13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-15, with 2,700 holding rows worth $14,684,479,000.
- Accession
- 0001403438-17-000002
- Filer
- CIK 1403438
- Filed
- 2017-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2017
A holdings report, 2,700 entries on the cover page, a total value of $14,684,479,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $14,684,479,000 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 |
|---|---|---|---|---|---|---|
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 17,451 | $195,000 | thousands by filing date | |
| BARINGS CORPORATE INVS | 06759X107 | COM | 12,651 | $194,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 20,147 | $193,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 11,861 | $193,000 | thousands by filing date | |
| VOYA INTL HIGH DIVID EQTY IN | 92912Y109 | COM | 27,851 | $192,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 13,190 | $191,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 10,828 | $189,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 19,298 | $188,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 14,387 | $187,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 13,114 | $186,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 12,190 | $184,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 44,722 | $184,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 20,015 | $184,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 11,864 | $182,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 13,397 | $182,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 10,228 | $182,000 | thousands by filing date | |
| EATON VANCE OHIO MUN BD FD | 27828L106 | COM | 14,179 | $182,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 15,395 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,336 | $178,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 10,410 | $178,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 17,846 | $177,000 | thousands by filing date | |
| GLOBAL X FTSE GREECE 20 ETF | 37950E366 | COMMON | 22,111 | $177,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 15,275 | $176,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,074 | $175,000 | thousands by filing date | |
| PENNSYLVANIA RL ESTATE INVT | 709102107 | SH BEN INT | 11,611 | $174,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 14,466 | $173,000 | thousands by filing date | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,607 | $170,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 15,958 | $169,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 24,540 | $169,000 | thousands by filing date | |
| FUTUREFUEL CORP | 36116M106 | COMMON STOCK | 11,869 | $167,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 49,098 | $166,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 30,025 | $166,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 12,480 | $165,000 | thousands by filing date | |
| BLACKROCK FLA MUN 2020 TERM | 09250M109 | COM SHS | 10,885 | $164,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 11,132 | $163,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 16,033 | $163,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME OPPORT | 25158Y102 | COM | 11,042 | $162,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 13,349 | $160,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 12,801 | $160,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 91,000 | $160,000 | thousands by filing date | |
| ARROW INVTS TR | 042765792 | DWA TACTICAL MAC | 14,975 | $159,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 37,592 | $158,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 30,810 | $157,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 10,018 | $156,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 19,432 | $156,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 48,975 | $156,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 92,320 | $155,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 14,737 | $154,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 26,591 | $153,000 | thousands by filing date | |
| AMERICAN CAP SR FLOATING LTD | 02504D108 | COM | 11,026 | $152,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 15,710 | $150,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 98,035 | $150,000 | thousands by filing date | |
| CELESTICA INC | 15101Q108 | COMMON STOCK-FO | 10,394 | $149,000 | thousands by filing date | |
| TRAVELCENTERS OF AMERICA LLC | 894174101 | COM | 24,630 | $149,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 10,548 | $147,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 13,250 | $147,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 11,821 | $144,000 | thousands by filing date | |
| INVITAE CORP | 46185L103 | COM | 12,400 | $143,000 | thousands by filing date | |
| BLACKROCK ENHANCED GOVT FD (EGF) | 09255K108 | COM | 10,759 | $143,000 | thousands by filing date | |
| ISHARES INC | 464286327 | MSCI GLB SLV&MTL | 12,124 | $142,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 27,274 | $142,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 25,552 | $140,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 48,694 | $140,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 19,865 | $139,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 22,578 | $139,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 11,017 | $138,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 29,165 | $138,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 31,512 | $138,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 37,158 | $137,000 | thousands by filing date | |
| EVERPURE INC CL A | 74624M102 | Stock | 13,340 | $136,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 29,859 | $136,000 | thousands by filing date | |
| ADVANCED SEMICONDUCTOR ENGR | 00756M404 | SPONSORED ADR | 20,767 | $135,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B806 | INDIA INFRSR ETF | 10,267 | $135,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 13,604 | $134,000 | thousands by filing date | |
| GRUPO FINANCIERO SANTANDER | 40053C105 | COMMON STOCK-FO | 14,858 | $134,000 | thousands by filing date | |
| PROGENICS PHARMACEUTICALS IN | 743187106 | COM | 14,693 | $133,000 | thousands by filing date | |
| EATON VANCE NY MUNI INCOME T | 27826W104 | SH BEN INT | 10,107 | $130,000 | thousands by filing date | |
| ARI NETWORK SERVICES | 001930205 | COMM | 24,792 | $130,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 11,507 | $128,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 50,000 | $128,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 10,215 | $127,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 277,650 | $127,000 | thousands by filing date | |
| WIPRO LTD SPON ADR 1 SH | 97651M109 | ADR | 12,337 | $126,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 47,077 | $126,000 | thousands by filing date | |
| ICONIX BRAND GROUP INC | 451055107 | COM | 17,210 | $125,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 14,852 | $124,000 | thousands by filing date | |
| VOYA EMERGING MKTS HIGH DIVI | 92912P108 | COM | 14,727 | $124,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 13,263 | $124,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 17,990 | $123,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 11,802 | $121,000 | thousands by filing date | |
| POWERSHARES GLOBAL | 73936T615 | GBL CLEAN ENER | 10,893 | $121,000 | thousands by filing date | |
| AXOGEN INC | 05463X106 | COM | 11,696 | $120,000 | thousands by filing date | |
| ALPHATEC HLDGS INC | 02081G201 | COM NEW | 50,400 | $119,000 | thousands by filing date | |
| Anglogold Ashanti Plc | 035128206 | Common | 10,332 | $118,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,270 | $117,000 | thousands by filing date | |
| CBL & ASSOCIATES PROPERTIES IN | 124830100 | COM | 12,132 | $115,000 | thousands by filing date | |
| Deutsche Global High Income | 25158V108 | 0 | 13,480 | $115,000 | thousands by filing date | |
| HIMAX TECHNOLOGIES INC SPONSORED ADR | 43289P106 | ADR | 12,400 | $114,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 25,745 | $114,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 27,525 | $114,000 | thousands by filing date | |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 13,498 | $112,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 12,120 | $111,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 10,681 | $109,000 | thousands by filing date | |
| TEUCRIUM COMMODITY TR | 88166A508 | WHEAT FD | 15,611 | $108,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 30,146 | $106,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 26,895 | $106,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 10,250 | $104,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 42,078 | $104,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 11,732 | $102,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 16,452 | $102,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 46,950 | $102,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 11,740 | $101,000 | thousands by filing date | |
| NEXEO SOLUTIONS INC | 65342H102 | COM SHS | 11,375 | $100,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 10,176 | $99,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 80,429 | $98,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 13,198 | $97,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 10,838 | $96,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,791 | $95,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 30,390 | $95,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 14,166 | $94,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 11,784 | $92,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 23,055 | $92,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 22,648 | $91,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 18,052 | $90,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,624 | $90,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,062 | $90,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 12,743 | $90,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 10,199 | $88,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 26,878 | $86,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 13,143 | $83,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,510 | $82,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 23,719 | $82,000 | thousands by filing date | |
| ABRDN JAPAN EQUITY FUND INC | 00306J109 | COM | 10,243 | $81,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 13,288 | $77,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 21,754 | $72,000 | thousands by filing date | |
| ACCURAY INC DEL | 004397105 | COM | 14,850 | $71,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 11,664 | $70,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 10,669 | $68,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 15,754 | $66,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 21,404 | $66,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 24,877 | $66,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 45,000 | $66,000 | thousands by filing date | principal |
| QUICKLOGIC CORP | 74837P108 | COM | 37,952 | $65,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 10,050 | $63,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 24,134 | $63,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 19,210 | $62,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 12,507 | $61,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 10,000 | $61,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 22,525 | $57,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 10,209 | $52,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 14,772 | $50,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 13,975 | $48,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 13,855 | $48,000 | thousands by filing date | |
| Concord Med Svcs Hldgs Ltd | 206277105 | Sponsored ADR | 10,000 | $46,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 18,958 | $44,000 | thousands by filing date | |
| DEUTSCHE BK AG | D1T769565 | RIGHT 04/06/2017 | 21,127 | $44,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 18,675 | $41,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 58,000 | $40,000 | thousands by filing date | principal |
| WABASH NATL CORP | 929566AH0 | CNV | 22,000 | $39,000 | thousands by filing date | principal |
| DENBURY RES INC | 247916208 | COM NEW | 14,580 | $37,000 | thousands by filing date | |
| EKSO BIONICS HLDGS INC | 282644202 | COM NEW | 10,605 | $36,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 17,446 | $36,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 29,805 | $35,000 | thousands by filing date | |
| CAFEPRESS INC | 12769A103 | COM | 12,000 | $35,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 12,334 | $33,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 30,757 | $31,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 10,817 | $29,000 | thousands by filing date | |
| Real Industry Inc | 75601w104 | CS | 10,625 | $29,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 14,257 | $27,000 | thousands by filing date | |
| SOPHIRIS BIO INC F | 83578Q209 | FOREIGN CANADIAN | 10,000 | $27,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 15,000 | $27,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 33,860 | $26,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $26,000 | thousands by filing date | principal |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 12,733 | $23,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 14,157 | $23,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 20,000 | $23,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314101 | COM | 30,000 | $23,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 15,630 | $22,000 | thousands by filing date | |
| REWALK ROBOTICS LTD | M8216Q101 | SHS | 10,000 | $21,000 | thousands by filing date | |
| BIOPHARMX CORP | 09072X101 | COM | 40,000 | $20,000 | thousands by filing date | |
| AEVI GENOMIC MEDICINE INC | 00835P105 | COM | 11,696 | $20,000 | thousands by filing date | |
| PLATINUM GROUP METALS LTD | 72765Q601 | COM | 11,000 | $19,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $18,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326102 | COM | 10,000 | $18,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 11,700 | $17,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122AN8 | DBCV | 12,000 | $17,000 | thousands by filing date | |
| Alliqua BioMedical Inc | 019621200 | COM NEW | 28,000 | $14,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 10,000 | $10,000 | thousands by filing date | |
| BLACKROCK TCP CAPITAL CORP | 87238QAB9 | COM | 10,000 | $10,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 10,000 | $10,000 | thousands by filing date | principal |
| SINA CORP | 82922RAD5 | NOTE 1.000%12/0 | 10,000 | $10,000 | thousands by filing date | principal |
| DENISON MINES CORP | 248356107 | COM | 14,304 | $9,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 14,000 | $9,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 10,200 | $8,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 10,744 | $7,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 18,082 | $6,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 13,500 | $6,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 27,564 | $6,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 86,105 | $1,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 33,313 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-17-000002 | this filing | 2017-05-15 | acceptance time not in the bulk data set |