13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 2,722 holding rows worth $18,268,166,000.
- Accession
- 0001403438-15-000003
- Filer
- CIK 1403438
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 2,722 entries on the cover page, a total value of $18,268,166,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,268,166,000 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 |
|---|---|---|---|---|---|---|
| FARO TECHNOLOGIES INC | 311642102 | COM | 3,206 | $201,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06742A669 | IPATH SHILR CAPE | 2,587 | $201,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 8,022 | $201,000 | thousands by filing date | |
| COLUMBIA ETF TR | 19761R406 | SEL LC GRW ETF | 4,577 | $201,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 17,724 | $200,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 19,183 | $200,000 | thousands by filing date | |
| AMSURG CORP | 03232P405 | COM | 3,655 | $200,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 18,890 | $198,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 21,911 | $197,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 14,433 | $196,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 21,788 | $196,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 13,913 | $195,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 15,272 | $195,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 13,578 | $195,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 13,678 | $194,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 14,957 | $192,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 23,657 | $192,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 23,740 | $191,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 12,500 | $188,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 14,422 | $188,000 | thousands by filing date | |
| NOMURA HLDGS INC SPONSORED ADR | 65535H208 | ADR | 32,831 | $186,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 66,506 | $186,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 11,092 | $186,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 12,852 | $186,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 11,389 | $186,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 21,591 | $185,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 11,456 | $183,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 510,000 | $183,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 11,345 | $181,000 | thousands by filing date | |
| WRIGHT MED GROUP INC | 98235T115 | RIGHT 03/01/2019 | 37,769 | $181,000 | thousands by filing date | |
| KELLY SVCS INC | 488152208 | CL A | 10,596 | $180,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 15,944 | $180,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 14,188 | $178,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 14,999 | $176,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 11,882 | $175,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 16,761 | $174,000 | thousands by filing date | |
| ABERDEEN ISRAEL FUND INC | 00301L109 | COM | 10,470 | $174,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 39,127 | $172,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 13,255 | $172,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 23,257 | $171,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 24,391 | $171,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 10,172 | $169,000 | thousands by filing date | |
| Full Circle Capital Corp. | 359671104 | COM | 37,394 | $169,000 | thousands by filing date | |
| DRIEHAUS SELECT CREDIT FUND | 262028848 | Open-End Fund | 18,521 | $169,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 18,588 | $168,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 10,403 | $167,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 45,006 | $166,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 10,969 | $166,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 14,274 | $165,000 | thousands by filing date | |
| BANCO SANTANDER BRASIL S.A. AD | 05967A107 | ADS REP 1 UNIT | 32,879 | $165,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 10,255 | $162,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 13,724 | $162,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 10,264 | $160,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 12,111 | $160,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 11,082 | $158,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 12,284 | $157,000 | thousands by filing date | |
| VIRTUS INSIGHT TR | 92828T889 | VIRTUS EMRG FD I | 15,829 | $157,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 21,182 | $156,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 14,616 | $156,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 10,741 | $154,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 20,701 | $154,000 | thousands by filing date | |
| MORGAN STANLEY | 61760E846 | CUSHNG MLP ETN | 11,340 | $154,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 10,476 | $152,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 13,097 | $152,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 35,784 | $152,000 | thousands by filing date | |
| PETMED EXPRESS INC | 716382106 | COM | 10,495 | $151,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 13,577 | $150,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 11,825 | $150,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,102 | $149,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,124 | $149,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 10,601 | $149,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 11,775 | $148,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 11,635 | $148,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 12,591 | $146,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 13,698 | $146,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 12,130 | $146,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 10,915 | $146,000 | thousands by filing date | |
| WASATCH FDS TR | 936793884 | EMRG MKTS SCAP | 54,723 | $146,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 15,469 | $145,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 28,028 | $143,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 17,167 | $143,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 23,436 | $142,000 | thousands by filing date | |
| LOGILITY SUPPLY CHAIN SOLUTIONS | 029683109 | COMMON STOCK | 15,632 | $142,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 11,328 | $141,000 | thousands by filing date | |
| MANITEX INTL INC | 563420108 | COMMON STOCK | 11,125 | $141,000 | thousands by filing date | |
| CAPE BANCORP INC | 139209100 | COM | 15,000 | $141,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 10,905 | $140,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 13,762 | $139,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 47,184 | $139,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 25,342 | $139,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 10,490 | $138,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 43,691 | $136,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 132,874 | $136,000 | thousands by filing date | |
| WILSHIRE BANCORP INC | 97186T108 | COM | 13,471 | $136,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 121,771 | $135,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 13,410 | $132,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 19,429 | $132,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 23,968 | $132,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 12,412 | $129,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 40,393 | $127,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 10,831 | $127,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 20,437 | $124,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 10,863 | $124,000 | thousands by filing date | |
| INVESTORS BANCORP, INC. | 46146L101 | COMMON STOCK | 10,900 | $122,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 16,800 | $121,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 15,938 | $120,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 17,410 | $120,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 14,762 | $120,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 42,692 | $118,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 11,431 | $117,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 19,500 | $116,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 64,346 | $115,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 36,159 | $114,000 | thousands by filing date | |
| Arbitrage Event Driven | 03875R403 | Event Driven | 11,654 | $114,000 | thousands by filing date | |
| Pimco Low Duration Fund Instit | 693390304 | COM | 11,150 | $112,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 61,328 | $110,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 14,594 | $109,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 13,015 | $107,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 121,997 | $107,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 13,156 | $106,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 23,312 | $106,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 11,450 | $106,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 11,674 | $104,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 56,689 | $103,000 | thousands by filing date | |
| DEUTSCHE BK AG LDN BRH | 25154H558 | PS AGRI DL ETN | 19,700 | $102,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 13,648 | $101,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 100,000 | $101,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 160,320 | $99,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 26,557 | $99,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 13,474 | $98,000 | thousands by filing date | |
| EARTHLINK HLDGS CORP | 27033X101 | COM | 22,021 | $97,000 | thousands by filing date | |
| ROUNDY'S INC | 779268101 | COM | 19,750 | $96,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 23,600 | $95,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 53,142 | $95,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 16,325 | $95,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 10,176 | $92,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 11,046 | $92,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 33,882 | $92,000 | thousands by filing date | |
| ROYCE FOCUS TR | 78080N108 | COM | 12,618 | $92,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 59,983 | $92,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 12,313 | $91,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 13,584 | $91,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 11,876 | $88,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 25,820 | $82,000 | thousands by filing date | |
| MCG CAPITAL CORP | 58047P107 | COM | 21,500 | $82,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 10,478 | $79,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 12,876 | $78,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 137,464 | $76,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 69,070 | $73,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 26,700 | $71,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 25,451 | $68,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 41,600 | $64,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 12,225 | $61,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 13,805 | $59,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 60,000 | $59,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 32,693 | $58,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,120 | $57,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 11,700 | $56,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 41,099 | $56,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 10,225 | $55,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 10,699 | $55,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 45,000 | $55,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10,298 | $53,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 47,173 | $53,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 19,532 | $52,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 63,200 | $51,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 12,625 | $49,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 11,500 | $49,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 12,003 | $48,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 14,920 | $46,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 10,922 | $46,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38143UTC5 | CNV | 30,000 | $42,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 24,343 | $41,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 29,000 | $41,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,860 | $36,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,400 | $36,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 16,202 | $35,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 11,000 | $35,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 32,110 | $34,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $32,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 14,915 | $32,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 16,080 | $30,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 25,000 | $29,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 22,000 | $28,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 15,700 | $27,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $27,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 19,163 | $26,000 | thousands by filing date | |
| ASTROTECH CORP | 046484101 | COMMON STOCK | 10,200 | $25,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 64,652 | $24,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 10,238 | $24,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,325 | $21,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 11,482 | $19,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $18,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 13,160 | $18,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 10,000 | $16,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 12,000 | $16,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 10,050 | $15,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 15,000 | $15,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 10,000 | $14,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 15,500 | $14,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 18,744 | $14,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 14,000 | $13,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 33,700 | $12,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 11,550 | $11,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 16,800 | $11,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 10,456 | $10,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076XAE2 | NOTE 3.750%12/1 | 20,000 | $10,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 12,435 | $9,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 13,000 | $9,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 10,816 | $9,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $9,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 10,250 | $8,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 13,793 | $7,000 | thousands by filing date | |
| SAMSON OIL AND GAS LIMITED ADR | 796043107 | ADR | 32,916 | $7,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 16,000 | $6,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 12,235 | $6,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 14,392 | $6,000 | thousands by filing date | |
| NORTH AMERN PALLADIUM LTD | 656912102 | COM | 30,450 | $4,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 20,000 | $4,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 26,545 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 96,640 | $2,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 16,730 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-15-000003 | this filing | 2015-02-13 | acceptance time not in the bulk data set |