13F-HR filed by Raymond James Financial Services Advisors, Inc.
Raymond James Financial Services Advisors, Inc. filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-14, with 2,307 holding rows worth $11,233,574,000.
- Accession
- 0001462284-16-000019
- Filer
- CIK 1462284
- 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, 2,331 entries on the cover page, a total value of $11,233,574,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,233,574,000 with VALUE read as thousands by filing date, 13F file number 028-13494. 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 |
|---|---|---|---|---|---|---|
| RINGCENTRAL INC | 76680R206 | CL A | 9,107 | $215,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 43,040 | $215,000 | thousands by filing date | |
| LIBERTY GLOBAL PLC | G5480U153 | COM | 7,627 | $214,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 42,959 | $213,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 1,116 | $213,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 8,253 | $213,000 | thousands by filing date | |
| FIRST COMMUNITY FINANCIAL PART | 31985Q106 | com | 22,394 | $213,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 2,970 | $212,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 23,040 | $212,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 12,026 | $212,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 8,772 | $212,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 26,479 | $212,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 35,554 | $212,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 1,356 | $211,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 10,880 | $211,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 13,066 | $210,000 | thousands by filing date | |
| WATSCO INC COM | 942622200 | Stock | 1,484 | $209,000 | thousands by filing date | |
| MGE ENERGY INC | 55277P104 | COM | 3,697 | $209,000 | thousands by filing date | |
| TIER REIT COM | 88650V208 | COM NEW | 13,557 | $209,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNERS SHS | G25839104 | Stock | 38,600 | $208,000 | thousands by filing date | call |
| LANDSTAR SYS INC COM | 515098101 | Stock | 3,052 | $208,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 2,803 | $208,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 14,042 | $208,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 39,600 | $208,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 205,000 | $208,000 | thousands by filing date | principal |
| DIREXION SHS ETF TR | 25490K570 | DAILY GOLD MINER | 11,000 | $208,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 7,227 | $207,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 11,981 | $206,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 4,054 | $204,000 | thousands by filing date | |
| ORBITAL ATK INC | 68557N103 | COM | 2,679 | $204,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 9,125 | $203,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,645 | $202,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 3,778 | $202,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,220 | $202,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 8,655 | $202,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 14,751 | $202,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 28,010 | $201,000 | thousands by filing date | |
| COHEN & STEERS SELECT PFD & | 19248Y107 | COM | 7,477 | $201,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 12,381 | $201,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 21,648 | $200,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 23,893 | $200,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 33,525 | $199,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 14,575 | $198,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 28,470 | $197,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 10,997 | $196,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 12,920 | $196,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 15,915 | $196,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 30,545 | $196,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 16,987 | $196,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,642 | $195,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 37,438 | $193,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 13,925 | $193,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 10,824 | $191,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 210,963 | $191,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 10,075 | $185,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 12,590 | $185,000 | thousands by filing date | |
| GOLDMAN SACHS MLP ENERGY REN | 38148G107 | COM | 25,300 | $184,000 | thousands by filing date | |
| POWERSHARES TR II S&P SMALLCAP | 73937b704 | INDX FD | 10,058 | $184,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 12,035 | $183,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 21,675 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 11,387 | $182,000 | thousands by filing date | |
| First Horizon Corporation | 320517105 | Common Capital Stock, par value $0.625 per share | 11,917 | $181,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 23,215 | $181,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 15,441 | $181,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 11,392 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 12,712 | $180,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,975 | $179,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 20,534 | $179,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 12,465 | $179,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 11,522 | $178,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 18,204 | $178,000 | thousands by filing date | |
| EXONE CO | 302104104 | COM | 11,659 | $177,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,110 | $173,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 11,715 | $173,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 130,100 | $172,000 | thousands by filing date | call |
| INVESCO SR INCOME TR | 46131H107 | COM | 39,696 | $172,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158201 | COM NEW | 16,382 | $172,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 13,669 | $169,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 14,175 | $169,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 11,556 | $168,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 16,765 | $167,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 12,164 | $167,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 46,600 | $164,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 13,781 | $162,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 30,617 | $162,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 12,604 | $162,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 12,133 | $161,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 10,225 | $159,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 10,289 | $159,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 23,945 | $157,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 21,680 | $157,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 49,722 | $156,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 16,419 | $156,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 13,070 | $156,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 15,982 | $155,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 74,497 | $155,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 12,260 | $153,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 18,925 | $152,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 35,563 | $150,000 | thousands by filing date | |
| UNITED GUARDIAN INC | 910571108 | COM | 10,134 | $149,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 18,578 | $148,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 16,085 | $148,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 13,600 | $146,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 21,067 | $146,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 11,400 | $145,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 18,155 | $145,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 25,748 | $144,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 97,700 | $144,000 | thousands by filing date | call |
| APOLLO INVT CORP | 03761U106 | COM | 24,900 | $144,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 24,460 | $142,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 21,326 | $141,000 | thousands by filing date | |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 50,632 | $139,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 224,266 | $138,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 23,042 | $137,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 15,556 | $136,000 | thousands by filing date | |
| KITE PHARMA INC | 49803L109 | COM | 17,100 | $135,000 | thousands by filing date | call |
| BIOAMBER INC | 09072Q106 | COM | 31,327 | $133,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 11,018 | $131,000 | thousands by filing date | |
| WISDOMTREE INC | 97717P104 | COM | 12,671 | $130,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 13,615 | $129,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 11,955 | $128,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 19,825 | $126,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 10,610 | $125,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 14,150 | $125,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 16,121 | $124,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 11,467 | $123,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 15,844 | $122,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 13,291 | $122,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 12,050 | $120,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 12,756 | $119,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 13,814 | $118,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 11,583 | $117,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 15,000 | $116,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,003 | $116,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 13,860 | $115,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 10,362 | $115,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 28,102 | $114,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 14,071 | $114,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 15,005 | $112,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 16,356 | $111,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 10,583 | $110,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 20,600 | $109,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 19,838 | $109,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 25,250 | $108,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 19,553 | $106,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 29,900 | $105,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 18,782 | $103,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 35,400 | $103,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 23,352 | $103,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 43,372 | $103,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 31,758 | $103,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 43,750 | $103,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 11,880 | $101,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 10,346 | $99,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 11,153 | $99,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 29,085 | $99,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 43,556 | $98,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 11,842 | $96,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 14,200 | $95,000 | thousands by filing date | call |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 19,300 | $95,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 11,797 | $94,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 12,594 | $94,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 15,255 | $92,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 18,950 | $92,000 | thousands by filing date | |
| ATWOOD OCEANICS INC | 050095108 | COM | 10,396 | $90,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 112,953 | $90,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 11,608 | $89,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 16,600 | $86,000 | thousands by filing date | put |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 46,430 | $85,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 14,389 | $84,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,200 | $83,000 | thousands by filing date | call |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 12,001 | $81,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 13,269 | $79,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 26,155 | $79,000 | thousands by filing date | |
| BANCO BILBAO VIZCAYA ARGENTARI SPONSORED ADR | 05946K101 | ADR | 13,150 | $78,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 16,437 | $78,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 10,175 | $77,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 44,500 | $76,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 15,064 | $75,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 12,500 | $74,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 14,973 | $73,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 15,270 | $71,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 44,879 | $71,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 16,850 | $71,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 10,725 | $68,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 11,951 | $67,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 11,990 | $63,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 69,800 | $62,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 16,059 | $62,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 12,000 | $61,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 12,729 | $61,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 26,161 | $61,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 55,090 | $61,000 | thousands by filing date | |
| XENITH BANKSHARES INC NEW | 984102103 | COM | 26,575 | $61,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 13,474 | $59,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 22,000 | $58,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 42,000 | $58,000 | thousands by filing date | principal |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 12,883 | $57,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 11,400 | $57,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 16,776 | $55,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 10,323 | $55,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 14,000 | $55,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 37,600 | $55,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 10,589 | $53,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 29,100 | $52,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 11,600 | $51,000 | thousands by filing date | call |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 12,910 | $49,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 10,225 | $48,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 26,450 | $46,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 10,585 | $46,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 10,273 | $44,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 15,429 | $44,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 17,490 | $44,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 10,500 | $43,000 | thousands by filing date | call |
| IAMGOLD CORP COM | 450913108 | Stock | 10,626 | $43,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 26,400 | $42,000 | thousands by filing date | call |
| MITCHAM INDS INC COM | 606501104 | COM | 12,333 | $41,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 24,966 | $40,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 11,667 | $39,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 13,200 | $39,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 45,000 | $38,000 | thousands by filing date | call |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 11,875 | $37,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 10,300 | $35,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 15,160 | $33,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 22,700 | $32,000 | thousands by filing date | put |
| MANNKIND CORP | 56400P201 | COM | 52,288 | $32,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 26,500 | $32,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 63,300 | $31,000 | thousands by filing date | call |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 10,073 | $29,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 85,800 | $29,000 | thousands by filing date | call |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 26,000 | $29,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 73,400 | $29,000 | thousands by filing date | call |
| CURIS INC | 231269101 | COM | 10,610 | $28,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 13,000 | $28,000 | thousands by filing date | |
| DRYSHIPS INC COM NEW | Y2109Q200 | Stock | 62,221 | $28,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 20,221 | $27,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 20,300 | $27,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 22,220 | $27,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 14,500 | $25,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 42,090 | $25,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 21,000 | $25,000 | thousands by filing date | call |
| CASCADIAN THERAPEUTICS INC COM | 14740B101 | Stock | 15,250 | $25,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 18,500 | $23,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 17,200 | $23,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 30,000 | $22,000 | thousands by filing date | |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 11,516 | $22,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 17,000 | $22,000 | thousands by filing date | principal |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 21,100 | $21,000 | thousands by filing date | call |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 29,300 | $21,000 | thousands by filing date | call |
| TRANSENTERIX INC | 89366M201 | COM NEW | 12,423 | $21,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 22,000 | $21,000 | thousands by filing date | principal |
| FIREEYE INC | 31816Q101 | COM | 18,900 | $20,000 | thousands by filing date | call |
| WHEELER REIT | 963025101 | COM | 11,500 | $20,000 | thousands by filing date | |
| BASIC ENERGY SERVICES INC | 06985P100 | COMMON STOCK | 22,476 | $19,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 15,540 | $19,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 17,000 | $19,000 | thousands by filing date | principal |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 17,500 | $19,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 18,000 | $19,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 18,000 | $19,000 | thousands by filing date | principal |
| HP INC COM | 40434L105 | Stock | 17,000 | $18,000 | thousands by filing date | call |
| QEP RESOURCES INC | 74733V100 | COM | 12,500 | $18,000 | thousands by filing date | call |
| CYTRX CORP | 232828509 | COM PAR $.001 | 30,272 | $18,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 18,000 | $18,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAA8 | NOTE 5.250pcnt12/0 | 16,000 | $18,000 | thousands by filing date | principal |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,500 | $17,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 27,000 | $17,000 | thousands by filing date | principal |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,112 | $17,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 17,000 | $17,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 19,000 | $17,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 17,000 | $16,000 | thousands by filing date | principal |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 36,400 | $16,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 16,000 | $16,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 17,000 | $16,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 16,000 | $16,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 17,000 | $16,000 | thousands by filing date | principal |
| BLACKROCK CAPITAL INVESTMENT | 092533AB4 | NOTE 5.500prct 2/1 | 16,000 | $16,000 | thousands by filing date | principal |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 16,000 | $16,000 | thousands by filing date | principal |
| FORD MTR CO COM | 345370860 | Stock | 15,700 | $15,000 | thousands by filing date | put |
| ZION OIL & GAS INC | 989696109 | COM | 10,477 | $15,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 14,000 | $15,000 | thousands by filing date | principal |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 14,500 | $14,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 14,000 | $14,000 | thousands by filing date | principal |
| XOMA CORP DEL | 98419J107 | COM | 30,692 | $14,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 14,000 | $14,000 | thousands by filing date | principal |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 14,000 | $13,000 | thousands by filing date | principal |
| INTREPID POTASH INC | 46121Y102 | COM | 10,250 | $12,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 13,000 | $11,000 | thousands by filing date | principal |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 29,600 | $9,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,805 | $9,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 46,400 | $8,000 | thousands by filing date | call |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 29,200 | $8,000 | thousands by filing date | call |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 12,000 | $8,000 | thousands by filing date | call |
| ISHARES | 464286848 | EXCHANGE TRADED | 152,200 | $8,000 | thousands by filing date | call |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 13,500 | $7,000 | thousands by filing date | put |
| TASEKO MINES LTD COM | 876511106 | Stock | 13,800 | $7,000 | thousands by filing date | |
| TEARLAB CORP | 878193101 | COM | 10,120 | $7,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 10,200 | $7,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 51,900 | $5,000 | thousands by filing date | call |
| CUMULUS MEDIA INC | 231082108 | CL A | 15,000 | $5,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 12,700 | $4,000 | thousands by filing date | call |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 72,200 | $4,000 | thousands by filing date | call |
| iShares Russell 2000 ETF | 464287655 | SHS | 14,100 | $3,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 14,600 | $3,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 15,500 | $1,000 | thousands by filing date | put |
| NIKE,Inc. Class B | 654106103 | COM | 23,300 | $1,000 | thousands by filing date | call |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 10,365 | $1,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 47,840 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001462284-16-000019 | this filing | 2016-11-14 | acceptance time not in the bulk data set |