13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 1,741 holding rows worth $5,386,590,000.
- Accession
- 0001419186-16-000019
- Filer
- CIK 1419186
- Filed
- 2016-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 1,741 entries on the cover page, a total value of $5,386,590,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,386,590,000 with VALUE read as thousands by filing date, 13F file number 028-12861. 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 2,955 | $218,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 2,761 | $217,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 9,369 | $217,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 4,658 | $217,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 11,236 | $217,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 3,550 | $216,000 | thousands by filing date | |
| VEEVA SYS INC CL A COM | 922475108 | Stock | 5,228 | $216,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 5,641 | $216,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,237 | $215,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 9,550 | $215,000 | thousands by filing date | |
| SANCHEZ ENERGY CORP | 79970Y105 | COMMON STOCK | 24,300 | $215,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 5,879 | $214,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 8,850 | $213,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 2,297 | $213,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 5,606 | $213,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 16,570 | $212,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 13,166 | $212,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 3,112 | $212,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 2,241 | $211,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 43,818 | $211,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 4,995 | $209,000 | thousands by filing date | |
| CHEMED CORP NEW | 16359R103 | COM | 1,483 | $209,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 9,195 | $209,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 8,705 | $209,000 | thousands by filing date | |
| Direxion All Cap Insider Senti | 25459Y769 | ETF | 2,808 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733B100 | WTR ETF | 5,499 | $208,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 36,551 | $208,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 9,244 | $208,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 3,770 | $208,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 7,645 | $208,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 3,246 | $207,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B860 | ETF - EQUITY | 3,257 | $207,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 1,029 | $206,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 15,141 | $206,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 4,034 | $206,000 | thousands by filing date | |
| POWERSHARES GLOBALEXCHANGE TRADED FD TR | 73936T441 | ETF | 7,745 | $206,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 4,661 | $205,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 3,737 | $205,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 13,049 | $205,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 19,710 | $205,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 14,533 | $204,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 3,580 | $204,000 | thousands by filing date | |
| SUNOCO LP/SUNOCO FIN CORP | 86765K109 | COM UT REP LP | 7,037 | $204,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N865 | CMN | 5,289 | $204,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 7,469 | $204,000 | thousands by filing date | |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 12,092 | $204,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 10,907 | $203,000 | thousands by filing date | |
| FIDELITY NATIONAL FINANCIAL | 31620R303 | FNF GROUP COM | 5,504 | $203,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 17,704 | $203,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 15,356 | $202,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 8,628 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 1,388 | $201,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X459 | ST STR SP GLBDIV | 3,162 | $201,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 3,957 | $201,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 19,469 | $201,000 | thousands by filing date | |
| SANDY SPRING BANCORP INC | 800363103 | COMMON STOCK | 6,575 | $201,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 30,792 | $200,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 19,443 | $200,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 13,764 | $200,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,181 | $200,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 18,012 | $199,000 | thousands by filing date | |
| GREEN BANCORP INC | 39260X100 | COM | 18,236 | $199,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 11,150 | $198,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 16,115 | $198,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 44,632 | $197,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,630 | $197,000 | thousands by filing date | |
| QEP RESOURCES INC | 74733V100 | COM | 10,023 | $196,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 11,544 | $192,000 | thousands by filing date | |
| NOODLES & CO | 65540B105 | COM CL A | 40,164 | $191,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 16,323 | $191,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 24,754 | $189,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 11,122 | $188,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 17,992 | $188,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 57,636 | $188,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 29,170 | $186,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 13,009 | $186,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 12,665 | $184,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 31,136 | $184,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,713 | $183,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 10,691 | $183,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 250,803 | $181,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 18,540 | $180,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 13,076 | $180,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 37,514 | $180,000 | thousands by filing date | |
| GUGGENHEIM INTERNATIONAL MUL | 18383Q804 | GUG | 11,858 | $180,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 11,400 | $178,000 | thousands by filing date | |
| ARCTIC CAT INC | 039670104 | COMMON STOCK | 11,481 | $178,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 27,275 | $178,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 22,798 | $177,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 25,834 | $177,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 32,720 | $176,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 14,231 | $176,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 16,839 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,456 | $173,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 11,015 | $172,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 36,915 | $172,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 29,581 | $171,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 16,620 | $171,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 17,663 | $170,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 13,789 | $168,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 12,476 | $167,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 51,731 | $167,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 27,910 | $166,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 19,407 | $165,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 12,013 | $164,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 32,843 | $164,000 | thousands by filing date | |
| SELECT MED HLDGS CORP | 81619Q105 | COM | 12,098 | $163,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 14,095 | $163,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 35,784 | $162,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,553 | $162,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 11,067 | $162,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 10,446 | $157,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 23,644 | $157,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 27,570 | $155,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 20,105 | $155,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 45,182 | $155,000 | thousands by filing date | |
| ORCHID IS CAP INC | 68571X103 | COM | 14,890 | $155,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 12,329 | $155,000 | thousands by filing date | |
| LADDER CAP CORP CL A | 505743104 | REIT | 11,540 | $153,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 11,847 | $151,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 16,171 | $151,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 14,492 | $149,000 | thousands by filing date | |
| SEABRIDGE GOLD INC | 811916105 | COM *D* | 13,355 | $147,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 18,338 | $147,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 17,381 | $146,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,247 | $145,000 | thousands by filing date | |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 17,524 | $143,000 | thousands by filing date | |
| ELDORADO RESORTS INC | 28470R102 | COM | 10,000 | $141,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 14,000 | $141,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 16,902 | $139,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 22,134 | $139,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 13,831 | $139,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 24,460 | $138,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 19,850 | $137,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 18,174 | $136,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 12,662 | $135,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 21,050 | $135,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10,250 | $134,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 29,919 | $134,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 14,466 | $133,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 10,670 | $132,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 19,341 | $132,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 75,900 | $131,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,905 | $130,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 12,283 | $130,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 38,668 | $130,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 11,925 | $129,000 | thousands by filing date | |
| AH BELO CORP | 001282102 | COMMON STOCK | 17,300 | $127,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 23,799 | $126,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 15,896 | $126,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 11,596 | $126,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 10,732 | $125,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 29,003 | $125,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 10,674 | $124,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A100 | COM | 16,587 | $122,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 22,012 | $122,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 17,324 | $121,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 11,900 | $121,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 27,693 | $120,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 11,268 | $118,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 23,425 | $118,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 65,255 | $118,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 13,240 | $117,000 | thousands by filing date | |
| CONTANGO OIL & GAS CO COM NEW | 21075N204 | Stock | 11,200 | $114,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 28,611 | $112,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 11,164 | $112,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 21,100 | $112,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 14,454 | $109,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 10,602 | $107,000 | thousands by filing date | |
| HUDSON TECHNOLOGIES INC | 444144109 | COMMON STOCK | 16,035 | $107,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 14,163 | $105,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 15,999 | $102,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 11,600 | $95,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 19,010 | $93,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 10,743 | $93,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 14,639 | $92,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 15,852 | $89,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 12,434 | $88,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 10,295 | $86,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 18,932 | $85,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 19,524 | $83,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 17,505 | $83,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 35,203 | $81,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 88,260 | $80,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 15,225 | $78,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 10,033 | $74,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,197 | $72,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 11,622 | $72,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 11,061 | $70,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 12,250 | $70,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 26,573 | $69,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 22,800 | $59,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 15,100 | $58,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 18,900 | $57,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 85,119 | $53,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 25,000 | $53,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 12,000 | $53,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 50,000 | $52,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 20,453 | $51,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $50,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 11,658 | $49,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 12,355 | $48,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 18,000 | $46,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 50,000 | $45,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 26,000 | $44,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 30,125 | $42,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 54,715 | $41,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 12,465 | $40,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 11,357 | $40,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,295 | $40,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 11,956 | $34,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 113,900 | $32,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 19,210 | $31,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 20,380 | $30,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 10,452 | $30,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 11,735 | $28,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 34,190 | $27,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 25,000 | $25,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 17,251 | $24,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,025 | $23,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 30,800 | $23,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 23,760 | $22,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,900 | $22,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 19,342 | $21,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 20,130 | $19,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 12,000 | $19,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 20,000 | $19,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 16,200 | $18,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 28,000 | $17,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 11,278 | $16,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 10,325 | $14,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 10,000 | $14,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 10,000 | $10,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 10,000 | $9,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 10,112 | $8,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 11,404 | $7,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 12,622 | $7,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 34,000 | $7,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 15,500 | $5,000 | thousands by filing date | |
| PROVECTUS BIOPHARMACEUTICALS | 74373P108 | COMMON STOCK | 18,824 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-16-000019 | this filing | 2016-11-14 | acceptance time not in the bulk data set |