13F-HR/A filed by Janney Montgomery Scott LLC
Janney Montgomery Scott LLC filed this 13F-HR/A for the quarter ended 2015-03-31, filed 2015-05-12, with 2,398 holding rows worth $5,368,432,000.
- Accession
- 0001569855-15-000006
- Filer
- CIK 1329948
- Filed
- 2015-05-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, amendment of type restatement, 2,399 entries on the cover page, a total value of $5,368,432,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,368,432,000 with VALUE read as thousands by filing date, 13F file number 028-11413. 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 |
|---|---|---|---|---|---|---|
| CMS ENERGY CORP COM | 125896100 | Stock | 6,433 | $225,000 | thousands by filing date | |
| VANGUARD TAX-MGD SMALL CAP | 921943403 | MFD | 4,721 | $225,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 5,693 | $225,000 | thousands by filing date | |
| PNC Intermediate Tax Exempt | 69351J694 | Mutual Funds | 23,203 | $225,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 2,693 | $224,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 26,438 | $223,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 1,902 | $223,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 16,268 | $223,000 | thousands by filing date | |
| FIRSTMERIT CORP | 337915102 | COM | 11,685 | $223,000 | thousands by filing date | |
| ISHARES GLBL INFLATION LINKED BOND FUND | 46429B812 | ETF | 4,580 | $223,000 | thousands by filing date | |
| LORD ABBETT HIGH INCOME MUNICIPAL BOND FD CL F N/L | 543912810 | Mutual Funds | 18,839 | $223,000 | thousands by filing date | |
| DRYFS CT Z | 26202D532 | Mutual Fund | 18,633 | $223,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 1,646 | $222,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 5,300 | $222,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL | 73935X443 | ETF | 5,455 | $221,000 | thousands by filing date | |
| ING GROEP N V | 456837400 | PRF | 8,713 | $221,000 | thousands by filing date | |
| ALGER CAP APRC INST I | 15570401 | Mutual Fund | 7,823 | $221,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DBS GROUP HLDGS LTD SPONSORED | 23304Y100 | COM | 3,709 | $220,000 | thousands by filing date | |
| AMERICAN FUNDS INTERM BD FD OF AMER F2 | 458809829 | COM | 16,151 | $220,000 | thousands by filing date | |
| THORNBURG INVESTMENT INCOME BUILDER FUND CLASS C | 885215541 | MUTUAL FUND | 10,298 | $220,000 | thousands by filing date | |
| Annaly Capital Management Inc 7.50% Cum Red Pfd Shs Series D | 35710805 | EQUITY | 8,750 | $220,000 | thousands by filing date | The CUSIP as filed is malformed. |
| FED MUN SECS F | 313913402 | Mutual Fund | 20,614 | $220,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 6,971 | $219,000 | thousands by filing date | |
| DB Cont Capital Trust III 7.6% Preferred | 25154A108 | Pfd Stk | 7,725 | $219,000 | thousands by filing date | |
| DEL CORP BD I | 245908751 | Mutual Fund | 36,314 | $219,000 | thousands by filing date | |
| FT SEL DSIP 1Q15 FE RE | 30285L437 | Unit/UIT - Equity | 21,817 | $218,000 | thousands by filing date | |
| TECH DATA CORP | 878237106 | COM | 3,738 | $216,000 | thousands by filing date | |
| JPMORGAN TR I INTERM TF BD S | 4812a0441 | FD | 19,408 | $216,000 | thousands by filing date | |
| BLKRCK US MTG I | 561656109 | Mutual Fund | 20,519 | $216,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 13,627 | $215,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 10,850 | $215,000 | thousands by filing date | |
| SEACOAST BKG CORP FLA | 811707801 | COM NEW | 15,100 | $215,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 27,687 | $215,000 | thousands by filing date | |
| CITIZENS FINL CORP W | 17461K101 | COMMON | 26,200 | $215,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,067 | $214,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC | 539439802 | PRF | 8,427 | $214,000 | thousands by filing date | |
| FT TGT GLB DIV 1Q15 FECA | 30285H477 | Unit/UIT - Equity | 22,332 | $214,000 | thousands by filing date | |
| BLACKROCK NATIONAL MUNIC | 09253C876 | NTF BOND FUNDS | 19,291 | $213,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 30,719 | $213,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M203 | COM | 7,332 | $213,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 4,350 | $212,000 | thousands by filing date | |
| JANUS INTL EQ I | 47103A534 | Mutual Fund | 16,575 | $212,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 4,650 | $211,000 | thousands by filing date | |
| NICHOLAS | 653735100 | MFA | 2,941 | $211,000 | thousands by filing date | |
| FEDERATED EQUITY INCOME FUND | 313915506 | COM | 8,847 | $211,000 | thousands by filing date | |
| FRANKLIN HIGH INCOME FUND ADVI | 353538309 | MUFU | 106,259 | $211,000 | thousands by filing date | |
| GOLDMAN SACHS GROWTH OPPOR CL I | 38142Y401 | Mutual Fund | 7,430 | $211,000 | thousands by filing date | |
| Russell Invt Co US Small Mid Cap Cl S | 782494520 | Mutual Fund | 6,795 | $211,000 | thousands by filing date | |
| AMR TAX EX MD F2 | 02630C859 | Mutual Fund | 13,178 | $211,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 14,465 | $210,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M613 | GUG RAYM JAMES S | 5,741 | $210,000 | thousands by filing date | |
| Columbia Incm Opps Z | 19763T889 | ETF | 20,778 | $210,000 | thousands by filing date | |
| POLYONE CORP | 73179P106 | COM | 5,601 | $209,000 | thousands by filing date | |
| EATON VANCE STRATEGIC IN | 277923579 | BOND FUNDS | 27,185 | $209,000 | thousands by filing date | |
| VICTORY SYCAMORE SMALL COMPANY OPPORTUNITY FUND CLASS I | 92646A815 | Mutual Fund | 5,171 | $209,000 | thousands by filing date | |
| Nextera Energy, Inc. | 65339F887 | PFD | 3,200 | $209,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 5,420 | $209,000 | thousands by filing date | |
| FRANKLIN TAX FREE TR MD TXFRIN | 354723140 | MD TXFRINC ADV | 18,124 | $209,000 | thousands by filing date | |
| GABELLI ENTR MRG+ACQ Y | 29372K583 | Mutual Fund | 15,140 | $209,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 24,800 | $208,000 | thousands by filing date | |
| AIRBUS GROUP ADR | 9279100 | Common Stock | 12,823 | $208,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 1,669 | $207,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 14,615 | $207,000 | thousands by filing date | |
| ENERGIZER HLDGS INC | 29266R108 | COM | 1,502 | $207,000 | thousands by filing date | |
| RAYMOND JAMES FINANCIAL INC SR NT 6.9 PFD | 754730208 | PREFERRED | 7,650 | $207,000 | thousands by filing date | |
| AMERICAN INCOME FUND OF AMERICA CLASS C | 453320301 | CL C | 9,685 | $207,000 | thousands by filing date | |
| DRYFS GLB STK I | 86271F818 | Mutual Fund | 11,009 | $207,000 | thousands by filing date | |
| CAMPBELL FD TR A UNIT LP | 13434P103 | MLP | 63 | $207,000 | thousands by filing date | |
| LANDSTAR SYS INC COM | 515098101 | Stock | 3,107 | $206,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 5,930 | $206,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 5,729 | $206,000 | thousands by filing date | |
| HSBC HOLDINGS PLC 8% $2 PFD Ser 2 | 404280802 | PREFERRED | 7,848 | $206,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 1,667 | $205,000 | thousands by filing date | |
| SAFETY INS GROUP INC | 78648T100 | COM | 3,425 | $205,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 8,853 | $205,000 | thousands by filing date | |
| T. ROWE PRICE SCIENCE & TECH | 77957M102 | Mutual Fund | 5,313 | $205,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 8,515 | $205,000 | thousands by filing date | |
| FID CT MUN INCM | 316089101 | Mutual Fund | 17,417 | $205,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554102 | COM | 4,902 | $204,000 | thousands by filing date | |
| ANSYS INC COM | 03662Q105 | COM | 2,310 | $204,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 6,129 | $204,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 4,848 | $204,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,255 | $204,000 | thousands by filing date | |
| Bayerische Motoren Werke A G ADR | 72743206 | COM | 4,910 | $204,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LORD ABBETT GROWTH LEADERS F | 543915292 | EQUITY FUNDS | 8,753 | $204,000 | thousands by filing date | |
| FT TGT VIP 1Q14 FE RE | 30282U489 | Unit/UIT - Equity | 19,259 | $204,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 3,978 | $203,000 | thousands by filing date | |
| BOFI HOLDING INC | 05566U108 | COMMON STOCK | 2,182 | $203,000 | thousands by filing date | |
| NUVEEN INTER DURATION MUN | 670677103 | INDX FD | 15,645 | $203,000 | thousands by filing date | |
| DAVIS TR FINL CORP | 239122104 | COMMON | 900 | $203,000 | thousands by filing date | |
| GUGG EURO HI DV 1 FE CA | 40168R245 | Unit/UIT - Equity | 21,400 | $203,000 | thousands by filing date | |
| UNITED NAT FOODS INC COM | 911163103 | Stock | 2,627 | $202,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 12,633 | $202,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 4,709 | $202,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 10,881 | $202,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908306 | TOTAL STK MKT | 3,868 | $202,000 | thousands by filing date | |
| POWERSHARES ETF TR II S&P SMCP | 73937B886 | ETF - EQUITY | 2,924 | $202,000 | thousands by filing date | |
| PRUD STK INDX Z | 74441F504 | Mutual Fund | 4,602 | $202,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 9,762 | $201,000 | thousands by filing date | |
| EUPAC FD | 298706102 | International Equities, EAFE, Large Cap Growth | 4,034 | $201,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 13,655 | $201,000 | thousands by filing date | |
| T. Rowe Price Mid-Cap Va Lue | 77957Y106 | MF | 6,771 | $201,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 7,447 | $201,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 15,590 | $201,000 | thousands by filing date | |
| First Eagle High Yield M Unicipal I | 32008F713 | MF | 21,022 | $200,000 | thousands by filing date | |
| CCFNB BANCORP INC COM | 124880105 | COM | 5,011 | $200,000 | thousands by filing date | |
| EATON VANCE CA MUNICIPAL | 27826Y795 | EICAX | 19,301 | $199,000 | thousands by filing date | |
| WESTERN ASSET TOTAL RETURN UNCONSTRAINED FUND CL I N/L | 957663719 | Mutual Fund (Open End) - No Load | 19,066 | $199,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 17,834 | $198,000 | thousands by filing date | |
| GUGG CONV INCM 19 FE RE | 40166H298 | Unit/UIT - Equity | 21,521 | $198,000 | thousands by filing date | |
| FT TGT VIP 2Q14 FE RE | 30283L132 | Unit/UIT - Equity | 18,349 | $198,000 | thousands by filing date | |
| JPMORGAN TR I | 4812A3718 | GROWTH ADVNTG I | 12,712 | $197,000 | thousands by filing date | |
| FT TGT GLB LDRS 2Q14FERE | 30283K530 | Unit/UIT - Equity | 20,889 | $197,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 10,720 | $196,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 12,435 | $195,000 | thousands by filing date | |
| Forum Funds Absolute Strat Ins | 34984t600 | MUT | 17,693 | $195,000 | thousands by filing date | |
| PIMCO DIV INCM BLDR P | 72201T714 | Mutual Fund | 15,535 | $195,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 14,880 | $194,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 20,869 | $194,000 | thousands by filing date | |
| DEUTSCHE TELEKOM AG SPONSORED | 251566105 | COM | 10,634 | $194,000 | thousands by filing date | |
| MFS INTL DIVERSIFICATION I | 55273G298 | NTF EQUITY FUNDS | 11,794 | $194,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,975 | $193,000 | thousands by filing date | |
| FRK INS TAX FR INCM ADVS | 354723264 | Mutual Fund | 15,323 | $193,000 | thousands by filing date | |
| NTHRN INTL EQ | 665162509 | Mutual Fund | 20,502 | $193,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 17,524 | $189,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 11,235 | $189,000 | thousands by filing date | |
| AB INTRM DIVRS A | 85568772 | Mutual Fund | 12,997 | $189,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 13,117 | $188,000 | thousands by filing date | |
| COLUMBIA ACORN THERMO Z | 197199722 | Mutual Fund | 12,527 | $187,000 | thousands by filing date | |
| Nuveen Short Term Bd Fd | 670678648 | MMF | 18,836 | $187,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 10,461 | $185,000 | thousands by filing date | |
| ALPHASIMPLEX | 63872T729 | COM | 15,074 | $185,000 | thousands by filing date | |
| OPPEN LTD TERM BD Y | 683810402 | Mutual Fund | 19,915 | $185,000 | thousands by filing date | |
| FT TGT VIP 3Q14 FE RE | 30284H189 | Unit/UIT - Equity | 17,959 | $185,000 | thousands by filing date | |
| VESTAS WIND SYSTEMS AS | 925458101 | COM | 13,420 | $184,000 | thousands by filing date | |
| FT CAP STRGTH 26 RE | 30284V535 | Unit/UIT - Equity | 19,002 | $184,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 13,331 | $183,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME A1 | 55273N459 | MFF | 20,681 | $183,000 | thousands by filing date | |
| THE HARTFORD SHORT DURATION FUND CL I | 41664M813 | Mutual Fund | 18,498 | $183,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 10,602 | $182,000 | thousands by filing date | |
| Western Asset Core Bond I | 957663305 | Mutual Fund | 14,600 | $182,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 16,696 | $181,000 | thousands by filing date | |
| FRANKLIN INCOME FUND CL | 353496300 | FKINX | 75,822 | $181,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 13,615 | $181,000 | thousands by filing date | |
| VANGUARD GNMA ADM | 922031794 | Mutual Funds | 16,735 | $181,000 | thousands by filing date | |
| Columbia Floating Rate I NST | 19766F613 | COM | 19,975 | $181,000 | thousands by filing date | |
| FT DV STRGTH 25 FE RE | 30284Y711 | Unit/UIT - Equity | 18,115 | $181,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937603 | ETF | 16,365 | $180,000 | thousands by filing date | |
| THORNBURG INTERMEDIATE MUNICIPAL INST | 885215673 | BOND | 12,589 | $180,000 | thousands by filing date | |
| AQR FDS DIVRSFD ARBTR | 00203H602 | MUTUAL | 17,653 | $179,000 | thousands by filing date | |
| NOMURA NATIONAL HY MUNI BOND FUND I | 24610H302 | DVHIX | 16,280 | $179,000 | thousands by filing date | |
| EVERMORE GLOBALVALUE FUND | 300397122 | COMMON | 15,353 | $179,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 11,547 | $178,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 12,550 | $178,000 | thousands by filing date | |
| ADVANTAGE OIL & GAS LTD | 00765F101 | COMMON STOCK-FO | 33,000 | $177,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 15,914 | $177,000 | thousands by filing date | |
| INVESCO PA TAX FR Y | 00142J222 | Mutual Fund | 10,633 | $177,000 | thousands by filing date | |
| GRAPHIC PACKAGING HLDG CO COM | 388689101 | Stock | 12,090 | $176,000 | thousands by filing date | |
| FAIRWAY GROUP HLDGS CORP | 30603D109 | CL A | 26,000 | $176,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROW | 92524107 | COM BENE INTER | 24,780 | $176,000 | thousands by filing date | The CUSIP as filed is malformed. |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 11,353 | $175,000 | thousands by filing date | |
| LORD ABBETT HIGH YIELD F | 54400N508 | BOND FUNDS | 23,178 | $175,000 | thousands by filing date | |
| LinnCo, LLC | 535782106 | LTD | 18,195 | $174,000 | thousands by filing date | |
| COLUMBIA MID CAP INDEX FUND | 19765j608 | MF | 10,625 | $173,000 | thousands by filing date | |
| FT SABRIENT BKR 15 RE | 30285M518 | Unit/UIT - Equity | 16,335 | $173,000 | thousands by filing date | |
| Pacific Life Funds Pl Inc Fds Cl A | 69447T813 | Mutual Fund | 15,954 | $172,000 | thousands by filing date | |
| WSTRN ASST GLB HI YLD I | 52469F432 | Mutual Fund | 25,611 | $171,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 35,939 | $170,000 | thousands by filing date | |
| GOODRICH PETE CORP | 382410405 | COM NEW | 47,775 | $170,000 | thousands by filing date | |
| SUTRON CORP | 869380105 | COM | 33,405 | $169,000 | thousands by filing date | |
| FRK CT TAX FR INCM ADVS | 354724304 | Mutual Fund | 15,640 | $169,000 | thousands by filing date | |
| ACCO BRANDS CORP COM | 00081T108 | Stock | 20,158 | $168,000 | thousands by filing date | |
| CITY OFFICE REIT INC | 178587101 | COM | 13,221 | $168,000 | thousands by filing date | |
| BLKRCK LGCP GRW I | 09250J874 | Mutual Fund | 11,709 | $168,000 | thousands by filing date | |
| STERLING NC INT TAX FR I | 85917L486 | Mutual Fund | 15,168 | $167,000 | thousands by filing date | |
| AMTECH SYS INC COM PAR $0.01N | 32332504 | COM | 14,824 | $166,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LORD ABB S/DUR TAX FR F | 543912745 | Mutual Fund | 10,533 | $166,000 | thousands by filing date | |
| AIR CANADA INC VTG + VAR | 8911877 | Common Stock | 17,050 | $166,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CURIS INC | 231269101 | COM | 68,950 | $165,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 18,797 | $164,000 | thousands by filing date | |
| NUVEEN NY | 670706100 | COM | 11,000 | $163,000 | thousands by filing date | |
| LORD ABBETT SH/DUR C | 543916704 | Mutual Funds | 36,073 | $162,000 | thousands by filing date | |
| AB MUN NATL ADVS | 18642819 | Mutual Fund | 15,615 | $162,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 17,560 | $161,000 | thousands by filing date | |
| TRNSPRNT DRCTNL ALLC A | 89386C662 | Mutual Fund | 12,485 | $161,000 | thousands by filing date | |
| Franklin H/Y Tax Free Inc | 354723272 | COM | 14,936 | $160,000 | thousands by filing date | |
| FREQUENCY ELECTRONICS INC | 358010106 | COMMON STOCK | 11,400 | $159,000 | thousands by filing date | |
| VANGUARD HIGH-YIELD CORPORATE INV | 922031208 | ETF | 26,499 | $159,000 | thousands by filing date | |
| C+S MLP ENGY OPP I | 19249F305 | Mutual Fund | 14,539 | $159,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 10,595 | $156,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 11,676 | $156,000 | thousands by filing date | |
| PIMCO HIGH YIELD FUND CL I2 N/L | 72201M735 | Mutual Fund (Open End) - No Load | 16,918 | $156,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,639 | $155,000 | thousands by filing date | |
| LORD ABB TTL RET C | 543916829 | Mutual Fund | 14,626 | $155,000 | thousands by filing date | |
| FT REIT GRW SEL 28 FE RE | 30283U777 | Unit/UIT - Equity | 14,529 | $155,000 | thousands by filing date | |
| Nuveen Flagship Multistate In C Mun Bd R | 67065P816 | Com | 13,746 | $153,000 | thousands by filing date | |
| Oppenheimer Rochester MA Muni Fund Cl A | 683822100 | Mutual Fund | 14,285 | $152,000 | thousands by filing date | |
| FT DEEP VAL DIV 5 FE RE | 30285M781 | Unit/UIT - Equity | 14,908 | $151,000 | thousands by filing date | |
| VNGRD NJ L/TRM T/E INVS | 92204F206 | Mutual Fund | 12,270 | $150,000 | thousands by filing date | |
| FID ADVS NY MUN INCM I | 316337856 | Mutual Fund | 11,021 | $150,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 11,872 | $148,000 | thousands by filing date | |
| Nuveen MA Municipal Bond Fund | 67065N811 | Title of Class | 14,498 | $148,000 | thousands by filing date | |
| Sei Instl Managed Trust Tax Manage Cl A | 783925266 | Mutual Fund | 10,161 | $147,000 | thousands by filing date | |
| Virtus Seix Fltg Rt Incm Cl I | 76628t678 | US TAXABLE BOND FUNDS | 16,510 | $146,000 | thousands by filing date | |
| DEUTSCHE ULT SHRT DUR S | 25155T866 | Mutual Fund | 16,734 | $146,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 10,306 | $145,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 22,145 | $145,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 22,551 | $145,000 | thousands by filing date | |
| FT HLTHCR SEL 31 FE RE | 30282U810 | Unit/UIT - Equity | 10,781 | $145,000 | thousands by filing date | |
| RUSSELL INVT CO | 782494199 | OPRTUNISTIC CR S | 15,162 | $144,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 20,353 | $142,000 | thousands by filing date | |
| FIRST PACIFIC ADVISORS | 302544101 | MUTUAL FUNDS - | 13,845 | $141,000 | thousands by filing date | |
| PNC MD TAX EX BD I | 69351K600 | Mutual Fund | 12,630 | $141,000 | thousands by filing date | |
| HRTFRD INTL SM CO I | 41664L617 | Mutual Fund | 10,055 | $141,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 11,200 | $140,000 | thousands by filing date | |
| INVESCO CONSERVATIVE ALLOCATION CLASS Y | 00888U472 | Mutual Fund | 12,210 | $140,000 | thousands by filing date | |
| ALLIQUA BIOMEDICAL INC | 19621200 | COM NEW | 26,850 | $140,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NUVEEN LTD TRM MUN BD C2 | 67065Q830 | Mutual Fund | 12,440 | $138,000 | thousands by filing date | |
| FT TGT GLB DIV 1Q15 FERE | 30285H485 | Unit/UIT - Equity | 14,346 | $138,000 | thousands by filing date | |
| FID MD MUN INCM | 316448604 | Mutual Fund | 11,868 | $137,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 12,212 | $136,000 | thousands by filing date | |
| CHANNELADVISOR CORP | 159179100 | COM | 14,062 | $136,000 | thousands by filing date | |
| ORKLA ASA SPON ADR | 686331109 | COM | 17,903 | $135,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 12,599 | $134,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 12,625 | $134,000 | thousands by filing date | |
| HARBOR INTERNATIONAL GROWTH FUND | 411511801 | Com | 10,159 | $133,000 | thousands by filing date | |
| FEDERATED HERMES EQUITY FUNDS | 314172644 | MF | 21,305 | $132,000 | thousands by filing date | |
| American Vanguard Corp | 30371108 | COM | 12,400 | $132,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Astor Dynamic Allocation Institutional | 66537V732 | Mutual Funds | 10,847 | $132,000 | thousands by filing date | |
| VANGUARD N Y TAX FREE FD | 92204H103 | LONG TAXEX INV | 11,143 | $132,000 | thousands by filing date | |
| FED HI INCM BD C | 314195306 | Mutual Fund | 17,309 | $132,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 12,810 | $131,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 13,500 | $131,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 10,234 | $131,000 | thousands by filing date | |
| Sentinel Fds Small Company Fd I | 81728B825 | Mutual Fund | 21,432 | $131,000 | thousands by filing date | |
| FT SMID CAP 24 FE RE | 30285T372 | Unit/UIT - Equity | 13,308 | $131,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 22,284 | $130,000 | thousands by filing date | |
| COLUMBIA FDS SER TR I INTM MUN | 19765L637 | MUTUAL FUNDS | 12,049 | $130,000 | thousands by filing date | |
| MFS PA MUN BD A | 55273N798 | Mutual Fund | 12,487 | $130,000 | thousands by filing date | |
| Nuveen Ltd Term Muni Bd I | 67065Q822 | MF | 11,686 | $129,000 | thousands by filing date | |
| TEMPLETON FDS INC FRG | 880196506 | MUTUAL | 17,903 | $129,000 | thousands by filing date | |
| FT DOW TGT DVD 3Q14 FERE | 30284G280 | Unit/UIT - Equity | 13,753 | $129,000 | thousands by filing date | |
| FT EQ INC SEL 38 FE RE | 30282R809 | Unit/UIT - Equity | 11,948 | $129,000 | thousands by filing date | |
| FT REIT GRW SEL 29 FE RE | 30284Q189 | Unit/UIT - Equity | 12,149 | $129,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 16,325 | $128,000 | thousands by filing date | |
| LORD ABB NY TAX FR F | 543902746 | Mutual Fund | 11,291 | $128,000 | thousands by filing date | |
| FT DOW TGT 10 NOV 14 RE | 30284Y463 | Unit/UIT - Equity | 13,398 | $128,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 12,600 | $127,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 11,000 | $127,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 12,600 | $127,000 | thousands by filing date | |
| Eaton Vance Global Macro Abs Ret I | 277923728 | MF | 13,368 | $126,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 12,030 | $126,000 | thousands by filing date | |
| COLUMBIA LG VAL QUAN Z | 19763T467 | Mutual Fund | 13,111 | $126,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 16,000 | $125,000 | thousands by filing date | |
| AMR CNT EMRG MKT INVS | 25086885 | Mutual Fund | 13,931 | $125,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ARTIVION INC | 228903100 | COM | 12,000 | $124,000 | thousands by filing date | |
| PIMCO EMERGING MARKETS BOND I2 | 72201M818 | PEMPX | 12,127 | $124,000 | thousands by filing date | |
| Fidelity Intl Real Estate | 316389840 | Com | 11,447 | $123,000 | thousands by filing date | |
| Franklin Total Return Adv | 353612849 | Exchange Traded Fund | 12,092 | $123,000 | thousands by filing date | |
| ASHFORD HOSPITALITY TR INC COM | 44103109 | COMMON | 12,648 | $122,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NATWIDE I/D MOD AGG I | 63867T619 | Mutual Fund | 10,688 | $122,000 | thousands by filing date | |
| GUGG EUR CAP STRG 4 CA | 40168J425 | Unit/UIT - Equity | 11,750 | $122,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 13,400 | $121,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 12,354 | $121,000 | thousands by filing date | |
| Northern Global Real Estate In | 665162541 | Com | 11,637 | $121,000 | thousands by filing date | |
| WESTERN ASSET INTERMEDIATE TERM MUNI I | 52469L843 | NTF BOND FUNDS | 18,255 | $121,000 | thousands by filing date | |
| DWS INTERMEDIATE TAX/AMT FREE FUND CLASS S | 25159H405 | M | 10,091 | $121,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 10,050 | $120,000 | thousands by filing date | |
| ROYCE GLBL DIV VALUE | 780811816 | MUTUAL | 11,978 | $119,000 | thousands by filing date | |
| FT STR DIV SEL 9 FE RE | 30281D876 | Unit/UIT - Equity | 11,184 | $119,000 | thousands by filing date | |
| FT GLB DIV 34 FE RE | 30281Y185 | Unit/UIT - Equity | 11,988 | $119,000 | thousands by filing date | |
| AQR LONG-SHORT EQUITY FUND CLASS I | 00203H446 | M | 10,504 | $118,000 | thousands by filing date | |
| LORD ABB EMG MKT CURR F | 543908776 | Mutual Fund | 21,320 | $118,000 | thousands by filing date | |
| WF STRAT MUN BD ADM | 94985D749 | Mutual Fund | 13,191 | $118,000 | thousands by filing date | |
| PRINCIPAL FDS INC | 74255L837 | INCOME FD CL P | 11,928 | $117,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 23,806 | $116,000 | thousands by filing date | |
| Goldman Sachs High Yield Fund | 38141W679 | COM | 16,963 | $116,000 | thousands by filing date | |
| WASATCH FDS TR | 936793884 | EMRG MKTS SCAP | 43,455 | $116,000 | thousands by filing date | |
| EATON VANCE PA MUNICIPALS | 27826Y696 | SH BEN INT | 12,855 | $116,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 12,685 | $113,000 | thousands by filing date | |
| Adept Tech | 6854202 | COM | 18,404 | $113,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SIMT MULT ASST STAB A | 783925126 | Mutual Fund | 11,167 | $113,000 | thousands by filing date | |
| MORGAN CRK TACT ALLOC I | 61732T202 | Mutual Fund | 11,014 | $112,000 | thousands by filing date | |
| FT STR INC ADV 44 CEFECA | 30285J507 | Unit/UIT - Equity | 12,007 | $112,000 | thousands by filing date | |
| GUGG EURO HI DV 1 CA | 40168R229 | Unit/UIT - Equity | 11,750 | $112,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 36,200 | $111,000 | thousands by filing date | |
| FT TGT GLB DVD 3Q FE CA | 30284G579 | Unit/UIT - Equity | 12,185 | $111,000 | thousands by filing date | |
| LORD ABBETT TOTAL RETURN F | 543916399 | BOND FUNDS | 10,304 | $110,000 | thousands by filing date | |
| Wilmington Broad Market Bond Instl | 97181C811 | Com | 11,068 | $109,000 | thousands by filing date | |
| ALPINE TTL DYNAMIC NEW | 21060207 | ETF/Closed End | 12,140 | $108,000 | thousands by filing date | The CUSIP as filed is malformed. |
| STERLING TTL RET BD I | 85917L569 | Mutual Fund - | 10,000 | $108,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 49,500 | $107,000 | thousands by filing date | |
| OPPENHEIMER SENIOR FLOATING RATE FUND CL C | 68381K309 | Com | 13,053 | $107,000 | thousands by filing date | |
| Pimco Funds Stockplus Total Return Cl P | 72201M560 | Mutual Fund | 11,129 | $107,000 | thousands by filing date | |
| ADT INFL INCM 13-3 CA | 00771L324 | Unit/UIT - Equity | 11,418 | $107,000 | thousands by filing date | |
| ORAGENICS INC | 684023203 | COM NEW | 103,926 | $106,000 | thousands by filing date | |
| BTG plc | g1660v103 | COM | 10,000 | $106,000 | thousands by filing date | |
| PIMCO COMMONREALRETUR | 72201M842 | MUTUAL | 24,733 | $105,000 | thousands by filing date | |
| WILM SHRT TRM CORP BD I | 97181C597 | Mutual Fund | 10,371 | $105,000 | thousands by filing date | |
| FED MUN HI YLD ADVTG F | 313923831 | Mutual Fund | 11,653 | $105,000 | thousands by filing date | |
| Deutsche Real Assets Fd | 25159K804 | Common | 11,240 | $104,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 10,141 | $103,000 | thousands by filing date | |
| FT TGT GLB DVD 3Q FE RE | 30284G587 | Unit/UIT - Equity | 11,328 | $103,000 | thousands by filing date | |
| Nuveen Intermediate Dura Tion Muni Bd I | 67065Q400 | MF | 10,991 | $102,000 | thousands by filing date | |
| EATON VANCE INV TR NATIONAL MUNI I | 27826H479 | MUTUAL FUND | 10,333 | $102,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 78314101 | COM | 41,700 | $101,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LORD ABB FLTG RT C | 543916175 | Mutual Fund | 10,908 | $101,000 | thousands by filing date | |
| EV FLT RT HI INCM C | 277911558 | Mutual Fund | 11,405 | $101,000 | thousands by filing date | |
| FT ENRGY SEL 50 FE RE | 30283J616 | Unit/UIT - Equity | 12,700 | $101,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 12,745 | $100,000 | thousands by filing date | |
| Newbridge Bancorp | 65080T102 | Com | 11,218 | $100,000 | thousands by filing date | |
| MFS MUNICIPAL HIGH INCOME I | 552984692 | MMIIX | 12,261 | $100,000 | thousands by filing date | |
| Aquila Three Peaks High Income Cl Y | 03841H307 | Mutual Fund | 11,692 | $99,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 10,827 | $98,000 | thousands by filing date | |
| Oppenheimer Amt Free Municipals Cl Y | 683977508 | Mutual Fund | 14,005 | $98,000 | thousands by filing date | |
| FT CAP STRG BYWR 16 FECA | 30284J318 | Unit/UIT - Equity | 10,176 | $98,000 | thousands by filing date | |
| COLUMBIA STRATEGIC INCOME FUND | 19765L694 | MUT | 16,528 | $97,000 | thousands by filing date | |
| PRIN HI YLD P | 74255L845 | Mutual Fund | 12,944 | $97,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 25,585 | $96,000 | thousands by filing date | |
| COHEN ACTIVE COMMOD I | 19249G303 | Mutual Fund | 13,813 | $96,000 | thousands by filing date | |
| SENTINEL LOW DUR BD I | 817270317 | Mutual Fund | 10,903 | $95,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 10,119 | $94,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 10,912 | $88,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 11,500 | $87,000 | thousands by filing date | |
| ALCATEL-LUCENT - SPONSORED ADR | 13904305 | COM | 22,665 | $85,000 | thousands by filing date | The CUSIP as filed is malformed. |
| HENDERSON GLOBAL EQTY INC-C | 425067691 | FD | 10,606 | $84,000 | thousands by filing date | |
| FRK MNY A | 354014102 | Mutual Fund | 84,366 | $84,000 | thousands by filing date | |
| FT MLP ENERGY 39 CE FERE | 30285A837 | Unit/UIT - Equity | 10,020 | $82,000 | thousands by filing date | |
| KBS REAL ESTATE INV TRUST II | 48243C109 | COMMON STOCK | 13,869 | $81,000 | thousands by filing date | |
| ALPINE DYN DIV I | 20875209 | Mutual Fund | 19,595 | $79,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Russell Commodity | 782494363 | COMMON STOCK | 11,693 | $75,000 | thousands by filing date | |
| WESTERN ASSET EMRG MK DEBT-I | 52469F481 | FUND | 15,159 | $75,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 18,310 | $72,000 | thousands by filing date | |
| MAGAL SECURITY SYS LTD | M6786D104 | ORD | 13,250 | $72,000 | thousands by filing date | |
| FRANKLIN US GOVERNMENT SECS ADV | 353496821 | NTF BOND FUNDS | 10,660 | $70,000 | thousands by filing date | |
| VIRTUS MULT SCTR SHRT T | 92828R594 | Mutual Fund | 14,612 | $70,000 | thousands by filing date | |
| AMR CNT CAP PRESV INVS | 25081803 | Mutual Fund | 65,538 | $66,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 20,090 | $63,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 13,808 | $63,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 14,342 | $63,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 10,995 | $61,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 10,550 | $61,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 34,315 | $61,000 | thousands by filing date | |
| WESTERN ASSET SHORT-TERM BOND FUND | 52469E807 | MUTUAL FUNDS-TAXABLE | 15,396 | $60,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 14,449 | $58,000 | thousands by filing date | |
| Franklin High Income Fund | 353538101 | MF | 29,333 | $58,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 37,100 | $57,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 10,000 | $56,000 | thousands by filing date | |
| OPPEN GLB STRAT INCM Y | 68380K508 | Mutual Fund | 13,320 | $55,000 | thousands by filing date | |
| ARCH COAL INC. | 39380100 | COM | 54,100 | $54,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DEUTSCHE UNCON INCM S | 25155T478 | Mutual Fund | 11,297 | $54,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 11,650 | $52,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 13,518 | $50,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 39,325 | $46,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 21,813 | $43,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 14,100 | $42,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 19,000 | $42,000 | thousands by filing date | |
| Inland American Real Estate Trust | 457281103 | Com | 10,535 | $42,000 | thousands by filing date | |
| SPECIAL DIVERSIFIED OPPORTUNITIES INC COM | 84740Q101 | COM | 34,800 | $40,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 12,000 | $38,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 10,522 | $38,000 | thousands by filing date | |
| ONCOSEC MEDICAL INCORPORATED | 68234l108 | COM | 106,000 | $36,000 | thousands by filing date | |
| ON TRACK INNOVATION LTD | M8791A109 | SHS | 20,000 | $30,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 21,750 | $29,000 | thousands by filing date | |
| Onconova Therapeutics | 68232V108 | Common | 11,520 | $28,000 | thousands by filing date | |
| PARAGON OFFSHORE PLC XXX | G6S01W108 | COM | 19,302 | $25,000 | thousands by filing date | |
| GS FINL SQ MMKT FST | 38141W232 | Mutual Fund | 23,029 | $23,000 | thousands by filing date | |
| MCIG INC COM | 55279L101 | Stock | 200,000 | $22,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 13,700 | $17,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 45,245 | $17,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 14,038 | $14,000 | thousands by filing date | |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 18,000 | $14,000 | thousands by filing date | |
| DecisionPoint Systems Inc | 24345a101 | COM | 31,576 | $13,000 | thousands by filing date | |
| MONITISE PLC SHS | G6258F105 | PLC SHS | 65,000 | $13,000 | thousands by filing date | |
| AMERICAN U.S. GOVERNMENT MONEY MARKET FUND CLASS F2 | 02630U503 | OPEN END TAXABLE LOAD FUND | 12,430 | $12,000 | thousands by filing date | |
| Argex Titanium Inc | 04014T102 | Common Stock | 24,500 | $11,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 10,905 | $11,000 | thousands by filing date | |
| ALLIANCE SEMICNDCTR CORP | 01877H100 | Common Stock | 12,000 | $10,000 | thousands by filing date | |
| EMERALD OIL INC | 29101U209 | COM NEW | 10,926 | $8,000 | thousands by filing date | |
| IBIO INC | 451033104 | COM | 10,000 | $8,000 | thousands by filing date | |
| Bank of America Warrants B | 60505153 | Warrant | 15,000 | $8,000 | thousands by filing date | The CUSIP as filed is malformed. |
| APPLIED MINERALS INC COM | 03823M100 | CS | 10,000 | $7,000 | thousands by filing date | |
| Vitacig Inc. | 92848J101 | COM | 200,000 | $6,000 | thousands by filing date | |
| PHILEX MINING CORP PX | Y68991135 | COMMON | 35,072 | $5,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 10,600 | $4,000 | thousands by filing date | |
| CRITICAL ELEMENTS LITHIUM CORP | 22675W107 | CS | 25,000 | $4,000 | thousands by filing date | |
| ALLIANCE DISTRS HLDG INC | 01858P105 | Common Stock | 23,000 | $3,000 | thousands by filing date | |
| CHASE PACKAGING CORP | 161635107 | COMMON | 30,900 | $2,000 | thousands by filing date | |
| ROCK CREEK PHARMACEUTICALS INC COM NEW | 772081105 | ROCK CREEK PHARMACEUTICALS INC COM NEW | 16,440 | $2,000 | thousands by filing date | |
| LYNAS CORP LTD SPONSORED ADR | 551073208 | COM | 20,000 | $1,000 | thousands by filing date | |
| COASTAL CARIBBEAN OILXXX & MINERALS LTD | 190432203 | COM | 79,851 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Puresafe Water Systems Inc | 74624H103 | COM | 14,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MEDCLEAN TECH INC XXXREGISTRATION REVOKED BY THE SEC EFF: 05/13/15 | 58405Y302 | COM | 16,650 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EKWAN-X INCORPORATED | 28264Y107 | COMMON | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GROWLIFE INC COM | 39985X104 | Stock | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALLEGIANCE BALA CYNWYD | 01747V206 | Common Stock | 102,687 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SUNSET ISLAND GROUP INC | 867744104 | Common Stock | 10,604 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| H3 ENTERPRISES INC | 404369100 | Common Stock | 60,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001329948-15-000002 | superseded | 2015-04-30 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001569855-15-000006 | this filing | 2015-05-12 | acceptance time not in the bulk data set |