13F-HR filed by Raymond James Financial Services Advisors, Inc.
Raymond James Financial Services Advisors, Inc. filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-09, with 2,344 holding rows worth $11,913,437,000.
- Accession
- 0001462284-17-000002
- Filer
- CIK 1462284
- Filed
- 2017-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 2,367 entries on the cover page, a total value of $11,913,437,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $11,913,437,000 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 |
|---|---|---|---|---|---|---|
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 34,346 | $220,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 18,985 | $220,000 | thousands by filing date | |
| S & T BANCORP INC COM | 783859101 | Stock | 5,614 | $219,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,303 | $218,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 3,458 | $218,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 2,796 | $218,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 6,924 | $218,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 39,600 | $218,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 15,357 | $217,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 1,530 | $217,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 16,321 | $217,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 31,841 | $217,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 3,993 | $216,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 11,390 | $216,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 8,555 | $216,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 6,679 | $215,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 37,611 | $215,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 11,120 | $215,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X377 | FINL SECT PORT | 7,001 | $215,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 29,395 | $215,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 6,243 | $214,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 23,160 | $214,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 14,344 | $214,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 2,911 | $213,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 5,140 | $213,000 | thousands by filing date | |
| ALLY FINL INC COM | 02005N100 | Stock | 11,157 | $212,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 2,878 | $212,000 | thousands by filing date | |
| Delek Logistics Partners LP | 24664T103 | Com | 7,433 | $212,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 3,523 | $212,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 4,696 | $211,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 4,651 | $211,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 11,170 | $210,000 | thousands by filing date | |
| PACER FDS TR | 69374H709 | GLOBL CASH ETF | 7,829 | $210,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 8,729 | $210,000 | thousands by filing date | |
| CHARTER FINANCIAL CORP | 16122W108 | COM | 12,622 | $210,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 19,438 | $210,000 | thousands by filing date | |
| SYNOPSYS INC COM | 871607107 | Stock | 3,549 | $209,000 | thousands by filing date | |
| ALLIANZGI DIVERSIFIED INCOME | 01883J108 | COM | 11,118 | $209,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 8,292 | $209,000 | thousands by filing date | |
| ELME COMMUNITIES | 939653101 | SH BEN INT | 6,353 | $208,000 | thousands by filing date | |
| GENERAC HLDGS INC | 368736104 | COM | 5,097 | $208,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 13,633 | $208,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 10,523 | $208,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 6,027 | $207,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 4,246 | $207,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 2,050 | $207,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 3,932 | $207,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 2,797 | $207,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 10,998 | $207,000 | thousands by filing date | |
| WESTERN ASSET INVT GRADE OPP | 95790A101 | COM | 10,168 | $207,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 205,000 | $207,000 | thousands by filing date | principal |
| PAREXEL INTL CORP | 699462107 | COM | 3,127 | $206,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 4,298 | $206,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 7,970 | $205,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 1,862 | $205,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 7,254 | $205,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 1,815 | $204,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 17,002 | $204,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,031 | $203,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 30,560 | $203,000 | thousands by filing date | |
| GATX CORP COM | 361448103 | Stock | 3,288 | $202,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 5,178 | $202,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN MEDI | 73935X823 | COM | 7,694 | $202,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 6,814 | $201,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 13,982 | $201,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 14,164 | $200,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 32,618 | $199,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 42,646 | $199,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 22,269 | $199,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 15,925 | $198,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 10,275 | $197,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 42,337 | $196,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 36,463 | $196,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 21,775 | $195,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 12,636 | $194,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 30,000 | $194,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 25,383 | $194,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 14,400 | $192,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 13,035 | $191,000 | thousands by filing date | |
| DORCHESTER MINERALS L P | 25820R105 | COM UNIT | 10,865 | $191,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 23,680 | $190,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 15,514 | $189,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 13,440 | $189,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 26,996 | $189,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 40,557 | $188,000 | thousands by filing date | |
| CAPITAL SENIOR LIVING CORP | 140475104 | COM | 11,682 | $187,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 14,078 | $186,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 12,124 | $185,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 25,890 | $185,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 72,259 | $184,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 13,066 | $183,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 13,096 | $181,000 | thousands by filing date | |
| PIMCO GLOBAL STOCKPLUS INCOM | 722011103 | COM | 12,888 | $181,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 22,374 | $180,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 11,065 | $180,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 21,424 | $180,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 14,500 | $180,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 113,900 | $178,000 | thousands by filing date | call |
| THL CREDIT INC | 872438106 | COM | 17,729 | $177,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 20,366 | $177,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 18,721 | $177,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 14,614 | $177,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 11,583 | $176,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 15,110 | $176,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 11,505 | $173,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 11,263 | $172,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 31,327 | $172,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 12,133 | $171,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 20,545 | $171,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 42,500 | $170,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 11,554 | $169,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 18,366 | $168,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 12,434 | $168,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,040 | $168,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 11,125 | $166,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 12,400 | $163,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,631 | $163,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 11,441 | $162,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 12,590 | $162,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 12,964 | $162,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 13,975 | $159,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 27,131 | $159,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 50,049 | $158,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 17,305 | $155,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,533 | $155,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 12,640 | $154,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 13,781 | $154,000 | thousands by filing date | |
| WORKHORSE GROUP INC | 98138J206 | COM NEW | 21,680 | $153,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 22,114 | $151,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,110 | $149,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 22,332 | $149,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 12,459 | $147,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 43,827 | $146,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,099 | $145,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 30,838 | $143,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 28,500 | $143,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 37,209 | $142,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 18,530 | $141,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 12,103 | $141,000 | thousands by filing date | |
| GIGPEAK INC | 37518Q109 | COM | 55,935 | $141,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 27,809 | $140,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 19,811 | $140,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 19,702 | $139,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 12,800 | $139,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 16,510 | $139,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 10,354 | $138,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 13,750 | $135,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 21,379 | $135,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 26,200 | $134,000 | thousands by filing date | call |
| STMICROELECTRONICS N V NY REGISTRY | 861012102 | ADR | 11,694 | $133,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 17,271 | $132,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 26,622 | $131,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 61,400 | $129,000 | thousands by filing date | call |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 18,759 | $128,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 15,611 | $128,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 11,194 | $128,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 10,647 | $127,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 11,955 | $126,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 10,100 | $124,000 | thousands by filing date | put |
| BLACKBERRY LTD COM | 09228F103 | Stock | 18,055 | $124,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 12,975 | $123,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 15,681 | $121,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 32,390 | $119,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 12,179 | $118,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 25,748 | $117,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 16,327 | $117,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 22,473 | $117,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 10,576 | $117,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 12,324 | $115,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 15,000 | $114,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 22,670 | $113,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 11,590 | $113,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 13,860 | $113,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 18,806 | $113,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 23,046 | $111,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP INC COM | 42330P107 | Stock | 12,266 | $108,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,586 | $108,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 23,352 | $108,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 19,500 | $108,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 34,542 | $107,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 16,255 | $107,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 10,583 | $107,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 11,810 | $107,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,200 | $106,000 | thousands by filing date | call |
| THERAPEUTICSMD INC | 88338N107 | COM | 18,400 | $106,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 12,502 | $105,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 20,180 | $102,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 10,783 | $102,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 10,444 | $102,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 19,300 | $100,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 13,344 | $99,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 29,085 | $98,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 17,368 | $97,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 12,500 | $97,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 59,400 | $96,000 | thousands by filing date | put |
| UQM TECHNOLOGIES INC | 903213106 | COM | 224,266 | $96,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 14,988 | $94,000 | thousands by filing date | |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 12,687 | $93,000 | thousands by filing date | |
| NIMBLE STORAGE INC | 65440R101 | COM | 11,750 | $93,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 12,756 | $92,000 | thousands by filing date | |
| SECOND SIGHT MED PRODS INC | 81362J100 | COM | 46,600 | $92,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 43,556 | $90,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 23,300 | $88,000 | thousands by filing date | put |
| Bowater Inc | 09066L105 | COMMON STOCKS | 24,260 | $88,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 11,565 | $87,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,000 | $84,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 13,320 | $82,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 121,630 | $82,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 10,585 | $81,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 22,885 | $81,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 26,155 | $79,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 13,631 | $78,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 11,684 | $77,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 103,953 | $77,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 59,697 | $75,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 16,812 | $75,000 | thousands by filing date | |
| CELADON GROUP INC | 150838100 | COM | 10,125 | $72,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 17,500 | $70,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 10,195 | $67,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 11,990 | $65,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 16,789 | $65,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 55,090 | $63,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 16,776 | $62,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 16,218 | $60,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 46,000 | $59,000 | thousands by filing date | call |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 46,430 | $58,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 10,958 | $58,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 22,300 | $57,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 42,000 | $57,000 | thousands by filing date | principal |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 48,686 | $56,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 11,316 | $55,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 10,323 | $55,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 38,379 | $54,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,011 | $54,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 22,000 | $52,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 19,500 | $51,000 | thousands by filing date | call |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 19,800 | $51,000 | thousands by filing date | call |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 17,417 | $51,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 24,022 | $51,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 26,100 | $50,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 41,400 | $49,000 | thousands by filing date | call |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 11,000 | $49,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 15,372 | $44,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 10,595 | $44,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 20,300 | $44,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 10,300 | $43,000 | thousands by filing date | call |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 13,000 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,526 | $41,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 34,293 | $41,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 23,700 | $40,000 | thousands by filing date | call |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 18,812 | $40,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 29,100 | $39,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 26,450 | $38,000 | thousands by filing date | |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 21,819 | $38,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 10,551 | $37,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 14,160 | $37,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 10,400 | $37,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 28,800 | $35,000 | thousands by filing date | call |
| APPROACH RESOURCES INC | 03834A103 | COM | 10,300 | $35,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 28,600 | $33,000 | thousands by filing date | call |
| CURIS INC | 231269101 | COM | 10,610 | $33,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 21,131 | $33,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 10,673 | $32,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 37,200 | $32,000 | thousands by filing date | put |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 11,467 | $32,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020YAG5 | DEBT 1.500%11/0 | 30,000 | $29,000 | thousands by filing date | principal |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 16,100 | $28,000 | thousands by filing date | call |
| MANNKIND CORP | 56400P201 | COM | 44,568 | $28,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,112 | $28,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 31,000 | $28,000 | thousands by filing date | put |
| Micron Technology,Inc. | 595112103 | COM | 12,500 | $27,000 | thousands by filing date | call |
| Procter & Gamble Co | 742718109 | COM | 13,600 | $27,000 | thousands by filing date | call |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 60,700 | $27,000 | thousands by filing date | call |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 11,875 | $27,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 17,040 | $26,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 17,000 | $26,000 | thousands by filing date | principal |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 22,220 | $25,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 24,750 | $24,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 25,000 | $24,000 | thousands by filing date | principal |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 20,304 | $23,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 13,000 | $21,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 12,200 | $21,000 | thousands by filing date | put |
| BON-TON STORES INC | 09776J101 | COM | 14,500 | $21,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 44,290 | $21,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 23,075 | $21,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 30,000 | $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 |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 17,780 | $20,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 13,000 | $20,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 11,500 | $20,000 | thousands by filing date | |
| SOUTHCROSS ENERGY PARTNERS L | 84130C100 | COM UNIT LTDPT | 13,800 | $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 |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 18,000 | $19,000 | thousands by filing date | principal |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 17,500 | $18,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 18,000 | $18,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 19,000 | $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 |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 18,000 | $18,000 | thousands by filing date | principal |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 30,000 | $17,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 10,675 | $17,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 17,000 | $17,000 | thousands by filing date | principal |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 17,000 | $17,000 | thousands by filing date | principal |
| TRANSENTERIX INC | 89366M201 | COM NEW | 13,423 | $17,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 17,000 | $17,000 | thousands by filing date | principal |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 32,600 | $16,000 | thousands by filing date | call |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,500 | $16,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 27,000 | $16,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 16,000 | $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 |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 10,200 | $16,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 10,777 | $15,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 17,200 | $15,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 14,000 | $15,000 | thousands by filing date | principal |
| TWITTER INC | 90184L102 | COM | 16,500 | $14,000 | thousands by filing date | call |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 115,679 | $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 |
| SPARK NETWORKS INC | 84651P100 | COM | 16,500 | $14,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V307 | COM NEW | 10,700 | $14,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 19,000 | $13,000 | thousands by filing date | |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 14,000 | $13,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 14,000 | $13,000 | thousands by filing date | principal |
| TESARO INC | 881569107 | COM | 10,900 | $12,000 | thousands by filing date | put |
| NANOVIRICIDES INC | 630087203 | COM NEW | 11,127 | $12,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 13,000 | $12,000 | thousands by filing date | principal |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 10,016 | $12,000 | thousands by filing date | |
| AERCAP HOLDINGS NV SHS | N00985106 | Stock | 15,800 | $11,000 | thousands by filing date | call |
| 22ND CENTY GROUP INC | 90137F103 | COM | 10,200 | $11,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 36,400 | $11,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 30,272 | $11,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 11,300 | $10,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 20,800 | $7,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,805 | $7,000 | thousands by filing date | |
| RUBICON TECHNOLOGY INC | 78112T107 | COM | 11,701 | $7,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 15,400 | $6,000 | thousands by filing date | put |
| TEARLAB CORP | 878193101 | COM | 10,120 | $5,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 20,075 | $5,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 20,000 | $3,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 43,000 | $3,000 | thousands by filing date | call |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 60,000 | $3,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 15,000 | $2,000 | thousands by filing date | put |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 47,068 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001462284-17-000002 | this filing | 2017-02-09 | acceptance time not in the bulk data set |