13F-HR filed by Creative Planning
Creative Planning filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-10-17, with 1,881 holding rows worth $21,531,252,000.
- Accession
- 0001580642-17-005568
- Filer
- CIK 1540235
- Filed
- 2017-10-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 1,956 entries on the cover page, a total value of $21,531,252,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $21,531,252,000 with VALUE read as thousands by filing date, 13F file number 028-14616. 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 |
|---|---|---|---|---|---|---|
| DEPOMED INC | 249908104 | COM | 39,977 | $231,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 16,768 | $230,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 2,615 | $228,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 7,394 | $227,000 | thousands by filing date | |
| JPMORGAN CHASE + CO-CW18 | 46634E114 | *W E | 4,200 | $227,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 6,082 | $226,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 6,982 | $226,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 1,830 | $226,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 2,933 | $226,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 1,741 | $226,000 | thousands by filing date | |
| SIERRA WIRELESS INC | 826516106 | COM | 10,520 | $226,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 15,724 | $225,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 2,040 | $225,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 11,400 | $224,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 14,945 | $224,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 43,375 | $224,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 16,496 | $224,000 | thousands by filing date | |
| MOOG INC CL A | 615394202 | Stock | 2,667 | $223,000 | thousands by filing date | |
| BRINKER INTL INC COM | 109641100 | Stock | 6,995 | $223,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 4,928 | $223,000 | thousands by filing date | |
| NUVEEN DOW 30 DYNMC OVERWRT | 67075F105 | SHS | 13,148 | $223,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 8,623 | $223,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 4,404 | $222,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 7,713 | $221,000 | thousands by filing date | |
| ELBIT SYS LTD ORD | M3760D101 | Stock | 1,500 | $221,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 49,282 | $221,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 2,047 | $221,000 | thousands by filing date | |
| EDITAS MEDICINE INC | 28106W103 | COM | 9,207 | $221,000 | thousands by filing date | |
| PROASSURANCE CORP | 74267C106 | COM | 4,045 | $221,000 | thousands by filing date | |
| LSI INDUSTRIES INC | 50216C108 | COMMON STOCK | 33,475 | $221,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U201 | COM NEW | 76,934 | $221,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 12,751 | $220,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 3,865 | $220,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 1,841 | $220,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 6,947 | $220,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 33,133 | $220,000 | thousands by filing date | |
| Prologis,Inc. | 74340W103 | COM | 3,457 | $219,000 | thousands by filing date | |
| GLOBAL NET LEASE INC COM NEW | 379378201 | REIT | 9,983 | $219,000 | thousands by filing date | |
| AAON INC | 000360206 | COM PAR $0.004 | 6,361 | $219,000 | thousands by filing date | |
| PBF ENERGY INC | 69318G106 | CL A | 7,917 | $219,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 23,194 | $219,000 | thousands by filing date | |
| PROSHARES TR | 74347R735 | PSHS ULT HLTHCRE | 2,557 | $219,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 47,661 | $219,000 | thousands by filing date | |
| HILTON WORLDWIDE HLDGS INC COM | 43300A203 | Stock | 3,143 | $218,000 | thousands by filing date | |
| VANECK LOW CARBON ENERGYETF | 92189F502 | UIT EXCHANGE TRADED | 3,622 | $218,000 | thousands by filing date | |
| OPEN TEXT CORP COM | 683715106 | Stock | 6,714 | $217,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 20,538 | $217,000 | thousands by filing date | |
| LCI INDS | 50189K103 | COM | 1,877 | $217,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 14,259 | $217,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 1,759 | $217,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 4,906 | $217,000 | thousands by filing date | |
| CENTERSTATE BK CORP | 15201P109 | COM | 8,086 | $217,000 | thousands by filing date | |
| LKQ CORP COM | 501889208 | Stock | 5,999 | $216,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 4,851 | $216,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 3,493 | $216,000 | thousands by filing date | |
| LIBERTY TAX INC | 53128T102 | CL A | 15,000 | $216,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 2,700 | $215,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 1,469 | $215,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 6,170 | $215,000 | thousands by filing date | |
| SHAW COMMUNICATIONS INC | 82028K200 | CL B CONV | 9,347 | $215,000 | thousands by filing date | |
| INNOVIVA INC | 45781M101 | COM | 15,205 | $215,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 2,636 | $214,000 | thousands by filing date | |
| OLD DOMINION FREIGHT LINE INC COM | 679580100 | Stock | 1,948 | $214,000 | thousands by filing date | |
| LIBERTY PROPERTY TRUST | 531172104 | SH BEN INT | 5,204 | $214,000 | thousands by filing date | |
| VOC ENERGY TR | 91829B103 | TR UNIT | 57,392 | $214,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 95,000 | $214,000 | thousands by filing date | |
| MEDPACE HLDGS INC COM | 58506Q109 | Stock | 6,675 | $213,000 | thousands by filing date | |
| EQUITY COMMONWEALTH | 294628102 | COM SH BEN INT | 7,008 | $213,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 4,641 | $213,000 | thousands by filing date | |
| EL POLLO LOCO HOLDINGS INC | 268603107 | COMMON STOCK | 17,550 | $213,000 | thousands by filing date | |
| ELLIE MAE INC | 28849P100 | COM | 2,592 | $213,000 | thousands by filing date | |
| ADVANCED ENERGY INDS COM | 007973100 | Stock | 2,621 | $212,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 1,750 | $211,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 2,235 | $211,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 4,944 | $211,000 | thousands by filing date | |
| NIC INC | 62914B100 | COM | 12,319 | $211,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 22,762 | $211,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 3,578 | $210,000 | thousands by filing date | |
| LOUISIANA PAC CORP COM | 546347105 | Stock | 7,703 | $209,000 | thousands by filing date | |
| AKEBIA THERAPEUTICS INC | 00972D105 | COMMON STOCK | 10,650 | $209,000 | thousands by filing date | |
| MUELLER INDS INC COM | 624756102 | Stock | 5,950 | $208,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 10,591 | $207,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 7,001 | $207,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 18,013 | $207,000 | thousands by filing date | |
| PACKAGING CORP AMER COM | 695156109 | Stock | 1,799 | $206,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 3,345 | $206,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L407 | MORNSTAR UPSTR | 6,611 | $206,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 6,723 | $206,000 | thousands by filing date | |
| APOGEE ENTERPRISES INC | 037598109 | COM | 4,239 | $205,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 4,493 | $205,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 1,154 | $205,000 | thousands by filing date | |
| SEMTECH CORP COM | 816850101 | Stock | 5,437 | $204,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 6,983 | $204,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 4,200 | $204,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,301 | $203,000 | thousands by filing date | |
| GARTNERINC | 366651107 | STOK | 1,635 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 1,643 | $203,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 11,419 | $203,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 2,662 | $202,000 | thousands by filing date | |
| GREIF INC | 397624107 | CL A | 3,446 | $202,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 6,189 | $202,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 16,795 | $202,000 | thousands by filing date | |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 19,235 | $201,000 | thousands by filing date | |
| WEST CORP | 952355204 | COM | 8,569 | $201,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 3,571 | $200,000 | thousands by filing date | |
| LEMAITRE VASCULAR INC | 525558201 | COM | 5,346 | $200,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 7,588 | $200,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 5,670 | $200,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 18,489 | $199,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 10,860 | $199,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 16,879 | $197,000 | thousands by filing date | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 11,198 | $194,000 | thousands by filing date | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 13,671 | $192,000 | thousands by filing date | |
| SUNCOKE ENERGY PARTNERS LP | 86722Y101 | COMMON STOCK | 11,100 | $191,000 | thousands by filing date | |
| CAMECO CORP COM | 13321L108 | Stock | 19,629 | $190,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 15,000 | $190,000 | thousands by filing date | |
| ELECTROMED INC | 285409108 | COMMON STOCK | 26,000 | $190,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 26,675 | $189,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 42,160 | $189,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721308 | COM PAR | 61,090 | $187,000 | thousands by filing date | |
| AES CORP COM | 00130H105 | Stock | 16,767 | $185,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 10,199 | $185,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 10,000 | $185,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 41,781 | $183,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 22,440 | $183,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 13,566 | $179,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,172 | $179,000 | thousands by filing date | |
| ENGLOBAL CORP | 293306106 | COM | 141,005 | $179,000 | thousands by filing date | |
| PROSHARES TR II | 74347W247 | ULTA BLMBG 2017 | 10,020 | $179,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 15,311 | $177,000 | thousands by filing date | |
| DYNEX CAP INC | 26817Q506 | COM NEW | 24,362 | $177,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 14,080 | $176,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 17,172 | $175,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 12,490 | $174,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 22,695 | $172,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 18,808 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 11,958 | $171,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 27,395 | $171,000 | thousands by filing date | |
| QUALITY CARE PPTYS INC | 747545101 | COM | 11,053 | $171,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 14,078 | $170,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 104,700 | $170,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 45,000 | $169,000 | thousands by filing date | |
| STERLING INFRASTRUCTURE INC COM | 859241101 | Stock | 11,000 | $168,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 13,131 | $168,000 | thousands by filing date | |
| CLIFTON BANCORP INC | 186873105 | COM | 10,000 | $167,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,780 | $166,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 177,000 | $165,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 10,876 | $164,000 | thousands by filing date | |
| PROSHARES TR | 74348A426 | ULTSHRT QQQ | 10,575 | $163,000 | thousands by filing date | |
| RANDOLPH BANCORP INC | 752378109 | COM | 10,645 | $163,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 338480106 | COM | 10,602 | $161,000 | thousands by filing date | |
| CLEARBRIDGE ENERGY MIDSTRM O | 18469P100 | COM | 13,150 | $160,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 16,231 | $160,000 | thousands by filing date | |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 20,000 | $159,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 10,343 | $156,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 17,294 | $156,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 27,642 | $155,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 13,577 | $154,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 11,517 | $153,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 12,991 | $153,000 | thousands by filing date | |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 109,127 | $151,000 | thousands by filing date | |
| OPHTHOTECH CORP | 683745103 | COM | 53,075 | $150,000 | thousands by filing date | |
| OTONOMY INC | 68906L105 | COM | 45,548 | $148,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 53,287 | $148,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 10,022 | $147,000 | thousands by filing date | |
| QUINSTREET INC | 74874Q100 | COM | 20,025 | $147,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 16,683 | $147,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 16,886 | $146,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 22,331 | $146,000 | thousands by filing date | |
| JUST ENERGY GROUP INC | 48213W101 | COM | 25,000 | $145,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 11,875 | $143,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 23,340 | $142,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 11,162 | $141,000 | thousands by filing date | |
| BROCADE COMMUNICATIONS SYS I | 111621306 | COM NEW | 11,755 | $140,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 134,209 | $138,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 28,661 | $136,000 | thousands by filing date | |
| TRILLIUM THERAPEUTICS INC COM NEW | 89620X506 | Stock | 26,400 | $136,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 11,911 | $135,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 51,482 | $134,000 | thousands by filing date | |
| ALON USA PARTNERS LP UNIT LTD PARTNERSHIP INT | 02052T109 | COM | 11,579 | $134,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 15,564 | $132,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 38,670 | $131,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 16,746 | $131,000 | thousands by filing date | |
| KLONDEX MNS LTD | 498696103 | COM | 35,300 | $128,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 29,623 | $126,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 38,000 | $126,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38141GMG6 | CNV | 77,000 | $126,000 | thousands by filing date | principal |
| CREDIT SUISSE NASSAU BRH | 22542D357 | VELOCITY SHS SHR | 11,004 | $125,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 14,354 | $124,000 | thousands by filing date | |
| WESTMORELAND COAL CO XXX | 960878106 | COM | 48,306 | $123,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 14,410 | $121,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 16,310 | $119,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,441 | $118,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 11,183 | $117,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 10,658 | $117,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 18,000 | $116,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC. | 00739L101 | Common Stock | 10,900 | $116,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 14,132 | $115,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 13,849 | $115,000 | thousands by filing date | |
| PEARSON PLC SPONSORED ADR | 705015105 | ADR | 14,056 | $114,000 | thousands by filing date | |
| SCYNEXIS INC COM NEW | 811292101 | Common Stock | 47,300 | $114,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 32,100 | $112,000 | thousands by filing date | |
| FATE THERAPEUTICS INC | 31189P102 | COM | 28,000 | $111,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAB9 | NOTE 3.875% 3/1 | 110,000 | $109,000 | thousands by filing date | principal |
| APPLIED OPTOELECTRONICS INC | 03823U102 | COM | 10,000 | $108,000 | thousands by filing date | call |
| DONNELLEY R R & SONS CO | 257867200 | COM | 10,523 | $108,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 36,726 | $108,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 14,703 | $107,000 | thousands by filing date | |
| KAMADA LTD | M6240T109 | SHS | 22,000 | $106,000 | thousands by filing date | |
| WASHINGTON PRIME GROUP NEW | 93964W108 | COM | 12,593 | $105,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 28,865 | $105,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 32,573 | $104,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 32,205 | $104,000 | thousands by filing date | |
| ELECTRONICS FOR IMAGING INC | 286082AC6 | NOTE 0.750% 9/0 | 100,000 | $104,000 | thousands by filing date | principal |
| EDGIO INC | 53261M104 | COM | 25,700 | $102,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 90,000 | $102,000 | thousands by filing date | principal |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 34,205 | $99,000 | thousands by filing date | |
| GLADSTONE INVESTMENT CORP | 376546107 | COM | 10,300 | $98,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 43,600 | $97,000 | thousands by filing date | |
| COEUR MNG INC COM NEW | 192108504 | Stock | 10,500 | $96,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 14,277 | $94,000 | thousands by filing date | |
| RIVERVIEW BANCORP INC | 769397100 | COM | 11,185 | $94,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 17,156 | $94,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 17,843 | $93,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 28,267 | $92,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 10,586 | $91,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 14,600 | $90,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 14,731 | $90,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 53,000 | $89,000 | thousands by filing date | principal |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 32,700 | $88,000 | thousands by filing date | |
| CONFORMIS INC | 20717E101 | COM | 25,000 | $88,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAA3 | NOTE 5.500% 3/1 | 80,000 | $87,000 | thousands by filing date | principal |
| ATYR PHARMA INC | 002120103 | COM | 17,000 | $86,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 19,819 | $85,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 14,179 | $85,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 14,147 | $84,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 10,197 | $81,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 65,000 | $80,000 | thousands by filing date | principal |
| TRACON PHARMACEUTICALS INC | 89237H100 | COM | 25,000 | $79,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 11,760 | $77,000 | thousands by filing date | |
| FITBIT INC | 33812L102 | CL A | 11,006 | $77,000 | thousands by filing date | |
| AMERICAN SHARED HOSPITAL SVC | 029595105 | COM | 26,750 | $76,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 12,484 | $76,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 23,500 | $76,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 38,650 | $75,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 11,045 | $74,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 15,000 | $71,000 | thousands by filing date | |
| VALHI INC NEW | 918905100 | COM | 28,851 | $70,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 70,000 | $70,000 | thousands by filing date | principal |
| GERDAU SA SPON ADR REP PFD | 373737105 | ADR | 20,005 | $69,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 11,956 | $69,000 | thousands by filing date | |
| FLEXIBLE SOLUTIONS INTL INC | 33938T104 | COM | 40,000 | $69,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 48,000 | $69,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 14,700 | $68,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 25,758 | $67,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 12,500 | $66,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 14,635 | $65,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 45,764 | $63,000 | thousands by filing date | |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 88,500 | $62,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 24,795 | $59,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 11,174 | $58,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 37,325 | $56,000 | thousands by filing date | |
| OXBRIDGE RE HLDGS LTD | G6856M106 | SHS | 14,260 | $56,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 10,733 | $56,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 25,245 | $56,000 | thousands by filing date | |
| BELLEROPHON THERAPEUTICS INC | 078771102 | COM | 38,472 | $55,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 19,360 | $54,000 | thousands by filing date | |
| RAVE RESTAURANT GROUP INC | 754198109 | COM | 30,080 | $54,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 26,216 | $54,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 27,000 | $53,000 | thousands by filing date | principal |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 50,000 | $53,000 | thousands by filing date | principal |
| WINDSTREAM HLDGS INC | 97382A200 | COM NEW | 29,079 | $51,000 | thousands by filing date | |
| REGULUS THERAPEUTICS INC | 75915K101 | COM | 41,000 | $51,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,050 | $50,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 40,000 | $50,000 | thousands by filing date | principal |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 12,100 | $49,000 | thousands by filing date | |
| AVINO SILVER & GOLD MINES LT | 053906103 | COM | 31,500 | $49,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 37,250 | $49,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 116,100 | $48,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 13,511 | $47,000 | thousands by filing date | |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 40,000 | $46,000 | thousands by filing date | principal |
| POLYMET MINING CORP | 731916102 | COM | 74,500 | $45,000 | thousands by filing date | |
| SPHERIX INC | 84842R403 | COM PAR NEW | 30,052 | $45,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 45,000 | $45,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 45,000 | $45,000 | thousands by filing date | principal |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 17,633 | $44,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 25,602 | $44,000 | thousands by filing date | |
| OHR PHARMACEUTICAL INC | 67778H200 | COMMON STOCK | 61,000 | $44,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 40,000 | $44,000 | thousands by filing date | principal |
| SHIP FINANCE INTERNATIONAL L | G81075AE6 | NOTE 3.250% 2/0 | 40,000 | $44,000 | thousands by filing date | principal |
| REPLIGEN CORP | 759916AA7 | NOTE 2.125% 6/0 | 32,000 | $43,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 120,178 | $42,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 10,000 | $42,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 35,000 | $42,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 11,436 | $41,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 21,900 | $41,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 40,000 | $41,000 | thousands by filing date | principal |
| COMPUGEN LTD | M25722105 | ORD | 10,192 | $39,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 26,000 | $39,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328700 | COM | 20,000 | $39,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 16,829 | $37,000 | thousands by filing date | |
| OHA INVT CORP | 67091U102 | COM | 29,250 | $37,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 14,805 | $36,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 13,673 | $36,000 | thousands by filing date | |
| BIO PATH HOLDINGS INC | 09057N102 | COM | 100,000 | $36,000 | thousands by filing date | |
| VOLITIONRX LTD | 928661107 | COM | 13,200 | $35,000 | thousands by filing date | |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 22,580 | $35,000 | thousands by filing date | |
| INTERMOLECULAR INC | 45882D109 | COM | 33,000 | $34,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 23,736 | $34,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 11,601 | $33,000 | thousands by filing date | |
| RENN FD INC | 759720105 | COM | 23,806 | $33,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279501 | COM NEW | 24,744 | $33,000 | thousands by filing date | |
| RITTER PHARMACEUTICALS INC | 767836109 | COM | 95,600 | $33,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 14,875 | $32,000 | thousands by filing date | |
| NORDIC AMERN OFFSHORE LTD | G65772108 | SHS | 21,827 | $31,000 | thousands by filing date | |
| Veru Inc | 92536C103 | Common Stock | 11,019 | $29,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K204 | COM NEW | 78,077 | $29,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 10,121 | $28,000 | thousands by filing date | |
| ALEXCO RESOURCE CORP | 01535P106 | COM | 19,600 | $28,000 | thousands by filing date | |
| UBS AG | 90270KAW9 | NOTE 2/1 | 22,000 | $28,000 | thousands by filing date | principal |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 10,681 | $27,000 | thousands by filing date | |
| SIFY TECHNOLOGIES LTD | 82655M107 | ADR | 20,045 | $27,000 | thousands by filing date | |
| LIGHTPATH TECHNOLOGIES INC | 532257805 | COM CL A | 10,000 | $26,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 10,000 | $25,000 | thousands by filing date | |
| WESTWATER RES INC | 961684107 | COM | 17,487 | $25,000 | thousands by filing date | |
| VERSARTIS INC | 92529L102 | COM | 10,130 | $25,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 17,000 | $24,000 | thousands by filing date | principal |
| AURYN RES INC | 05208W108 | COM | 10,848 | $24,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 23,000 | $23,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,000 | $22,000 | thousands by filing date | principal |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 12,625 | $22,000 | thousands by filing date | |
| IGC PHARMA INC | 45408X308 | COM NEW | 65,049 | $21,000 | thousands by filing date | |
| AVINGER INC | 053734109 | COM | 56,000 | $21,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 20,000 | $21,000 | thousands by filing date | principal |
| CELGENE CORP | 151020104 | COM | 50,000 | $20,000 | thousands by filing date | put |
| NAVIOS MARITIME HOLDINGS INC | Y62196103 | COM | 12,270 | $20,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 20,471 | $20,000 | thousands by filing date | |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 10,000 | $19,000 | thousands by filing date | |
| Hugoton Royalty Trust | 444717102 | COM | 10,455 | $19,000 | thousands by filing date | |
| ARCADIA BIOSCIENCES INC | 039014105 | COM | 45,000 | $19,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 19,000 | $19,000 | thousands by filing date | principal |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 18,000 | $17,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 530715AG6 | DEB 4.000%11/1 | 25,000 | $16,000 | thousands by filing date | principal |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 24,515 | $16,000 | thousands by filing date | |
| CAPSTONE GREEN ENERGY CORP. | 14067D409 | Common Stock | 22,087 | $15,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 13,000 | $15,000 | thousands by filing date | principal |
| RENTECH INC | 760112201 | COMMON STOCK | 31,381 | $14,000 | thousands by filing date | |
| NEPTUNE TECHNOLOGIES BIORESO | 64077P108 | COM | 15,529 | $14,000 | thousands by filing date | |
| GASTAR EXPLORATION LTD | 36729W202 | COMMON STOCK | 15,300 | $13,000 | thousands by filing date | |
| ENSERVCO CORP COM NEW | 29358Y102 | Stock | 25,000 | $13,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 11,000 | $13,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 14,000 | $13,000 | thousands by filing date | principal |
| HEMISPHERX BIOPHARMA INC | 42366C301 | COM NEW | 40,001 | $13,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 14,350 | $11,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232AB7 | NOTE 3.750% 3/0 | 11,000 | $11,000 | thousands by filing date | principal |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 10,000 | $11,000 | thousands by filing date | |
| BIOLINERX LTD-SPONS ADR | 09071M106 | SPON | 10,000 | $11,000 | thousands by filing date | |
| WMI HOLDINGS CORP | 92936P100 | COMMON | 11,591 | $11,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AB6 | NOTE 5.000 6/1 | 10,000 | $10,000 | thousands by filing date | principal |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 10,500 | $9,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 13,400 | $9,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 060505153 | CMN | 11,000 | $9,000 | thousands by filing date | |
| STAFFING 360 SOLUTIONS INC | 852387208 | COM NEW | 10,200 | $9,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 70,000 | $8,000 | thousands by filing date | put |
| ENSYNC INC. | 29359T102 | Common Stock | 15,000 | $8,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 10,000 | $6,000 | thousands by filing date | call |
| COMSTOCK MNG INC | 205750102 | COM | 40,000 | $6,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 12,008 | $5,000 | thousands by filing date | |
| REAVES UTIL INCOME FD | 756158135 | RIGHT 10/04/2017 | 13,584 | $5,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 11,000 | $4,000 | thousands by filing date | call |
| Apple Inc | 037833100 | COM | 21,300 | $3,000 | thousands by filing date | put |
| OXBRIDGE RE HLDGS LTD | G6856M114 | *W EXP 03/26/202 | 15,812 | $3,000 | thousands by filing date | |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 15,000 | $3,000 | thousands by filing date | principal |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 10,000 | $3,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 13,600 | $2,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 25,000 | $1,000 | thousands by filing date | put |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 63,500 | $1,000 | thousands by filing date | call |
| SKECHERS U S A INC | 830566105 | CL A | 10,000 | $1,000 | thousands by filing date | call |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 15,000 | $1,000 | thousands by filing date | call |
| CYTORI THERAPEUTICS INC | 23283K121 | *W EXP 12/09/201 | 20,652 | $1,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001580642-17-005568 | this filing | 2017-10-17 | acceptance time not in the bulk data set |