874R100 | COM | 73,546 | $627,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 6,300 | $626,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 44,390 | $626,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 47,583 | $626,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 129,427 | $625,000 | thousands by filing date | |
| OLD LINE BANCSHARES INC | 67984M100 | COMMON | 26,026 | $624,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 600,000 | $624,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 41,310 | $623,000 | thousands by filing date | |
| MYOKARDIA INC | 62857M105 | COM | 48,136 | $623,000 | thousands by filing date | |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 65,813 | $622,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 13,582 | $617,000 | thousands by filing date | |
| Delta Apparel Inc | 247368103 | COM | 29,701 | $616,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 1,000,000 | $616,000 | thousands by filing date | |
| ENTELLUS MED INC | 29363K105 | COM | 32,323 | $613,000 | thousands by filing date | |
| APPFOLIO INC | 03783C100 | COM CL A | 25,649 | $612,000 | thousands by filing date | |
| IGNYTA INC | 451731103 | COM | 115,454 | $612,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001390777-17-000064 | this filing | 2017-02-13 | acceptance time not in the bulk data set |