13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-15, with 2,419 holding rows worth $13,930,126,000.
- Accession
- 0001403438-13-000007
- Filer
- CIK 1403438
- Filed
- 2013-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 2,419 entries on the cover page, a total value of $13,930,126,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $13,914,396,000 with VALUE read as thousands by filing date, 13F file number 028-12526. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 7,040 | $263,000 | thousands by filing date | |
| SILICON GRAPHICS INTL CORP COM | 82706L108 | COM | 19,637 | $263,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 5,799 | $262,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 4,016 | $262,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 3,124 | $262,000 | thousands by filing date | |
| FLOTEK INDS INC DEL | 343389102 | COM | 14,596 | $262,000 | thousands by filing date | |
| ITT CORP | 450911201 | COM | 8,908 | $262,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 4,903 | $261,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 6,654 | $261,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 10,241 | $259,000 | thousands by filing date | |
| CANON INC-ADR | 138006309 | SPONSORED ADR | 7,873 | $259,000 | thousands by filing date | |
| TRINITY BIOTECH PLC | 896438306 | SPON ADR NEW | 15,356 | $259,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 15,325 | $258,000 | thousands by filing date | |
| NIELSEN HOLDINGS N V | N63218106 | COM | 7,677 | $258,000 | thousands by filing date | |
| SINGAPORE FUND | 82929L109 | COM | 19,900 | $257,000 | thousands by filing date | |
| iShares JP Morgan EM Local Ccy Bd ETF | 464286517 | SHS | 5,152 | $256,000 | thousands by filing date | |
| ISHARES INC | 464286293 | ASIA/PAC DIV ETF | 4,852 | $256,000 | thousands by filing date | |
| PNC FINANCIAL SERVICES GROUP | 693475121 | CMN | 16,985 | $256,000 | thousands by filing date | |
| Medgenics Inc New | 58436Q203 | COM NEW | 67,186 | $255,000 | thousands by filing date | |
| BROADRIDGE FINL SOLUTIONS INC COM | 11133T103 | Stock | 9,547 | $254,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 10,576 | $254,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 17,774 | $253,000 | thousands by filing date | |
| ALLIANZGI INTL & PREM STRATE | 01882X108 | COM | 26,919 | $253,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 9,508 | $252,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 4,135 | $252,000 | thousands by filing date | |
| WHITE MTNS INS GROUP LTD | G9618E107 | COM | 438 | $252,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 5,285 | $252,000 | thousands by filing date | |
| NEUSTAR INC | 64126X201 | CL A | 5,182 | $252,000 | thousands by filing date | |
| NEWMARKET CORP COM | 651587107 | Stock | 956 | $251,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 11,925 | $251,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 15,757 | $251,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 17,938 | $251,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 5,000 | $250,000 | thousands by filing date | |
| TCF FINL CORP | 872275102 | COM | 17,603 | $250,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 13,171 | $250,000 | thousands by filing date | |
| CBRE GROUP INC CL A | 12504L109 | Stock | 10,646 | $249,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 3,687 | $249,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 2,996 | $249,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 14,476 | $249,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 52,251 | $249,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,929 | $248,000 | thousands by filing date | |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 8,785 | $248,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 3,852 | $247,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 7,755 | $247,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 19,433 | $247,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 11,056 | $247,000 | thousands by filing date | |
| CYTEC INDS INC | 232820100 | COM | 3,372 | $247,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 7,387 | $246,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 13,189 | $246,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 2,958 | $246,000 | thousands by filing date | |
| LINEAR TECHNOLOGY CORP | 535678106 | COM | 6,691 | $246,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,465 | $246,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 11,947 | $246,000 | thousands by filing date | |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 5,300 | $245,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TR I | 80007V106 | SH BEN INT | 19,655 | $245,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E358 | GLB X PERMETF | 10,600 | $245,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 28,929 | $244,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 3,268 | $243,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 17,034 | $243,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 5,371 | $242,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q106 | REIT DIVIDE DOGS | 6,129 | $242,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 10,157 | $242,000 | thousands by filing date | |
| WISDOMTREE AUSTRALIA | 97717W810 | AUSTRALIA DIV FD | 4,468 | $242,000 | thousands by filing date | |
| FIRST TRUST | 33737J208 | CANADA ALPHA | 7,348 | $242,000 | thousands by filing date | |
| BARCLAYS BANK | 06739H412 | CARRY ETN 38 | 5,610 | $242,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 20,927 | $241,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 4,674 | $241,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 3,763 | $241,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 4,224 | $240,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X344 | TECH SECT PORT | 7,997 | $240,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A706 | ST STR GLB DOW | 4,070 | $239,000 | thousands by filing date | |
| CHEMTURA CORP | 163893209 | COM NEW | 11,755 | $239,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 4,550 | $239,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 12,349 | $238,000 | thousands by filing date | |
| COPT DEFENSE PROPERTIES | 22002T108 | SHS BEN INT | 9,344 | $238,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 57,650 | $238,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 7,651 | $237,000 | thousands by filing date | |
| ISHARES INC | 464286780 | MSCI STH AFR ETF | 4,051 | $237,000 | thousands by filing date | |
| Hubbell Inc Class B | 443510201 | COM | 2,394 | $237,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U787 | AFRICA ETF | 8,754 | $236,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 13,641 | $234,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 5,331 | $234,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 20,509 | $234,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 1,544 | $234,000 | thousands by filing date | |
| ING INFRASTRUCTURE INDLS & M | 45685U100 | COM | 13,438 | $234,000 | thousands by filing date | |
| ISHARES FTSE | 464288554 | INDL OFF CAP IDX | 7,688 | $234,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 17,800 | $233,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 2,391 | $233,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 3,678 | $232,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 13,282 | $232,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,221 | $232,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 4,475 | $232,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 8,204 | $232,000 | thousands by filing date | |
| ICU MED INC | 44930G107 | COM | 3,206 | $231,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 15,500 | $231,000 | thousands by filing date | |
| ASGN INC | 682159108 | COM | 8,631 | $231,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 8,536 | $231,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 16,770 | $230,000 | thousands by filing date | |
| MARKET VECTORS | 57060U159 | UNCVTL OIL GAS | 9,094 | $230,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 6,325 | $229,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 17,713 | $228,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 37,465 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 4,715 | $227,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 4,244 | $227,000 | thousands by filing date | |
| DDR CORP | 23317H102 | COM | 13,629 | $227,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND PLC | 78009P150 | CHINA TRNDP ETF | 9,760 | $227,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 6,281 | $226,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 8,371 | $226,000 | thousands by filing date | |
| OMNICARE INC | 681904108 | COM | 4,737 | $226,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 3,666 | $226,000 | thousands by filing date | |
| TEXAS ROADHOUSE INC COM | 882681109 | Stock | 8,997 | $225,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 2,231 | $225,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 16,637 | $225,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 5,288 | $225,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 12,837 | $225,000 | thousands by filing date | |
| ENBRIDGE ENERGY MANAGEMENT L | 29250x103 | SHS UNITS LLI | 7,426 | $225,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060u753 | INDONESIA ETF | 7,773 | $225,000 | thousands by filing date | |
| ISHARES TR | 46429B135 | INT PFD STK FD | 9,394 | $225,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 15,664 | $225,000 | thousands by filing date | |
| ZIFF DAVIS INC | 48123V102 | COM | 5,260 | $224,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 8,321 | $224,000 | thousands by filing date | |
| ITRON INC COM | 465741106 | Stock | 5,249 | $223,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 14,877 | $223,000 | thousands by filing date | |
| DRIL-QUIP INC | 262037104 | COM | 2,465 | $223,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017117 | UNIT 99/99/9999 | 3,755 | $223,000 | thousands by filing date | |
| HNI CORP COM | 404251100 | Stock | 6,165 | $222,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 10,045 | $222,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH ETN INITIAL ISSUANCE LKDTO S&P 500 | 22542D811 | ETF | 19,830 | $222,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 5,776 | $221,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 14,799 | $221,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 21,684 | $221,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 3,357 | $220,000 | thousands by filing date | |
| NORDSON CORP | 655663102 | COM | 3,172 | $220,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 6,353 | $219,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 11,384 | $219,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 20,942 | $219,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X419 | CON DISCRE SEC | 6,093 | $219,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 5,881 | $218,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 4,149 | $218,000 | thousands by filing date | |
| ENERSYS COM | 29275Y102 | Stock | 4,453 | $218,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E416 | SOCIAL MED ETF | 14,731 | $218,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 2,944 | $218,000 | thousands by filing date | |
| RESOLUTE FOREST PRODUCTS | 76117W109 | COMMON STOCK | 16,531 | $218,000 | thousands by filing date | |
| SALIENT MLP & ENERGY INFRSTR | 79471T100 | COM SH BEN INT | 7,600 | $218,000 | thousands by filing date | |
| SPDR S&P | 78463X806 | MIDEAST AFRICA | 3,514 | $218,000 | thousands by filing date | |
| ROSETTA RESOURCES INC | 777779307 | COM | 5,094 | $217,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 8,836 | $217,000 | thousands by filing date | |
| Schwab US Mid-Cap ETF | 808524508 | SHS | 6,759 | $216,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 15,877 | $216,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 7,516 | $216,000 | thousands by filing date | |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 8,340 | $216,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 3,032 | $215,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 4,524 | $215,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 18,393 | $215,000 | thousands by filing date | |
| SL GREEN REALTY CORP | 78440X101 | COM | 2,436 | $215,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 4,879 | $215,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 6,938 | $214,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 10,179 | $214,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 17,571 | $214,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 15,141 | $213,000 | thousands by filing date | |
| COLUMBIA SELIGMAN PREMIUM TECH | 19842X109 | COM | 14,809 | $213,000 | thousands by filing date | |
| MARKET VECTORS PHARM ETF T | 57060U217 | ETF | 4,689 | $213,000 | thousands by filing date | |
| ALLIANCE HOLDINGS GP LP | 01861G100 | COM UNITS LP | 3,338 | $213,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 4,198 | $211,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 19,850 | $210,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 4,996 | $210,000 | thousands by filing date | |
| EXTRA SPACE STORAGE INC COM | 30225T102 | REIT | 4,992 | $209,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 14,292 | $209,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 3,148 | $209,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 7,857 | $209,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 8,173 | $208,000 | thousands by filing date | |
| WISDOMTREE TRUST | 97717W240 | BRAZILN RL ETF | 11,776 | $208,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 12,970 | $207,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 16,045 | $207,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 4,374 | $206,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 4,158 | $206,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 12,705 | $206,000 | thousands by filing date | |
| DENTSPLY INTL INC | 249030107 | COM | 5,033 | $206,000 | thousands by filing date | |
| PROASSURANCE CORP | 74267C106 | COM | 3,935 | $205,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 21,897 | $205,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 23,653 | $205,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 4,569 | $205,000 | thousands by filing date | |
| LTX-CREDENCE CORP | 502403207 | COM NEW | 34,253 | $205,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC | 84860F109 | COM | 11,550 | $205,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 3,659 | $205,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 21,033 | $205,000 | thousands by filing date | |
| HONDA MOTOR CO LTD ADR ECH CNV IN 3 | 438128308 | ADR | 5,475 | $204,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 4,549 | $204,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 6,000 | $204,000 | thousands by filing date | |
| LEVEL 3 COMMUNICATIONS INC | 52729N308 | COM NEW | 9,672 | $204,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 38,861 | $204,000 | thousands by filing date | |
| GENESCO INC | 371532102 | COM | 3,027 | $203,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 5,298 | $202,000 | thousands by filing date | |
| SALLY BEAUTY HLDGS INC | 79546E104 | COM | 6,498 | $202,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 6,425 | $202,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 19,401 | $202,000 | thousands by filing date | |
| MEREDITH CORP | 589433101 | COM | 4,220 | $201,000 | thousands by filing date | |
| HOSPIRA INC | 441060100 | COM | 5,239 | $201,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC | 044103505 | 9% CUM PFD SER E | 7,500 | $201,000 | thousands by filing date | |
| SIRONA DENTAL SYSTEMS INC | 82966C103 | COM | 3,057 | $201,000 | thousands by filing date | |
| ATMI INC | 00207R101 | COM | 8,493 | $201,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 5,924 | $200,000 | thousands by filing date | |
| FIFTH & PAC COS INC | 316645100 | COM | 8,971 | $200,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 13,122 | $199,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 23,067 | $199,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 23,952 | $199,000 | thousands by filing date | |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 13,396 | $198,000 | thousands by filing date | |
| CRAY INC | 225223304 | COM NEW | 10,100 | $198,000 | thousands by filing date | |
| POWERSHARES S&P | 73936T805 | DEV INTL OPP | 11,236 | $198,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 206,000 | $197,000 | thousands by filing date | |
| ROCHESTER MED CORP | 771497104 | COM | 13,350 | $197,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR CORP | 55933J203 | CMN | 10,733 | $196,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 16,285 | $195,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 10,618 | $195,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 15,816 | $195,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 16,612 | $195,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 13,639 | $194,000 | thousands by filing date | |
| WISDOMTREE GLOBAL | 97717W653 | GLB EX US UTIL | 11,337 | $194,000 | thousands by filing date | |
| SERVICE CORP INTL COM | 817565104 | Stock | 10,681 | $193,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 21,955 | $192,000 | thousands by filing date | |
| EVERBANK FINANCIAL CORPORATION | 29977G102 | COMMON STOCK | 11,611 | $192,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 31,896 | $191,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 14,220 | $190,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 31,532 | $188,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 35,896 | $187,000 | thousands by filing date | |
| GUGGENHEIM EQUAL | 40167M106 | COM SH BEN INT | 10,300 | $187,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 11,842 | $185,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 10,497 | $185,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 10,885 | $185,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 20,700 | $185,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 19,412 | $184,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 48,450 | $183,000 | thousands by filing date | |
| PILGRIMS PRIDE CORP COM | 72147K108 | Stock | 12,172 | $182,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 28,608 | $182,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 13,326 | $182,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 13,604 | $181,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 22,205 | $181,000 | thousands by filing date | |
| NUVEEN CA MUN MKT OPPORTUNT | 67062U107 | COM | 12,066 | $179,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 15,732 | $177,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 22,364 | $177,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,967 | $176,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736G106 | GBL WND ENRG ETF | 20,887 | $176,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 10,309 | $176,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 10,432 | $175,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 13,500 | $174,000 | thousands by filing date | |
| BLACKROCK S&P QUALITY * | 09250D109 | SHS BEN INT | 13,857 | $173,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 14,775 | $172,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 10,478 | $172,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 43,716 | $172,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 12,375 | $171,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 21,062 | $171,000 | thousands by filing date | |
| ISHARES MSCI | 464286335 | MSCI GLB GOLD | 17,111 | $171,000 | thousands by filing date | |
| COHEN & STEERS DIV MJRS FDIN | 19248G106 | COM | 11,828 | $169,000 | thousands by filing date | |
| GUGGENHEIM FRONTIER MARKETS ETF | 18383Q838 | COM | 10,492 | $168,000 | thousands by filing date | |
| GLOBAL X | 37950E788 | BRAZIL MID CAP | 12,850 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 11,865 | $166,000 | thousands by filing date | |
| NEW IRELAND FD INCORPORATED | 645673104 | Closed End Funds - Taxable | 15,855 | $165,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 25,675 | $163,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 13,898 | $163,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 10,263 | $163,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 11,102 | $163,000 | thousands by filing date | |
| WELLS FARGO & CO NEW | 949746119 | *W EXP 10/28/201 | 11,906 | $163,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 11,097 | $163,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 13,097 | $162,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 13,664 | $162,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 26,014 | $162,000 | thousands by filing date | |
| NUVERRA ENVIRNMNTL SOLUTIO | 67091K104 | COM | 55,500 | $161,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 18,620 | $159,000 | thousands by filing date | |
| ING INTERNATIONAL | 45684Q100 | COM | 16,864 | $159,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 11,785 | $158,000 | thousands by filing date | |
| GLOBAL X | 37950E762 | EXCHANGE TRADED | 13,818 | $157,000 | thousands by filing date | |
| AMERICAN INCOME FD INC | 02672T109 | COM | 20,222 | $157,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 18,663 | $155,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 22,690 | $153,000 | thousands by filing date | |
| BLACKROCK STRTGC BOND TR | 09249G106 | COM | 11,741 | $153,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 14,800 | $152,000 | thousands by filing date | |
| MARKET VECTORS INDIA S/C | 57060U563 | INDI | 21,324 | $151,000 | thousands by filing date | |
| NUVEEN MASSACHUSETTS | 67072F108 | COM | 11,086 | $149,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 20,876 | $147,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 12,563 | $147,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 14,336 | $146,000 | thousands by filing date | |
| OLD NATL BANCORP IND | 680033107 | COM | 10,486 | $145,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 11,526 | $145,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 13,795 | $144,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 10,471 | $140,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 18,500 | $138,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 14,057 | $137,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 11,757 | $136,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 15,632 | $136,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 10,516 | $135,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 14,858 | $135,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 41,600 | $134,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 10,830 | $133,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 16,177 | $133,000 | thousands by filing date | |
| NUVEEN | 67071W102 | EXCHANGE TRADED | 10,209 | $132,000 | thousands by filing date | |
| POWERSHARES LUX | 73935X633 | LX NANOTCH PTF | 19,836 | $132,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 13,612 | $131,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 17,936 | $131,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 20,005 | $130,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 101,191 | $130,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 12,383 | $129,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 13,664 | $129,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 10,375 | $129,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 14,480 | $129,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 43,743 | $126,000 | thousands by filing date | |
| FEDERAL MOGUL CORP | 313549404 | COM | 12,221 | $125,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 15,600 | $124,000 | thousands by filing date | |
| BLACKROCK HIGH YIELD TR | 09248N102 | SHS | 17,109 | $124,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 13,030 | $123,000 | thousands by filing date | |
| DIANA SHIPPING INC | Y2066G104 | COM | 12,200 | $122,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 17,388 | $121,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 14,913 | $120,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 16,730 | $118,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 20,350 | $118,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 13,819 | $117,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 12,199 | $117,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 10,162 | $115,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 13,942 | $114,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 12,000 | $114,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 13,693 | $114,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 19,662 | $113,000 | thousands by filing date | |
| BLACKROCK | 09250E107 | EXCHANGE TRADED | 52,055 | $112,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 36,849 | $112,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 19,030 | $111,000 | thousands by filing date | |
| ENTEGRIS INC COM | 29362U104 | Stock | 11,870 | $111,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 16,088 | $109,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 15,672 | $109,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 15,144 | $108,000 | thousands by filing date | |
| DAKTRONICS INC | 234264109 | COM | 10,415 | $107,000 | thousands by filing date | |
| BLACKROCK SR HIGH INCOME FD | 09255T109 | COM | 25,716 | $107,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 15,362 | $104,000 | thousands by filing date | |
| HELIOS STRATEGIC INCOME FD I | 42328A203 | COM NEW | 16,910 | $103,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 37,769 | $102,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 10,579 | $98,000 | thousands by filing date | |
| JAPAN EQUITY FD INC | 471057109 | COM | 15,208 | $98,000 | thousands by filing date | |
| TRIUS THERAPEUTICS INC | 89685K100 | COM | 11,720 | $95,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 16,890 | $94,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 13,000 | $90,000 | thousands by filing date | |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 10,900 | $87,000 | thousands by filing date | |
| FORD MTR CO DEL | 345370CF5 | NOTE 4.250%12/1 | 50,000 | $87,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 13,169 | $85,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 20,705 | $84,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 37,117 | $83,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 17,504 | $82,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 37,148 | $82,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 10,420 | $81,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 12,949 | $80,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 12,598 | $78,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 20,124 | $78,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 20,000 | $77,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 26,162 | $75,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 32,360 | $72,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 12,100 | $71,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 23,362 | $71,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 50,917 | $71,000 | thousands by filing date | |
| YANZHOU COAL MNG CO LTD | 984846105 | SPON ADR H SHS | 10,000 | $71,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 33,188 | $70,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 20,700 | $66,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 11,558 | $65,000 | thousands by filing date | |
| INDEPENDENT BK CORP MICH | 453838609 | COM NEW | 10,000 | $63,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 15,098 | $62,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 22,022 | $59,000 | thousands by filing date | |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 10,375 | $59,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 10,281 | $58,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 10,100 | $54,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 53,079 | $54,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $50,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 44,500 | $49,000 | thousands by filing date | |
| CAMCO FINANCIAL CORP | 132618109 | COM | 15,000 | $49,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 12,512 | $46,000 | thousands by filing date | |
| BAXANO SURGICAL | 071773105 | COM | 19,161 | $46,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 11,999 | $45,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 10,810 | $45,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 40,000 | $45,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 19,250 | $44,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 34,260 | $44,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 10,000 | $43,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 13,883 | $41,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 19,975 | $41,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 10,000 | $40,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 18,000 | $37,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 15,725 | $35,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 15,900 | $34,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 30,000 | $32,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 24,750 | $32,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 10,520 | $31,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 10,450 | $29,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 38,078 | $28,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 22,925 | $27,000 | thousands by filing date | |
| ZALICUS INC | 98887C105 | COM | 47,000 | $27,000 | thousands by filing date | |
| TRI-TECH HOLDING | G9103F106 | SHS | 20,600 | $27,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 13,223 | $25,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,325 | $25,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 13,025 | $24,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 16,391 | $24,000 | thousands by filing date | |
| BACTERIN INTERNATIONAL HLDGS INC. | 05644R101 | COM | 50,000 | $23,000 | thousands by filing date | |
| HYPERDYNAMICS CORP | 448954107 | COM | 46,625 | $22,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 10,000 | $21,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 17,004 | $20,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 17,100 | $20,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 46,550 | $20,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 16,500 | $17,000 | thousands by filing date | |
| FERRO CORP 6.5%13 | 315405AL4 | NOTE 6.500% 8/1 | 15,000 | $15,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 16,800 | $14,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 12,000 | $11,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO | 039483AW2 | NOTE 0.875% 2/1 | 10,000 | $10,000 | thousands by filing date | |
| NASDAQ OMX GROUP INC 2.500 | 631103AA6 | NOTE 2.500% 8/1 | 10,000 | $10,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 10,000 | $10,000 | thousands by filing date | |
| NEWMONT MINING CORP | 651639AH9 | NOTE | 10,000 | $10,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 10,159 | $10,000 | thousands by filing date | |
| CHINA MARINE | 16943R106 | COM | 13,000 | $10,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 20,600 | $9,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 15,924 | $9,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 35,000 | $7,000 | thousands by filing date | |
| USEC INC | 90333E108 | COM | 20,700 | $6,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 12,235 | $6,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 10,000 | $5,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 11,050 | $4,000 | thousands by filing date | |
| ENTREE GOLD INC | 29383G100 | COM | 10,000 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-13-000007 | this filing | 2013-08-15 | acceptance time not in the bulk data set |