13F-HR filed by Raymond James Financial Services Advisors, Inc.
Raymond James Financial Services Advisors, Inc. filed this 13F-HR for the quarter ended 2017-03-31, filed 2017-05-09, with 2,425 holding rows worth $13,124,701,000.
- Accession
- 0001462284-17-000004
- Filer
- CIK 1462284
- Filed
- 2017-05-09
- 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, 2,448 entries on the cover page, a total value of $13,124,701,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $13,124,701,000 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 |
|---|---|---|---|---|---|---|
| PROSPERITY BANCSHARES INC | 743606105 | COM | 3,636 | $253,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 9,992 | $253,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,371 | $252,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,283 | $252,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVT F | 09254R104 | COM | 16,454 | $251,000 | thousands by filing date | |
| TECHNIPFMC PLC COM | G87110105 | Stock | 7,682 | $250,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 16,572 | $250,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 9,333 | $248,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 18,298 | $248,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 18,597 | $248,000 | thousands by filing date | |
| Lincoln National Corporat | 524901105 | COM | 6,809 | $246,000 | thousands by filing date | |
| RLI CORP COM | 749607107 | Stock | 4,085 | $245,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 7,820 | $245,000 | thousands by filing date | |
| ENERNOC INC | 292764107 | COMMON STOCK | 40,792 | $245,000 | thousands by filing date | |
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 3,125 | $245,000 | thousands by filing date | |
| Guggenheim Exch Trd Fd | 18383M506 | ZACKS YLD HOG | 11,856 | $245,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 6,582 | $244,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 48,897 | $244,000 | thousands by filing date | |
| JOHN HANCOCK EXCHANGE TRADED | 47804J107 | MLTFCTR LRG CAP | 7,916 | $244,000 | thousands by filing date | |
| XYLEM INC COM | 98419M100 | Stock | 4,838 | $243,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 18,838 | $243,000 | thousands by filing date | |
| LOGMEIN INC | 54142L109 | COMMON STOCK | 2,492 | $243,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 2,201 | $242,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 19,900 | $242,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 25,047 | $242,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 18,607 | $242,000 | thousands by filing date | |
| ISLE OF CAPRI CASINOS | 464592104 | COMMON STOCK | 9,125 | $241,000 | thousands by filing date | |
| CORECIVIC INC | 21871N101 | COM | 7,643 | $240,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 10,000 | $240,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 10,798 | $240,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 15,865 | $239,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 34,389 | $239,000 | thousands by filing date | |
| LIGHT & WONDER INC COM | 80874P109 | Stock | 10,083 | $238,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 2,045 | $238,000 | thousands by filing date | |
| CSRA INC | 12650T104 | COM | 8,135 | $238,000 | thousands by filing date | |
| POWERSHARES ETF TRUST HLTHCR S | 73935X351 | COM | 4,434 | $238,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 3,247 | $237,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 26,701 | $237,000 | thousands by filing date | |
| SONIC CORP | 835451105 | COM | 9,338 | $237,000 | thousands by filing date | |
| BERKLEY W R CORP COM | 084423102 | Stock | 3,348 | $236,000 | thousands by filing date | |
| ISHARES TR | 46432FAK3 | 2020 INVTGR BD | 9,588 | $236,000 | thousands by filing date | |
| RAPID7 INC COM | 753422104 | Stock | 15,620 | $234,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 12,355 | $234,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359309 | COM | 12,675 | $234,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 41,085 | $234,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 65,584 | $234,000 | thousands by filing date | |
| BLACKROCK NY MUNI INC QLTY T | 09249U105 | COM | 17,881 | $234,000 | thousands by filing date | |
| ALLEGION PLC | G0176J109 | ORD SHS | 3,059 | $232,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 13,317 | $232,000 | thousands by filing date | |
| INTERNAP NETWORK SVCS CORP | 45885A300 | COM PAR $.001 | 62,310 | $232,000 | thousands by filing date | |
| BOSTON BEER INC CL A | 100557107 | Stock | 1,589 | $230,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 14,992 | $230,000 | thousands by filing date | |
| GLOBAL BLOOD THERAPEUTICS USD | 37890U108 | COM | 6,250 | $230,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 5,818 | $230,000 | thousands by filing date | |
| POWERSHARES ACTIVE MNG ETF TUS | 73935B508 | COM | 2,990 | $230,000 | thousands by filing date | |
| PARK STERLING CORP | 70086Y105 | COM | 18,655 | $230,000 | thousands by filing date | |
| APC 7.5 PFD | 032511404 | Preferred Stock | 5,290 | $230,000 | thousands by filing date | |
| SURGERY PARTNERS INC | 86881A100 | COM | 11,753 | $229,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 3,553 | $229,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 39,709 | $229,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 5,303 | $229,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 30,500 | $229,000 | thousands by filing date | |
| RINGCENTRAL INC | 76680R206 | CL A | 8,109 | $229,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 5,565 | $229,000 | thousands by filing date | |
| ISHARES TR | 46434V282 | U S EQUITY FACTR | 8,164 | $228,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 18,614 | $228,000 | thousands by filing date | |
| AMBARELLA INC | G037AX101 | SHS | 4,174 | $228,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 41,758 | $228,000 | thousands by filing date | |
| ENDO INTL PLC | G30401106 | SHS | 20,465 | $228,000 | thousands by filing date | |
| CNA FINL CORP | 126117100 | COM | 5,134 | $227,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 22,431 | $227,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 4,715 | $226,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 34,407 | $225,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B560 | FTSE INTL EQTY C | 11,601 | $224,000 | thousands by filing date | |
| INDEXIQ ETF TR | 45409B487 | IQ ENCH BD US | 11,521 | $224,000 | thousands by filing date | |
| GILDAN ACTIVEWEAR INC COM | 375916103 | Stock | 8,246 | $222,000 | thousands by filing date | |
| JONES LANG LASALLE INC COM | 48020Q107 | Stock | 1,996 | $222,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 23,266 | $221,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R704 | RBA INDL ETF | 9,248 | $221,000 | thousands by filing date | |
| MARRIOTT VACATIONS WORLDWIDE C COM | 57164Y107 | Stock | 2,196 | $220,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 4,705 | $220,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 5,783 | $220,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 15,489 | $219,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109108 | COM | 6,866 | $218,000 | thousands by filing date | |
| COLUMBIA BKG SYS INC | 197236102 | COM | 5,602 | $218,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 17,185 | $218,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 9,073 | $217,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 27,049 | $217,000 | thousands by filing date | |
| WAFD INC | 938824109 | COM | 6,514 | $216,000 | thousands by filing date | |
| DBX ETF TR | 233051408 | FUND | 7,955 | $216,000 | thousands by filing date | |
| LIBERTY BROADBAND CORP | 530307305 | COM SER C | 2,486 | $215,000 | thousands by filing date | |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 145,084 | $215,000 | thousands by filing date | |
| ITT INC COM | 45073V108 | Stock | 5,206 | $214,000 | thousands by filing date | |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 9,055 | $214,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 30,211 | $214,000 | thousands by filing date | |
| POWERSHARES GOLDEN DRAGON (PGJ) | 73935X401 | ETF | 6,296 | $214,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 3,393 | $214,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 5,936 | $213,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 5,180 | $213,000 | thousands by filing date | |
| AES TR III | 00808N202 | PFD CV 6.75% | 4,173 | $213,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 4,348 | $212,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 11,735 | $212,000 | thousands by filing date | |
| OCEANEERING INTL INC | 675232102 | COM | 7,814 | $212,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 13,104 | $212,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 14,319 | $211,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 6,772 | $211,000 | thousands by filing date | |
| SOUTHSIDE BANCSHARES INC | 84470P109 | COMMON STOCK | 6,275 | $211,000 | thousands by filing date | |
| CREDIT SUISSE NASSAU BRH | 22542D480 | X LINK GOLD SHS | 22,270 | $211,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 2,822 | $210,000 | thousands by filing date | |
| TRUSTMARK CORP | 898402102 | COM | 6,592 | $210,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 21,117 | $210,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 2,429 | $209,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 8,774 | $209,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 7,786 | $209,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 11,485 | $208,000 | thousands by filing date | |
| IRONWOOD PHARMACEUTICALS INC | 46333X108 | COMMON STOCK | 12,161 | $207,000 | thousands by filing date | |
| JEFFERIES GROUP INC | 472319AG7 | CORPORATE OBLIG | 205,000 | $207,000 | thousands by filing date | principal |
| THERAPEUTICSMD INC | 88338N107 | COM | 28,730 | $207,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 15,591 | $206,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 22,185 | $206,000 | thousands by filing date | |
| OCTAVE SPECIALTY GROUP INC | 023139884 | COM NEW | 10,904 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X594 | ITL HDG QTLY DIV | 7,254 | $206,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871403 | PFD CV DEP1/20 | 4,156 | $206,000 | thousands by filing date | |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 3,403 | $205,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 73,259 | $205,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 16,939 | $204,000 | thousands by filing date | |
| NORBORD INC | 65548P403 | COM NEW | 7,183 | $204,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 2,034 | $203,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 5,697 | $203,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 12,232 | $203,000 | thousands by filing date | |
| TOMPKINS FINL CORP COM | 890110109 | Stock | 2,507 | $202,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 13,035 | $202,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 3,350 | $202,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE MID GROWTH | 73935X807 | COMMON | 5,905 | $202,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 13,633 | $201,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 8,812 | $201,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 8,103 | $201,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 8,828 | $201,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 51,080 | $201,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 856 | $200,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 8,350 | $200,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 21,200 | $200,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 14,164 | $200,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 48,181 | $199,000 | thousands by filing date | |
| ST JOE CO | 790148100 | COM | 11,676 | $199,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 33,666 | $199,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 21,881 | $198,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 16,679 | $197,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 14,133 | $197,000 | thousands by filing date | |
| BLACK STONE MINERALS L P | 09225M101 | COM UNIT | 11,900 | $196,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 23,711 | $196,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 11,300 | $195,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 41,802 | $194,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 12,570 | $194,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 12,877 | $194,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 12,636 | $194,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 13,570 | $193,000 | thousands by filing date | |
| NUVEEN AMT-FREE MUN VALUE FD | 670695105 | COM | 11,264 | $192,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 15,387 | $189,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 10,635 | $188,000 | thousands by filing date | |
| DELAWARE INVESTMENTS | 246101109 | EXCHANGE TRADED | 12,725 | $187,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 21,061 | $183,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 27,951 | $183,000 | thousands by filing date | |
| BLACKROCK MUN 2020 TERM TR | 09249X109 | COM SHS | 11,583 | $183,000 | thousands by filing date | |
| MONROE CAPITAL CORP | 610335101 | COM | 11,557 | $182,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 14,727 | $182,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 13,066 | $181,000 | thousands by filing date | |
| ASCENA RETAIL GROUP INC | 04351G101 | COM | 42,449 | $181,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 17,456 | $180,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 20,721 | $180,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 13,428 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 12,468 | $179,000 | thousands by filing date | |
| EATON VANCE NY MUNI II | 27828T109 | CMN | 15,110 | $178,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 30,000 | $177,000 | thousands by filing date | |
| BANK MUTUAL CORP | 063750103 | COM | 18,726 | $176,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 17,800 | $175,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 16,659 | $175,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 14,547 | $175,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 25,943 | $173,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 13,338 | $173,000 | thousands by filing date | |
| ABERCROMBIE & FITCH CO CL A | 002896207 | Stock | 14,351 | $171,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 16,975 | $171,000 | thousands by filing date | |
| PIMCO MUN INCOME FD III | 72201A103 | COM | 14,969 | $169,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 14,220 | $169,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 19,297 | $169,000 | thousands by filing date | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 22,487 | $167,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 50,360 | $166,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 12,518 | $166,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 30,607 | $163,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 49,000 | $162,000 | thousands by filing date | put |
| SUPERVALU INC | 868536103 | COM | 42,024 | $162,000 | thousands by filing date | |
| NEUBERGER BERMAN NY INT MUN | 64124K102 | COM | 12,964 | $162,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 27,138 | $161,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 259,765 | $161,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 13,781 | $160,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 14,855 | $159,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 12,713 | $158,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 22,750 | $158,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 35,647 | $157,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 12,639 | $156,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 95,900 | $156,000 | thousands by filing date | put |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 12,509 | $156,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 21,694 | $156,000 | thousands by filing date | |
| ALAMOS GOLD INC COM CL A | 011532108 | Stock | 19,353 | $155,000 | thousands by filing date | |
| VOLT INFORMATION SCIEN COM | 928703107 | COM | 22,114 | $153,000 | thousands by filing date | |
| GENERAL FINANCE CORPORATION | 369822101 | COM | 29,400 | $150,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 11,577 | $148,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 82,000 | $147,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 36,381 | $147,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 10,110 | $146,000 | thousands by filing date | |
| EATON VANCE NJ MUNI INCOME T | 27826V106 | SH BEN INT | 12,099 | $145,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 10,991 | $144,000 | thousands by filing date | |
| CASELLA WASTE SYS INC | 147448104 | CL A | 10,239 | $144,000 | thousands by filing date | |
| Dws Strategic Muni Incm | 25159F102 | COM | 11,619 | $144,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 12,800 | $143,000 | thousands by filing date | |
| UBS AG ETRACS SILVER SHARES COVERED CALL ETNS DUE APRIL 21, 2033 ETP 2022-2 | 22542D449 | ETF | 15,611 | $143,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 19,464 | $141,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 17,995 | $139,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 10,327 | $138,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 15,985 | $137,000 | thousands by filing date | |
| NUVEEN MUN HIGH INCOME OPPOR | 670682103 | COM | 10,253 | $135,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 22,470 | $134,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 12,027 | $134,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 28,118 | $131,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 57,056 | $130,000 | thousands by filing date | |
| PARKER-HANNIFIN CORP COM | 701094104 | Stock | 10,300 | $130,000 | thousands by filing date | call |
| SUNPOWER CORP | 867652406 | COM | 21,354 | $130,000 | thousands by filing date | |
| MADISON STRTG SECTOR PREM FD | 558268108 | COM | 10,684 | $130,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 10,100 | $128,000 | thousands by filing date | put |
| GIGPEAK INC | 37518Q109 | COM | 41,500 | $128,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 11,410 | $127,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 117,300 | $126,000 | thousands by filing date | call |
| KROGER CO COM | 501044101 | Stock | 24,000 | $125,000 | thousands by filing date | put |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 16,346 | $124,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 15,505 | $123,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 13,000 | $122,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 16,346 | $121,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 21,827 | $120,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 19,259 | $119,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 33,648 | $118,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 11,623 | $117,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 15,000 | $117,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 23,400 | $117,000 | thousands by filing date | call |
| CALITHERA BIOSCIENCES INC COM NEW | 13089P101 | Stock | 10,115 | $117,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 11,650 | $116,000 | thousands by filing date | |
| EGALET CORP | 28226B104 | COM | 22,713 | $116,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 19,500 | $115,000 | thousands by filing date | call |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 17,942 | $114,000 | thousands by filing date | |
| IPATH S&P GSCI CRUDE OIL TOTAL | 06738C786 | EXCHANGE TRADED | 20,004 | $112,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 40,179 | $111,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 22,405 | $109,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 11,183 | $109,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 23,163 | $109,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 224,266 | $108,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 19,300 | $107,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 10,385 | $105,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V101 | SP ADR NON VTG | 11,400 | $105,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B103 | COM | 28,885 | $104,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 10,583 | $103,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 23,000 | $103,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 16,473 | $102,000 | thousands by filing date | |
| PRESURANCE HLDGS INC | 20731J102 | EQUITY | 13,860 | $101,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 14,620 | $99,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 27,800 | $99,000 | thousands by filing date | call |
| ENDOLOGIX INC | 29266S106 | COM | 13,631 | $99,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 19,814 | $98,000 | thousands by filing date | |
| TIPTREE INC | 88822Q103 | COM | 13,320 | $97,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 10,656 | $95,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 35,970 | $93,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 12,342 | $93,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 11,080 | $90,000 | thousands by filing date | |
| FELCOR LODGING TR INC | 31430F101 | COM | 12,000 | $90,000 | thousands by filing date | |
| ACHAOGEN INC | 004449104 | COM | 47,100 | $89,000 | thousands by filing date | put |
| NUVEEN MULTI-MKT INCOME FD | 67075J107 | COM | 11,959 | $88,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 10,824 | $88,000 | thousands by filing date | |
| FIRSTHAND TECHNOLOGY VALUE F | 33766Y100 | COM | 11,000 | $88,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 19,001 | $88,000 | thousands by filing date | |
| ARCOS DORADOS HLDGS INC | G0457F107 | SHS CLASS -A - | 10,590 | $85,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 25,000 | $85,000 | thousands by filing date | |
| IMMUNOMEDICS INC | 452907108 | COM | 12,927 | $84,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 24,360 | $84,000 | thousands by filing date | |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 23,897 | $82,000 | thousands by filing date | |
| ORION GROUP HOLDINGS INC | 68628V308 | COMMON STOCK | 11,009 | $82,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 24,916 | $79,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 57,000 | $78,000 | thousands by filing date | principal |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 55,090 | $78,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 59,897 | $77,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 16,100 | $76,000 | thousands by filing date | call |
| POLYMET MINING CORP | 731916102 | COM | 100,953 | $76,000 | thousands by filing date | |
| BIOAMBER INC | 09072Q106 | COM | 31,327 | $73,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 30,842 | $71,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 10,531 | $71,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 17,500 | $70,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 15,497 | $69,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 10,867 | $67,000 | thousands by filing date | |
| SUNRUN INC | 86771W105 | COM | 12,250 | $66,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 12,538 | $66,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 39,556 | $65,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 14,006 | $65,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,776 | $65,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 47,266 | $62,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 21,600 | $61,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 23,015 | $61,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 14,040 | $61,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 20,824 | $59,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 12,225 | $59,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L405 | COM PAR | 15,958 | $59,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 14,220 | $57,000 | thousands by filing date | |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 71,400 | $55,000 | thousands by filing date | call |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 10,611 | $54,000 | thousands by filing date | |
| SPORTSMANS WHSE HLDGS INC | 84920Y106 | COM | 11,000 | $53,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 36,350 | $53,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 25,675 | $52,000 | thousands by filing date | |
| MITCHAM INDS INC COM | 606501104 | COM | 10,595 | $52,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 11,000 | $51,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 25,300 | $50,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 24,300 | $49,000 | thousands by filing date | call |
| PLUG PWR INC | 72919P202 | COM NEW | 34,764 | $48,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 11,000 | $47,000 | thousands by filing date | |
| STREAMLINE HEALTH SOLUTIONS | 86323X106 | COM | 46,430 | $47,000 | thousands by filing date | |
| DEUTSCHE BK AG | D1T769565 | RIGHT 04/06/2017 | 19,629 | $47,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 10,354 | $46,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 29,100 | $45,000 | thousands by filing date | |
| ACADIA PHARMACEUTICALS INC | 004225108 | COM | 28,200 | $44,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 48,400 | $44,000 | thousands by filing date | call |
| FIREEYE INC | 31816Q101 | COM | 18,600 | $44,000 | thousands by filing date | call |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 44,279 | $44,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 14,929 | $43,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,526 | $42,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 12,416 | $42,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 13,700 | $42,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 11,497 | $39,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 13,600 | $38,000 | thousands by filing date | call |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 10,683 | $38,000 | thousands by filing date | |
| DIXIE GROUP INC | 255519100 | COMMON STOCK | 10,400 | $37,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 21,200 | $31,000 | thousands by filing date | |
| TRANSATLANTIC PETROLEUM LTD | G89982113 | SHS NEW | 22,220 | $31,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,500 | $30,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 11,467 | $30,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 17,000 | $30,000 | thousands by filing date | principal |
| TERRAVIA HOLDIN | 88105A106 | Common Stock | 41,186 | $30,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 63,900 | $29,000 | thousands by filing date | call |
| CURIS INC | 231269101 | COM | 10,610 | $29,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 14,961 | $29,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 16,160 | $28,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 12,112 | $27,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 12,970 | $27,000 | thousands by filing date | |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 18,200 | $27,000 | thousands by filing date | |
| CHINA CERAMICS CO LTD | G2113X134 | SHS | 11,875 | $27,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 10,300 | $26,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 19,500 | $26,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 25,000 | $26,000 | thousands by filing date | principal |
| MONSTER DIGITAL INC COM PAR NEW | 61174L501 | Stock | 21,819 | $26,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 29,100 | $25,000 | thousands by filing date | call |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 17,835 | $25,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 24,750 | $25,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 14,000 | $24,000 | thousands by filing date | call |
| GLOBALSTAR INC | 378973408 | COM | 15,000 | $24,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 36,400 | $24,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 23,075 | $23,000 | thousands by filing date | |
| VICAL INC | 925602203 | COM NEW | 10,076 | $23,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 25,000 | $23,000 | thousands by filing date | principal |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 15,300 | $22,000 | thousands by filing date | put |
| ATHERSYS INC | 04744L106 | COM | 13,000 | $22,000 | thousands by filing date | |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 30,000 | $22,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 22,000 | $22,000 | thousands by filing date | principal |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 11,900 | $21,000 | thousands by filing date | call |
| CELGENE CORP | 151020104 | COM | 105,200 | $21,000 | thousands by filing date | call |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 21,991 | $21,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 44,990 | $21,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 13,040 | $21,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 14,033 | $20,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 10,800 | $20,000 | thousands by filing date | call |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 13,175 | $20,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 18,000 | $20,000 | thousands by filing date | principal |
| AT&T Inc | 00206R102 | COM | 11,300 | $19,000 | thousands by filing date | call |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 33,040 | $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 |
| DRYSHIPS INC | Y2109Q408 | COM PAR | 11,505 | $19,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 19,000 | $19,000 | thousands by filing date | principal |
| SPARK NETWORKS INC | 84651P100 | COM | 17,623 | $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 |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 18,000 | $18,000 | thousands by filing date | principal |
| NIKE,Inc. Class B | 654106103 | COM | 21,500 | $17,000 | thousands by filing date | call |
| 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 |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 16,000 | $17,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 17,000 | $17,000 | thousands by filing date | principal |
| CONNECTURE INC COM | 20786J106 | Stock | 15,625 | $17,000 | thousands by filing date | |
| DIPEXIUM PHARMACEUTICALS INC | 25456J104 | COM | 13,200 | $17,000 | 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 |
| 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 |
| NOKIA CORP | 654902204 | SPONSORED ADR | 30,000 | $15,000 | thousands by filing date | call |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 10,276 | $15,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 17,500 | $15,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 11,552 | $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 |
| VERINT SYS INC | 92343XAA8 | NOTE 1.500% 6/0 | 14,000 | $14,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 14,000 | $14,000 | thousands by filing date | principal |
| FUEL TECH INC | 359523107 | COM | 12,432 | $13,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 30,272 | $13,000 | thousands by filing date | |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 14,000 | $13,000 | thousands by filing date | principal |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 97,609 | $12,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 10,200 | $12,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 14,500 | $12,000 | thousands by filing date | |
| 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 |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 11,800 | $11,000 | thousands by filing date | call |
| AMYRIS INC | 03236M101 | COM | 20,000 | $11,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 40,600 | $10,000 | thousands by filing date | call |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 16,000 | $10,000 | thousands by filing date | call |
| RXI PHARMACEUTICALS CORP NEW | 74979C501 | COM | 12,433 | $10,000 | thousands by filing date | |
| TG THERAPEUTICS INC COM | 88322Q108 | Stock | 15,500 | $9,000 | thousands by filing date | put |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 13,500 | $8,000 | thousands by filing date | put |
| AVIRAGEN THERAPEUTICS INC | 053761102 | COM | 12,243 | $8,000 | thousands by filing date | |
| ISHARES TR | 464287739 | U.S. REAL ES ETF | 15,900 | $6,000 | thousands by filing date | call |
| WISDOMTREE INC | 97717P104 | COM | 27,000 | $5,000 | thousands by filing date | call |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 14,805 | $5,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 13,900 | $3,000 | thousands by filing date | call |
| QEP RESOURCES INC | 74733V100 | COM | 15,400 | $2,000 | thousands by filing date | call |
| NUCOR CORP COM | 670346105 | Stock | 21,400 | $1,000 | thousands by filing date | call |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 46,294 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001462284-17-000004 | this filing | 2017-05-09 | acceptance time not in the bulk data set |