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CAPSTONE ASSET MANAGEMENT CO

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13F filer, CIK 825204, HOUSTON, TX

CAPSTONE ASSET MANAGEMENT CO reported $3,475,543,000 across 1,602 holdings for the quarter ended 2016-09-30, in a 13F-HR filed 2016-10-12. Its ten largest share positions make up 10.59% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001140361-16-082590

Period
2016-09-30
Reported value
$3.48B
Holdings
1,602
Top 10 weight
10.59%
New
46
Sold out
48

Largest buys vs the previous quarter

SecurityShares changeApprox. value
Dow Chemical Companyadded+219,973$11.4M
AAPLadded+80,109$9.06M
AIGadded+140,188$8.32M
TXTadded+192,286$7.64M
BACadded+392,701$6.15M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
IPreduced-204,221-$9.8M
CERNER CORPreduced-157,690-$9.74M
L BRANDS INCreduced-134,381-$9.51M
WFCreduced-205,248-$9.09M
CTSHreduced-148,030-$7.06M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2016

Share positions as resolved from 13F-HR 0001140361-16-082590, largest first. % of portfolio is the value over $3,475,523,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
BKEBUCKLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 9,056 shares; 2015Q4: 9,266 shares; 2016Q1: 9,056 shares; 2016Q2: 9,056 shares; 2016Q3: 8,911 shares 8,911$214K0.01%-145Timeline
CDPCOPT DEFENSE PROPERTIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 7,445 shares; 2016Q3: 7,555 shares 7,555$214K0.01%+110Timeline
PAHCPHIBRO ANIMAL HEALTH CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 7,390 shares; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 7,880 shares 7,880$214K0.01%newTimeline
LIBERTY INTERACTIVE CORPLIBERTY INTERACTIVE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 10,847 shares; 2015Q4: 10,450 shares; 2016Q1: 10,358 shares; 2016Q2: 10,378 shares; 2016Q3: 10,628 shares 10,628$213K0.01%+250
MRTNMARTEN TRANS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 10,500 shares; 2016Q1: 10,150 shares; 2016Q2: 10,150 shares; 2016Q3: 10,010 shares 10,010$210K0.01%-140Timeline
MOMENTA PHARMACEUTICALS INCMOMENTA PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 18,113 shares; 2015Q4: 19,013 shares; 2016Q1: 17,553 shares; 2016Q2: 18,183 shares; 2016Q3: 18,003 shares 18,003$210K0.01%-180
VSATVIASAT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,066 shares; 2015Q4: 13,896 shares; 2016Q1: 13,016 shares; 2016Q2: 3,176 shares; 2016Q3: 2,806 shares 2,806$209K0.01%-370Timeline
CEB INCCEB INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 3,328 shares; 2015Q4: 3,278 shares; 2016Q1: 3,438 shares; 2016Q2: 3,858 shares; 2016Q3: 3,838 shares 3,838$209K0.01%-20
ANNALY CAPITAL MANAGEMENTANNALY CAPITAL MANAGEMENTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 19,084 shares; 2015Q4: 19,084 shares; 2016Q1: 19,684 shares; 2016Q2: 19,684 shares; 2016Q3: 19,826 shares 19,826$208K0.01%+142
CHEMICAL FINANCIAL CORPCHEMICAL FINANCIAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 4,719 shares 4,719$208K0.01%new
CREE INCCREE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 8,805 shares; 2015Q4: 8,125 shares; 2016Q1: 8,225 shares; 2016Q2: 8,175 shares; 2016Q3: 8,085 shares 8,085$208K0.01%-90
CRSCARPENTER TECHNOLOGY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 5,019 shares 5,019$207K0.01%newTimeline
KOPKOPPERS HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 6,426 shares 6,426$207K0.01%newTimeline
PROVIDENCE SVC CORPPROVIDENCE SVC CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 4,356 shares; 2016Q1: 4,046 shares; 2016Q2: not reported; 2016Q3: 4,256 shares 4,256$207K0.01%new
DECKDECKERS OUTDOOR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: 3,756 shares; 2016Q2: 3,580 shares; 2016Q3: 3,460 shares 3,460$206K0.01%-120Timeline
PERFICIENT INCPERFICIENT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 10,730 shares; 2015Q4: 10,690 shares; 2016Q1: 10,210 shares; 2016Q2: 10,430 shares; 2016Q3: 10,210 shares 10,210$206K0.01%-220
AVANTAX INCAVANTAX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 22,146 shares; 2015Q4: 21,176 shares; 2016Q1: 20,266 shares; 2016Q2: 18,876 shares; 2016Q3: 18,436 shares 18,436$206K0.01%-440
ERIEERIE INDTY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 2,006 shares 2,006$205K0.01%newTimeline
DXCMDEXCOM INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 2,339 shares 2,339$205K0.01%newTimeline
CLHCLEAN HARBORS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: 4,249 shares; 2016Q2: 4,539 shares; 2016Q3: 4,269 shares 4,269$205K0.01%-270Timeline
FRCBFIRST REP BK SAN FRANCISCO CALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 2,642 shares 2,642$204K0.01%newTimeline
PIONEER ENERGY SVCS CORPPIONEER ENERGY SVCS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 70,503 shares; 2015Q4: 64,123 shares; 2016Q1: 62,873 shares; 2016Q2: 51,113 shares; 2016Q3: 50,543 shares 50,543$204K0.01%-570
ENSENERSYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,303 shares; 2015Q4: 14,473 shares; 2016Q1: 13,103 shares; 2016Q2: 13,383 shares; 2016Q3: 2,903 shares 2,903$201K0.01%-10,480Timeline
FNFFIDELITY NATL FINL INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 5,433 shares; 2016Q3: 5,443 shares 5,443$201K0.01%+10Timeline
CUBICUSTOMERS BANCORP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 8,190 shares; 2016Q3: 8,000 shares 8,000$201K0.01%-190Timeline
DEAN FOODS CO NEWDEAN FOODS CO NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 11,235 shares; 2015Q4: 12,120 shares; 2016Q1: 12,400 shares; 2016Q2: 12,430 shares; 2016Q3: 12,200 shares 12,200$200K0.01%-230
HSIIHEIDRICK & STRUGGLES INTL INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 9,126 shares; 2016Q1: 9,116 shares; 2016Q2: 10,536 shares; 2016Q3: 10,646 shares 10,646$197K0.01%+110Timeline
FULTFULTON FINL CORP PAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,504 shares; 2015Q4: 14,064 shares; 2016Q1: 14,064 shares; 2016Q2: 14,064 shares; 2016Q3: 13,519 shares 13,519$196K0.01%-545Timeline
AEOAMERICAN EAGLE OUTFITTERS INQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 11,452 shares; 2015Q4: 11,252 shares; 2016Q1: 11,202 shares; 2016Q2: 11,202 shares; 2016Q3: 10,847 shares 10,847$194K0.01%-355Timeline
NOBLE CORP PLCNOBLE CORP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 34,760 shares; 2015Q4: 32,230 shares; 2016Q1: 32,430 shares; 2016Q2: 31,170 shares; 2016Q3: 30,540 shares 30,540$194K0.01%-630
CIGCIA ENERGETICA DE MINAS GERAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 106,864 shares; 2015Q4: 103,310 shares; 2016Q1: 103,583 shares; 2016Q2: 71,467 shares; 2016Q3: 74,417 shares 74,417$193K0.01%+2,950Timeline
BANK MUTUAL CORPBANK MUTUAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 33,350 shares; 2015Q4: 26,530 shares; 2016Q1: 25,570 shares; 2016Q2: 25,570 shares; 2016Q3: 25,170 shares 25,170$193K0.01%-400
IXIAIXIAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 17,130 shares; 2015Q4: 17,000 shares; 2016Q1: 15,760 shares; 2016Q2: 15,760 shares; 2016Q3: 15,360 shares 15,360$192K0.01%-400
TGTREDEGAR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,503 shares; 2015Q4: 11,983 shares; 2016Q1: 11,323 shares; 2016Q2: 10,513 shares; 2016Q3: 10,293 shares 10,293$191K0.01%-220Timeline
ROWAN COMPANIES PLCROWAN COMPANIES PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 18,128 shares; 2015Q4: 13,448 shares; 2016Q1: 13,498 shares; 2016Q2: 12,658 shares; 2016Q3: 12,238 shares 12,238$186K0.01%-420
RITEAID CORPRITEAID CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 21,679 shares; 2015Q4: 21,299 shares; 2016Q1: 21,360 shares; 2016Q2: 21,650 shares; 2016Q3: 23,850 shares 23,850$183K0.01%+2,200
VEREIT INCVEREIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 16,912 shares; 2015Q4: 16,912 shares; 2016Q1: 17,532 shares; 2016Q2: 17,532 shares; 2016Q3: 17,642 shares 17,642$183K0.01%+110
AMEC FOSTER WHEELER PLCAMEC FOSTER WHEELER PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 18,220 shares; 2016Q3: 24,640 shares 24,640$183K0.01%+6,420
GFIGOLD FIELDS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 37,260 shares 37,260$181K0.01%newTimeline
CROXCROCS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 20,989 shares; 2015Q4: 22,019 shares; 2016Q1: 21,339 shares; 2016Q2: 21,869 shares; 2016Q3: 21,699 shares 21,699$180K0.01%-170Timeline
OFFICE DEPOT INCOFFICE DEPOT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 41,819 shares; 2015Q4: 57,027 shares; 2016Q1: 57,187 shares; 2016Q2: 51,747 shares; 2016Q3: 50,547 shares 50,547$180K0.01%-1,200
ORITANI FINANCIAL CORPORITANI FINANCIAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 12,450 shares; 2015Q4: 12,170 shares; 2016Q1: 11,370 shares; 2016Q2: 11,370 shares; 2016Q3: 11,050 shares 11,050$174K0.01%-320
OPKOPKO HEALTH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 12,516 shares; 2016Q1: 13,486 shares; 2016Q2: 15,696 shares; 2016Q3: 16,216 shares 16,216$172K<0.01%+520Timeline
FRED S INC CLASS AFRED S INC CLASS AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 20,330 shares; 2015Q4: 20,570 shares; 2016Q1: 20,040 shares; 2016Q2: 19,250 shares; 2016Q3: 19,020 shares 19,020$172K<0.01%-230
HLITHARMONIC INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 31,690 shares; 2015Q4: 31,590 shares; 2016Q1: 29,910 shares; 2016Q2: 29,910 shares; 2016Q3: 28,450 shares 28,450$169K<0.01%-1,460Timeline
ENSCO PLCENSCO PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 43,622 shares; 2015Q4: 20,772 shares; 2016Q1: 14,012 shares; 2016Q2: 20,210 shares; 2016Q3: 19,800 shares 19,800$168K<0.01%-410
RGPRESOURCES CONNECTION INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 12,473 shares; 2015Q4: 12,193 shares; 2016Q1: 11,283 shares; 2016Q2: 11,283 shares; 2016Q3: 11,043 shares 11,043$165K<0.01%-240Timeline
BLACK BOX CORPBLACK BOX CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 12,903 shares; 2016Q1: 12,713 shares; 2016Q2: 12,043 shares; 2016Q3: 11,873 shares 11,873$165K<0.01%-170
RYAMRAYONIER ADVANCED MATLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 13,177 shares; 2015Q4: 13,114 shares; 2016Q1: 12,274 shares; 2016Q2: 12,384 shares; 2016Q3: 12,294 shares 12,294$164K<0.01%-90Timeline
MAIDEN HOLDINGS LTDMAIDEN HOLDINGS LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 12,830 shares 12,830$163K<0.01%new
AVON PRODS INCAVON PRODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 43,647 shares; 2015Q4: 39,957 shares; 2016Q1: 40,117 shares; 2016Q2: 29,557 shares; 2016Q3: 28,867 shares 28,867$163K<0.01%-690
TCF FINL CORPTCF FINL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 13,586 shares; 2015Q4: 13,396 shares; 2016Q1: 13,026 shares; 2016Q2: 11,616 shares; 2016Q3: 11,181 shares 11,181$162K<0.01%-435
ERA GROUP INCERA GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 22,395 shares; 2016Q1: 22,055 shares; 2016Q2: 19,885 shares; 2016Q3: 19,810 shares 19,810$159K<0.01%-75
CALAMOS ASSET MANAGEMENT ACALAMOS ASSET MANAGEMENT AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 13,673 shares; 2015Q4: 23,593 shares; 2016Q1: 23,453 shares; 2016Q2: 23,453 shares; 2016Q3: 23,383 shares 23,383$159K<0.01%-70
KBRKBR INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 24,406 shares; 2015Q4: 11,426 shares; 2016Q1: 11,116 shares; 2016Q2: 10,816 shares; 2016Q3: 10,471 shares 10,471$158K<0.01%-345Timeline
ALERIAN MLP ETFALERIAN MLP ETFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 13,312 shares; 2015Q4: 12,190 shares; 2016Q1: 12,190 shares; 2016Q2: 12,190 shares; 2016Q3: 12,190 shares 12,190$155K<0.01%0
VLYVALLEY NATL BANCORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 16,557 shares; 2015Q4: 16,487 shares; 2016Q1: 16,487 shares; 2016Q2: 16,487 shares; 2016Q3: 15,853 shares 15,853$154K<0.01%-634Timeline
DAKTDAKTRONICS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 12,280 shares; 2015Q4: 17,150 shares; 2016Q1: 16,270 shares; 2016Q2: 16,270 shares; 2016Q3: 16,070 shares 16,070$153K<0.01%-200Timeline
SCICLONE PHARMACEUTICALS INCSCICLONE PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 15,070 shares; 2016Q3: 14,960 shares 14,960$153K<0.01%-110
CMTLCOMTECH TELECOMMUNICATIONS CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 11,132 shares; 2016Q1: 11,092 shares; 2016Q2: 10,542 shares; 2016Q3: 11,862 shares 11,862$152K<0.01%+1,320Timeline
TRUSTCO BK CORP N YTRUSTCO BK CORP N YQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 23,840 shares; 2015Q4: 23,860 shares; 2016Q1: 22,240 shares; 2016Q2: 22,240 shares; 2016Q3: 21,420 shares 21,420$152K<0.01%-820
INVACARE CORPINVACARE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 16,956 shares; 2015Q4: 14,116 shares; 2016Q1: 13,516 shares; 2016Q2: 13,376 shares; 2016Q3: 13,176 shares 13,176$147K<0.01%-200
GENERAL COMMUNICATION INCGENERAL COMMUNICATION INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 23,510 shares; 2015Q4: 11,700 shares; 2016Q1: 10,970 shares; 2016Q2: 10,970 shares; 2016Q3: 10,700 shares 10,700$147K<0.01%-270
VOXX INTERNATIONAL CORPVOXX INTERNATIONAL CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 19,670 shares; 2015Q4: 50,640 shares; 2016Q1: 50,290 shares; 2016Q2: 49,660 shares; 2016Q3: 48,820 shares 48,820$146K<0.01%-840
FNBF N B CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 51,109 shares; 2015Q4: 51,169 shares; 2016Q1: 11,689 shares; 2016Q2: 11,819 shares; 2016Q3: 11,819 shares 11,819$145K<0.01%0Timeline
TTITETRA TECHNOLOGIES INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 45,996 shares; 2015Q4: 23,076 shares; 2016Q1: 21,556 shares; 2016Q2: 21,556 shares; 2016Q3: 23,612 shares 23,612$144K<0.01%+2,056Timeline
KOPNKOPIN CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 21,010 shares; 2015Q4: 53,620 shares; 2016Q1: 53,620 shares; 2016Q2: 66,730 shares; 2016Q3: 65,700 shares 65,700$143K<0.01%-1,030Timeline
STEIN MART INCSTEIN MART INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,760 shares; 2015Q4: 23,140 shares; 2016Q1: 22,770 shares; 2016Q2: 22,770 shares; 2016Q3: 22,550 shares 22,550$143K<0.01%-220
QUALITY SYS INCQUALITY SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 13,776 shares; 2015Q4: 13,716 shares; 2016Q1: 12,936 shares; 2016Q2: 12,936 shares; 2016Q3: 12,576 shares 12,576$142K<0.01%-360
CALAMP CORPCALAMP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 10,840 shares; 2015Q4: 10,920 shares; 2016Q1: 10,340 shares; 2016Q2: 10,340 shares; 2016Q3: 10,080 shares 10,080$141K<0.01%-260
HORNBECK OFFSHORE SVCS INC NHORNBECK OFFSHORE SVCS INC NQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 17,296 shares; 2015Q4: 29,036 shares; 2016Q1: 28,416 shares; 2016Q2: 25,746 shares; 2016Q3: 25,576 shares 25,576$141K<0.01%-170
CDI CORPCDI CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 16,490 shares; 2015Q4: 24,940 shares; 2016Q1: 24,560 shares; 2016Q2: 24,540 shares; 2016Q3: 24,500 shares 24,500$139K<0.01%-40
TBHCTHE BRAND HOUSE COLLECTIVE IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 12,620 shares; 2016Q1: 12,390 shares; 2016Q2: 11,500 shares; 2016Q3: 11,370 shares 11,370$138K<0.01%-130Timeline
WASHINGTON PRIME GROUP NEWWASHINGTON PRIME GROUP NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: not reported; 2016Q3: 10,782 shares 10,782$133K<0.01%new
CAREER EDUCATION CORPCAREER EDUCATION CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 19,445 shares; 2015Q4: 19,575 shares; 2016Q1: 18,775 shares; 2016Q2: 19,135 shares; 2016Q3: 19,445 shares 19,445$132K<0.01%+310
CEDAR REALTY TRUST INCCEDAR REALTY TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 20,450 shares; 2015Q4: 20,470 shares; 2016Q1: 19,060 shares; 2016Q2: 19,060 shares; 2016Q3: 18,250 shares 18,250$131K<0.01%-810
ASCENA RETAIL GROUP INCASCENA RETAIL GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 33,428 shares; 2015Q4: 25,547 shares; 2016Q1: 25,517 shares; 2016Q2: 24,397 shares; 2016Q3: 23,266 shares 23,266$130K<0.01%-1,131
ENICENEL CHILE SAQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: not reported; 2016Q1: not reported; 2016Q2: 111,190 shares; 2016Q3: 26,340 shares 26,340$125K<0.01%-84,850Timeline
LIVEPERSON, INC.LIVEPERSON, INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 15,020 shares; 2015Q4: 15,120 shares; 2016Q1: 14,010 shares; 2016Q2: 14,010 shares; 2016Q3: 13,670 shares 13,670$115K<0.01%-340
SPRINT CORPSPRINT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 16,900 shares; 2015Q4: 16,900 shares; 2016Q1: 17,240 shares; 2016Q2: 17,270 shares; 2016Q3: 17,150 shares 17,150$114K<0.01%-120
EXAR CORPEXAR CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 13,500 shares; 2015Q4: 13,430 shares; 2016Q1: 12,460 shares; 2016Q2: 12,460 shares; 2016Q3: 11,980 shares 11,980$112K<0.01%-480
CIBER INCCIBER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 66,240 shares; 2015Q4: 90,230 shares; 2016Q1: 90,230 shares; 2016Q2: 90,230 shares; 2016Q3: 89,760 shares 89,760$103K<0.01%-470
TESCO CORPTESCO CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 18,510 shares; 2015Q4: 12,890 shares; 2016Q1: 12,110 shares; 2016Q2: 12,110 shares; 2016Q3: 11,980 shares 11,980$98K<0.01%-130
MONSTER WORLDWIDE INCMONSTER WORLDWIDE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 69,301 shares; 2015Q4: 29,281 shares; 2016Q1: 27,501 shares; 2016Q2: 27,501 shares; 2016Q3: 26,651 shares 26,651$96K<0.01%-850
DHXDHI GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 27,300 shares; 2015Q4: 13,090 shares; 2016Q1: 12,360 shares; 2016Q2: 12,360 shares; 2016Q3: 12,100 shares 12,100$95K<0.01%-260Timeline
BILL BARRETT CORPBILL BARRETT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,463 shares; 2015Q4: 14,393 shares; 2016Q1: 13,173 shares; 2016Q2: 13,303 shares; 2016Q3: 14,673 shares 14,673$82K<0.01%+1,370
UTIUNIVERSAL TECHNICAL INST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: not reported; 2015Q4: 45,330 shares; 2016Q1: 45,160 shares; 2016Q2: 44,900 shares; 2016Q3: 44,830 shares 44,830$80K<0.01%-70Timeline
SPECTRUM PHARMACEUTICALS INCSPECTRUM PHARMACEUTICALS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 18,710 shares; 2015Q4: 18,790 shares; 2016Q1: 17,350 shares; 2016Q2: 17,360 shares; 2016Q3: 17,170 shares 17,170$80K<0.01%-190
DENBURY RES INCDENBURY RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 46,328 shares; 2015Q4: 35,558 shares; 2016Q1: 35,118 shares; 2016Q2: 23,718 shares; 2016Q3: 22,988 shares 22,988$74K<0.01%-730
TIDEWATER INCTIDEWATER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 20,803 shares; 2015Q4: 25,633 shares; 2016Q1: 24,843 shares; 2016Q2: 24,753 shares; 2016Q3: 24,573 shares 24,573$69K<0.01%-180
INTREPID POTASH INCINTREPID POTASH INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 16,869 shares; 2015Q4: 53,359 shares; 2016Q1: 53,359 shares; 2016Q2: 53,320 shares; 2016Q3: 52,810 shares 52,810$60K<0.01%-510
NORTHERN OIL & GAS INC NEVNORTHERN OIL & GAS INC NEVQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 42,900 shares; 2015Q4: 20,720 shares; 2016Q1: 19,400 shares; 2016Q2: 17,550 shares; 2016Q3: 17,220 shares 17,220$46K<0.01%-330
ZYNGA INC.ZYNGA INC.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 11,610 shares; 2015Q4: 11,610 shares; 2016Q1: 11,610 shares; 2016Q2: 11,610 shares; 2016Q3: 11,610 shares 11,610$34K<0.01%0
RUBY TUESDAY INCRUBY TUESDAY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 14,893 shares; 2015Q4: 14,833 shares; 2016Q1: 13,513 shares; 2016Q2: 13,513 shares; 2016Q3: 13,343 shares 13,343$33K<0.01%-170
HARTE-HANKS INCHARTE-HANKS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 32,800 shares; 2015Q4: 20,490 shares; 2016Q1: 20,260 shares; 2016Q2: 20,260 shares; 2016Q3: 19,930 shares 19,930$32K<0.01%-330
BASIC ENERGY SERVICES INCBASIC ENERGY SERVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 49,303 shares; 2015Q4: 31,083 shares; 2016Q1: 30,493 shares; 2016Q2: 30,460 shares; 2016Q3: 30,370 shares 30,370$25K<0.01%-90
BONANZA CREEK ENERGY INCBONANZA CREEK ENERGY INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 11,353 shares; 2015Q4: 11,283 shares; 2016Q1: 10,763 shares; 2016Q2: 10,880 shares; 2016Q3: 10,820 shares 10,820$11K<0.01%-60
MARAUDER RES EAST COAST INC…MARAUDER RES EAST COAST INC COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 12,500 shares; 2015Q4: 12,500 shares; 2016Q1: 12,500 shares; 2016Q2: 12,500 shares; 2016Q3: 12,500 shares 12,500$00%0Value filed as zero, left out of ratios.
Safeway PDC, LLC Contingent…Safeway PDC, LLC Contingent VaQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 38,118 shares; 2015Q4: 38,058 shares; 2016Q1: 38,058 shares; 2016Q2: 37,842 shares; 2016Q3: 37,762 shares 37,762$00%-80Value filed as zero, left out of ratios.
SAFEWAY RTS CASA LEY CVRSAFEWAY RTS CASA LEY CVRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 38,118 shares; 2015Q4: 38,058 shares; 2016Q1: 38,058 shares; 2016Q2: 37,842 shares; 2016Q3: 37,762 shares 37,762$00%-80Value filed as zero, left out of ratios.
FONAR CORP CL A PFD NON VTGFONAR CORP CL A PFD NON VTGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2014Q4: restricted; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: 60,000 shares; 2015Q4: 60,000 shares; 2016Q1: 60,000 shares; 2016Q2: 60,000 shares; 2016Q3: 60,000 shares 60,000$00%0Value filed as zero, left out of ratios.

Options

Puts and calls, as filed. The amount and value describe the underlying shares, not the option premium, so they stay out of % of portfolio (H5).

SecurityTypeAmountValueChange
L BRANDS INC NOV 60L BRANDS INC NOV 60 OPTION - PUTput500$20K0

Sold out in Q3 2016

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
PRUDENTIAL FINANCIAL INCPRUDENTIAL FINANCIAL INC203,232$5.42Mshares
E M C CORP MASSE M C CORP MASS148,604$4.04Mshares
JOHNSON CONTROLS INT FJOHNSON CONTROLS INT F54,672$2.42Mshares
ARM HLDGS PLCARM HLDGS PLC48,609$2.21Mshares
TYCO INTL PLCTYCO INTL PLC41,359$1.76Mshares
XL GROUP PLCXL GROUP PLC47,153$1.57Mshares
DELHAIZE GROUP - SPONS ADRDELHAIZE GROUP - SPONS ADR52,578$1.38Mshares
STARWOOD HOTELS&RESORTS WRLDSTARWOOD HOTELS&RESORTS WRLD14,306$1.06Mshares
AGL RES INCAGL RES INC12,983$856Kshares
COLUMBIA PIPELINE GROUP INCCOLUMBIA PIPELINE GROUP INC32,030$816Kshares
MB FINANCIAL INCMB FINANCIAL INC20,775$754Kshares
AshlandAshland6,249$717Kshares
KOFCOCA-COLA FEMSA SAB DE CV7,912$656Kshares
TECO ENERGY INCTECO ENERGY INC21,403$592Kshares
SOVRAN SELF STORAGE INCSOVRAN SELF STORAGE INC5,373$564Kshares
CARDTRONICS INCCARDTRONICS INC13,520$538Kshares
QIHOO 360 TECHNOLOGY CO LTDQIHOO 360 TECHNOLOGY CO LTD6,925$506Kshares
CASH AMER INTL INCCASH AMER INTL INC11,613$495Kshares
TALMER BANCORP INCTALMER BANCORP INC25,070$481Kshares
FIRST CASH FINL SVCS INCFIRST CASH FINL SVCS INC8,776$450Kshares
EXAMWORKS GROUP INC COMEXAMWORKS GROUP INC COM12,653$441Kshares
TUMI HLDGS INCTUMI HLDGS INC16,290$436Kshares
QUESTAR CORPQUESTAR CORP15,167$385Kshares
FEI COFEI CO3,606$385Kshares
ROVI CORPROVI CORP24,453$382Kshares
BBCN BANCORP INCBBCN BANCORP INC25,560$381Kshares
KRISPY KREME DOUGHNUTS INCKRISPY KREME DOUGHNUTS INC17,890$375Kshares
QLOGIC CORPQLOGIC CORP24,292$358Kshares
MEDIVATION INCMEDIVATION INC5,634$340Kshares
CORECIVIC INCCORECIVIC INC9,310$326Kshares
ENDESA AMERS SAENDESA AMERS SA22,280$307Kshares
FIRST NIAGARA FINANCIAL GRO…FIRST NIAGARA FINANCIAL GROUP31,350$305Kshares
FIRSTMERIT CORPFIRSTMERIT CORP14,119$286Kshares
GREATBATCH INCGREATBATCH INC8,440$261Kshares
FTD COS INCFTD COS INC9,366$234Kshares
OUTERWALL INCOUTERWALL INC5,329$224Kshares
WILSHIRE BANCORP INCWILSHIRE BANCORP INC20,470$213Kshares
KATE SPADE &amp; COMPANYKATE SPADE &amp; COMPANY10,165$210Kshares
BJRIBJS RESTAURANTS INC4,743$208Kshares
POLYONE CORPPOLYONE CORP5,728$202Kshares
RGRSTURM RUGER & CO INC3,130$200Kshares
DREAMWORKS ANIMATION SKG INCDREAMWORKS ANIMATION SKG INC4,885$200Kshares
VRAVERA BRADLEY INC10,050$142Kshares
FORESTAR GROUP, INC.FORESTAR GROUP, INC.10,428$124Kshares
SILICONWARE PRECISION INDS LSILICONWARE PRECISION INDS L15,340$118Kshares
WP GLIMCHER INWP GLIMCHER IN10,022$112Kshares
SIZMEK INCSIZMEK INC19,850$45Kshares
L BRANDS INC AUG 60L BRANDS INC AUG 60500$40Kput

How Q3 2016 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001140361-16-082590 base2016-10-12acceptance time not in the bulk data set