13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-13, with 2,786 holding rows worth $18,162,178,000.
- Accession
- 0001403438-15-000008
- Filer
- CIK 1403438
- Filed
- 2015-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 2,786 entries on the cover page, a total value of $18,162,178,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $18,162,178,000 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 |
|---|---|---|---|---|---|---|
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 23,925 | $203,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 2,735 | $202,000 | thousands by filing date | |
| DEXCOM INC COM | 252131107 | Stock | 2,382 | $202,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 4,622 | $202,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 1,243 | $201,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 13,050 | $201,000 | thousands by filing date | |
| ISHARES INC | 464286624 | MSCI THAILND ETF | 3,125 | $201,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 36,882 | $201,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 4,894 | $201,000 | thousands by filing date | |
| ISHARES TR | 46434V571 | ISHARES TR | 7,863 | $201,000 | thousands by filing date | |
| ARROW ELECTRS INC | 042735100 | COM | 3,450 | $200,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 2,066 | $200,000 | thousands by filing date | |
| SANGAMO THERAPEUTICS INC | 800677106 | COM | 32,835 | $200,000 | thousands by filing date | |
| TEMPLETON RUS AND EAST EUR F | 88022F105 | COM | 20,183 | $200,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 10,593 | $199,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 24,643 | $197,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R308 | BUYWRIT INCM ETF | 10,034 | $196,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 12,640 | $196,000 | thousands by filing date | |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 18,360 | $196,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 15,227 | $196,000 | thousands by filing date | |
| BLACKROCK MUN INCOME INVT TR | 09248H105 | SHS BEN INT | 14,332 | $195,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 15,857 | $195,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 11,250 | $195,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 13,024 | $195,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 14,993 | $194,000 | thousands by filing date | |
| RICE ENERGY INC | 762760106 | COM | 10,992 | $194,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 12,376 | $192,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 25,395 | $192,000 | thousands by filing date | |
| PMC-SIERRA INC | 69344F106 | COM | 25,028 | $192,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 17,143 | $191,000 | thousands by filing date | |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 14,460 | $191,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 15,320 | $190,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 17,831 | $190,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 21,281 | $190,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 21,415 | $189,000 | thousands by filing date | |
| HI-CRUSH PARTNERS LP | 428337109 | COM UNIT LTD | 24,081 | $188,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 10,115 | $187,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 13,689 | $187,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 10,281 | $186,000 | thousands by filing date | |
| BARCLAYS PLC ADR | 06738E204 | ADR | 11,848 | $185,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 30,148 | $184,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 11,773 | $184,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 16,028 | $182,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 18,499 | $181,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 13,003 | $181,000 | thousands by filing date | |
| EASTMAN KODAK CO | 277461406 | COM NEW | 11,338 | $180,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 36,816 | $180,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 28,188 | $180,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 16,549 | $179,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 20,203 | $179,000 | thousands by filing date | |
| CONSOL ENERGY INC | 20854P109 | COM | 16,808 | $179,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 21,377 | $178,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 40,074 | $177,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 12,460 | $177,000 | thousands by filing date | |
| GLOBAL X | 37950E325 | GLOBL X JR MLP | 18,259 | $177,000 | thousands by filing date | |
| EATON VANCE MICH MUN BD FD | 27828M104 | COM | 13,430 | $176,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 13,852 | $175,000 | thousands by filing date | |
| United States Brent Oil Fund L | 91167Q100 | COM | 10,365 | $175,000 | thousands by filing date | |
| KBHOME | 48666K109 | COM | 12,105 | $174,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 11,898 | $173,000 | thousands by filing date | |
| RUTHS HOSPITALITY GROUP INC | 783332109 | COM | 10,500 | $173,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 21,908 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 13,315 | $172,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 10,739 | $171,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 11,695 | $171,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 16,336 | $171,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 12,238 | $169,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 12,251 | $169,000 | thousands by filing date | |
| LMI AEROSPACE INC | 502079106 | COM | 16,115 | $169,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 17,325 | $169,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 18,886 | $168,000 | thousands by filing date | |
| LIFELOCK INC COM | 53224V100 | COM | 18,238 | $168,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 56,970 | $167,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY S | 40167K100 | COM | 10,846 | $167,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 130,176 | $167,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 12,049 | $165,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 37,317 | $164,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 12,127 | $164,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 11,182 | $163,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 11,538 | $163,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 15,792 | $162,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 14,405 | $162,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 12,178 | $162,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 25,526 | $161,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 15,436 | $159,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 71,874 | $159,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 20,796 | $159,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 11,457 | $158,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 20,141 | $158,000 | thousands by filing date | |
| TECK RESOURCES LTD CL B | 878742204 | Stock | 27,725 | $156,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 11,952 | $155,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 15,081 | $152,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 20,038 | $151,000 | thousands by filing date | |
| OMEROS CORP | 682143102 | COM | 12,364 | $151,000 | thousands by filing date | |
| THERAVANCE INC | 88338T104 | COMMON STOCK | 16,290 | $151,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 11,461 | $151,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 14,586 | $148,000 | thousands by filing date | |
| MFS CALIF MUN FD | 59318C106 | COM | 13,245 | $146,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 19,874 | $145,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 22,292 | $144,000 | thousands by filing date | |
| FURMANITE CORPORATION | 361086101 | COM | 22,250 | $144,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 33,773 | $143,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 11,257 | $140,000 | thousands by filing date | |
| WASATCH FDS TR | 936793884 | EMRG MKTS SCAP | 59,724 | $140,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 12,522 | $138,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 19,687 | $138,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 16,583 | $138,000 | thousands by filing date | |
| CENTRAL VY CMNTY BANCORP | 155685100 | COM | 11,652 | $137,000 | thousands by filing date | |
| ROSETTA STONE INC | 777780107 | COM | 20,900 | $137,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 13,673 | $136,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 47,537 | $134,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 10,082 | $134,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 10,825 | $133,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 11,700 | $133,000 | thousands by filing date | |
| NEUBERGER BERMAN | 64128R871 | ABSOL RTNMUL A | 12,950 | $133,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 21,605 | $132,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 10,828 | $132,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 135,000 | $131,000 | thousands by filing date | |
| FIRST TR ACTIVE DIVID INCOME | 33731L100 | COM | 15,868 | $129,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 12,063 | $127,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 15,959 | $126,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 10,045 | $126,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 23,987 | $125,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 153,407 | $124,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 15,576 | $124,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 14,889 | $123,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 13,470 | $120,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 25,427 | $119,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 21,469 | $118,000 | thousands by filing date | |
| CPFL ENERGIA SA SPONS ADR | 126153105 | SPONS ADR | 15,079 | $117,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461845 | CMN | 10,327 | $117,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 23,347 | $116,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 16,023 | $114,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 25,831 | $114,000 | thousands by filing date | |
| TRONOX LTD | Q9235V101 | SHS CL A | 20,873 | $113,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 30,284 | $112,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 11,896 | $109,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 10,477 | $108,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 19,485 | $106,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 22,104 | $105,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 12,577 | $105,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 105,000 | $105,000 | thousands by filing date | |
| POWER REIT | 73933H101 | COM | 24,535 | $104,000 | thousands by filing date | |
| INVENTURE FOODS INC | 461212102 | COM | 11,335 | $104,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 18,529 | $103,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 16,757 | $102,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 10,191 | $102,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 10,264 | $101,000 | thousands by filing date | |
| Coeur D'Alene | 192108ar9 | CONV BOND | 100,000 | $101,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 10,809 | $100,000 | thousands by filing date | |
| GUGGENHEIM CANADIAN ENERGY I | 18383Q606 | GUGG | 12,155 | $99,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 23,053 | $98,000 | thousands by filing date | |
| Virtus Seix Fltg Rt Incm Cl I | 76628t678 | US TAXABLE BOND FUNDS | 11,412 | $98,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 16,208 | $97,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 29,903 | $96,000 | thousands by filing date | |
| Crestwood Equity Partners | 226344109 | COM | 34,662 | $96,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 15,613 | $95,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 18,890 | $94,000 | thousands by filing date | |
| Check Point Software Technologies Ltd | 162825103 | COM | 13,278 | $94,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 99,621 | $94,000 | thousands by filing date | |
| NATURAL RESOURCE PARTNERS L | 63900P103 | COM UNIT L P | 36,351 | $94,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 11,187 | $94,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 12,500 | $92,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 19,307 | $92,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 12,517 | $91,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 24,724 | $90,000 | thousands by filing date | |
| FAIRMOUNT SANTROL HLDGS INC | 30555Q108 | COM | 34,100 | $90,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 10,939 | $89,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 40,550 | $87,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 12,662 | $87,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 12,543 | $86,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 10,982 | $86,000 | thousands by filing date | |
| MV OIL TR | 553859109 | TR UNITS | 13,450 | $84,000 | thousands by filing date | |
| NAM TAI PROPERTY INC | G63907102 | Com | 13,100 | $84,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 25,701 | $82,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 12,781 | $81,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 11,111 | $81,000 | thousands by filing date | |
| KINDRED BIOSCIENCES INC COM | 494577109 | Stock | 15,736 | $80,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 20,490 | $79,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 17,865 | $78,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 23,925 | $78,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 11,600 | $76,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 12,757 | $75,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 10,501 | $75,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 10,303 | $75,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 10,887 | $74,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 12,403 | $73,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 13,502 | $73,000 | thousands by filing date | |
| ARROWHEAD RESEARCH CORP | 042797209 | COM | 11,563 | $72,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 44,912 | $72,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 10,684 | $71,000 | thousands by filing date | |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 11,651 | $70,000 | thousands by filing date | |
| INOVIO PHARMACEUTICALS INC | 45773H201 | COM NEW | 11,325 | $70,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 10,514 | $69,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 11,279 | $69,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 160,420 | $68,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 47,751 | $65,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 10,541 | $64,000 | thousands by filing date | |
| HORSEHEAD HLDG CORP | 440694305 | COM | 23,125 | $64,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 39,198 | $64,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 12,120 | $62,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 27,342 | $62,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 11,275 | $61,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,200 | $61,000 | thousands by filing date | |
| ERIN ENERGY CORP COM | 295625107 | Stock | 14,275 | $60,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 18,209 | $59,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 19,866 | $55,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 45,000 | $55,000 | thousands by filing date | |
| CIPHER PHARMACEUTICALS INC | 17253X105 | COM | 12,000 | $55,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E861 | COPPER MNR ETF | 11,270 | $54,000 | thousands by filing date | |
| STAR BULK CARRIERS CORP SHS NEW | Y8162K121 | Stock | 25,165 | $54,000 | thousands by filing date | |
| CALIFORNIA RES CORP COM | 13057Q107 | COM | 14,801 | $53,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 21,367 | $51,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 17,525 | $51,000 | thousands by filing date | |
| SUNSHINE HEART INC | 86782u106 | COM | 21,400 | $51,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38143UTC5 | CNV | 30,000 | $51,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 85,764 | $50,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 26,813 | $49,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 57,133 | $48,000 | thousands by filing date | |
| ATLAS RESOURCE PARTNERS LP | 04941A101 | COM UNT LTD PR | 15,076 | $47,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 55,711 | $46,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 43,600 | $46,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 24,789 | $44,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 11,678 | $43,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 14,152 | $43,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 23,251 | $42,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 52,360 | $42,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 20,408 | $41,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 41,500 | $40,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 38,036 | $37,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 15,650 | $37,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,000 | $36,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 17,635 | $36,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 17,058 | $36,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 10,493 | $34,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 59,200 | $33,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 31,400 | $31,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 15,000 | $31,000 | thousands by filing date | |
| MFC INDUSTRIAL LTD | 55278T105 | COMMON | 10,906 | $31,000 | thousands by filing date | |
| OLD REP INTL CORP | 680223AH7 | NOTE 3.750% 3/1 | 26,000 | $30,000 | thousands by filing date | |
| WILLBROS GROUP INC | 969203108 | COMMON STOCK | 15,485 | $29,000 | thousands by filing date | |
| CTC MEDIA INC | 12642X106 | COM | 14,695 | $27,000 | thousands by filing date | |
| DIVERSIFIED RESTAURANT HOLDI | 25532M105 | COM | 10,000 | $27,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 80,884 | $26,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 22,000 | $26,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 14,502 | $25,000 | thousands by filing date | |
| TITAN MACHINERY INC | 88830RAB7 | NOTE | 32,000 | $25,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 47,551 | $24,000 | thousands by filing date | |
| Kelso Technologies Inc | 48826D201 | COM | 14,450 | $23,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 10,476 | $20,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $19,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 12,841 | $19,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $19,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 16,875 | $19,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 12,426 | $18,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 20,000 | $18,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 25,559 | $17,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 10,007 | $17,000 | thousands by filing date | |
| PACIFIC DRILLING SA LUXEMBOU | L7257P106 | REG SHS | 11,796 | $16,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $15,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 18,000 | $15,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 70,050 | $14,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 13,260 | $14,000 | thousands by filing date | |
| URANIUM RESOURCES INC | 916901606 | COM | 16,080 | $13,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 10,000 | $12,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 35,504 | $10,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 10,000 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 10,625 | $10,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $10,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 13,584 | $9,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 12,000 | $9,000 | thousands by filing date | |
| MAGELLAN PETE CORP COM NEW | 559091608 | Stock | 14,187 | $9,000 | thousands by filing date | |
| NORTH ATLANTIC DRILLING LTD | G6613P202 | COM | 10,482 | $9,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 21,793 | $8,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 15,221 | $7,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 30,250 | $7,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 40,000 | $7,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 15,566 | $5,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549AG9 | CORPORATE OBLIG | 32,000 | $4,000 | thousands by filing date | |
| GOODRICH PETROLEUM CORP | 382410AC2 | NOTE | 15,000 | $4,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 13,300 | $4,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 12,800 | $3,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 14,392 | $3,000 | thousands by filing date | |
| SANOFI | 80105N113 | COMMON STOCK-FO | 10,276 | $2,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 20,000 | $2,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 90,091 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-15-000008 | this filing | 2015-11-13 | acceptance time not in the bulk data set |