SecurityAL / Air Lease Corporation (00912X302)
Institutional Owners467 (177 N-Q Owners)
Institutional Shares100,584,907 - 97.07% (ex. N-Q)
Common Shares Outstanding103,621,629 shares (as of 2017-12-31)
Institutional Value$ 10,095,372,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

Air Lease Corporation (NYSE:AL) has 467 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 100,584,907 shares. Largest shareholders include Artisan Partners Limited Partnership, Boston Partners, Vanguard Group Inc, Udvar-hazy Steven F, FMR LLC / Fidelity, Dimensional Fund Advisors Lp, BlackRock Inc., Wellington Management Group LLP, Capital Research Global Investors, and Bamco Inc /ny/.

Air Lease Corporation (NYSE:AL) ownership summary shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.


File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-02-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 342,860 334,877 -2.33 14,613 16,104 10.20
2017-12-27 N-Q Delaware Group Income Funds (see advisory)
2018-02-12 13F-HR AlphaOne Investment Services, LLC 3,445 3,589 4.18 147 173 17.69
2018-03-01 N-Q First Investors Equity Funds (see advisory)
2018-02-14 13F-HR MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 364,033 315,517 -13.33 15,515 15,173 -2.20
2018-02-14 13F-HR Advisor Group, Inc. 3,185 3,569 12.06 135 172 27.41
2018-02-08 13F-HR WBI INVESTMENTS, INC. 41,844 2,012
2018-01-24 13F-HR Douglas Lane & Associates, LLC 1,791,014 1,601,733 -10.57 76,333 77,027 0.91
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Put 2,000 0 -100.00 75 0 -100.00
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 22,100 13,700 -38.01 942 659 -30.04
2018-02-27 N-Q Unified Series Trust (see advisory)
2018-02-28 N-Q Seasons Series Trust (see advisory)
2018-02-16 13F-HR We Are One Seven, Llc 5 0
2017-11-28 N-Q Fidelity School Street Trust (see advisory)
2018-02-13 13F-HR Oz Management LP Call 175,000 50,000 -71.43 7,459 2,405 -67.76
2018-02-14 13F-HR LORD, ABBETT & CO. LLC 997,973 1,814,092 81.78 42,534 87,240 105.11
2018-02-13 13F-HR Renaissance Technologies LLC 30,200 0 -100.00 1,287 0 -100.00
2018-02-07 13F-HR Swiss National Bank 163,000 167,000 2.45 6,947 8,031 15.60
2018-02-09 13F-HR SUNTRUST BANKS INC 6,466 7,625 17.92 275 366 33.09
2018-03-15 N-Q Tcw Funds Inc (see advisory)
2017-11-29 N-Q Mairs & Power Funds Trust (see advisory)
2018-02-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 449,000 2,034 -99.55 469 98 -79.10
2018-02-28 N-Q Franklin Templeton Etf Trust (see advisory)
2017-11-22 N-Q COLLEGE RETIREMENT EQUITIES FUND (see advisory)
2018-04-10 13F-HR CHESLEY TAFT & ASSOCIATES LLC/IL 8,100 0 -100.00 390 0 -100.00
2018-02-05 13F-HR Mascoma Wealth Management LLC 67 3
2018-02-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC Put 0 6,300 0 303
2018-03-01 N-Q Pimco Funds (see advisory)
2018-01-29 SC 13G/A UDVAR-HAZY STEVEN F 7,030,593 7,054,541 0.34
2018-02-12 13F-HR DREMAN VALUE MANAGEMENT, L L C 8,579 8,579 0.00 366 413 12.84
2017-11-22 N-Q Legg Mason Partners Variable Equity Trust (see advisory)
2018-02-23 N-Q Blackrock Allocation Target Shares (see advisory)
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 409 45 -89.00 17 2 -88.24
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 36,508 33,398 -8.52 1,556 1,607 3.28
2018-01-26 N-Q Fidelity Merrimack Street Trust (see advisory)
2018-02-02 13F-HR COMERICA BANK 0 4,314 0 213
2018-03-01 N-Q Forum Funds (see advisory)
2018-02-07 13F-HR Penserra Capital Management LLC 0 564 0 27
2017-10-30 N-Q John Hancock Sovereign Bond Fund (see advisory)
2018-02-07 13F-HR COOKE & BIELER LP 660,430 563,180 -14.73 28,148 27,083 -3.78
2018-02-26 N-Q Master Bond Llc (see advisory)
2018-02-26 N-Q Allianz Funds Multi-strategy Trust (see advisory)
2018-02-14 13F-HR Quantitative Investment Management, LLC 32,200 34,200 6.21 1,372 1,644 19.83
2018-01-16 13F-HR Capital Impact Advisors, LLC 0 0 0 0
2017-11-30 N-Q Americafirst Quantitative Funds (see advisory)
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 12,992 12,242 -5.77 553 588 6.33
2018-02-12 13F-HR Hudson Bay Capital Management LP Call 0 173,700 0 8,353
2017-11-14 13F-HR ADVENT CAPITAL MANAGEMENT /DE/ 0 -100.00 39,245 0 -100.00
2018-03-01 N-Q Calvert Responsible Index Series, Inc. (see advisory)
2018-02-14 13F-HR Virtus Investment Advisers, Inc. 8,878 0
2018-02-13 13F-HR STEVENS CAPITAL MANAGEMENT LP 81,219 0 -100.00 3,462 0 -100.00
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2017-11-29 N-Q Nuveen Investment Funds Inc (see advisory)
2018-04-19 13F-HR State of Alaska, Department of Revenue 6,000 7,710 28.50 287 328 14.29
2017-10-30 N-Q Lord Abbett Investment Trust (see advisory)
2017-11-28 N-Q Variable Insurance Products Fund V (see advisory)
2018-01-23 13F-HR DENALI ADVISORS LLC 99,400 95,000 -4.43 4,236 4,569 7.86
2018-02-14 13F-HR GAM Holding AG 18,288 879
2018-02-14 13F-HR QUANTUM CAPITAL MANAGEMENT 265,516 248,214 -6.52 11,316 11,937 5.49
2018-01-29 N-Q First Western Funds Trust (see advisory)
2018-02-14 13F-HR NEEDHAM INVESTMENT MANAGEMENT LLC 103,750 103,750 0.00 4,421 4,989 12.85
2018-02-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 0 245,582 0 11,810
2018-02-14 13F-HR Baker Avenue Asset Management, LP 20,297 23,207 14.34 865 1,116 29.02
2018-02-12 13F-HR PRINCIPAL FINANCIAL GROUP INC 9,791 13,129 34.09 417 631 51.32
2018-03-08 N-Q Calamos Convertible Opportunities & Income Fund (see advisory)
2017-11-28 N-Q Pacific Select Fund (see advisory)
2018-02-06 13F-HR CAPITAL MANAGEMENT ASSOCIATES /NY/ 12,750 12,750 0.00 543 613 12.89
2017-11-29 N-Q Victory Portfolios (see advisory)
2018-02-13 13F-HR BANK OF NOVA SCOTIA 33,677 1,619
2018-03-01 N-Q Northern Lights Fund Trust Iii (see advisory)
2017-11-22 N-Q Principal Variable Contracts Funds Inc (see advisory)
2017-11-14 13F-HR Cubist Systematic Strategies, LLC 9,700 0 -100.00 362 0 -100.00
2018-02-14 13F-HR Sapience Investments, LLC 250,985 184,235 -26.60 10,697 8,860 -17.17
2018-02-09 13F-HR MASTRAPASQUA ASSET MANAGEMENT INC 33,380 32,540 -2.52 1,423 1,565 9.98
2018-02-14 13F-HR Pacer Advisors, Inc. 14,161 0 -100.00 604 0 -100.00
2018-03-07 13F-HR Private Capital Group, Llc 1,000 48
2018-02-07 13F-HR MOGY JOEL R INVESTMENT COUNSEL INC 7,100 7,100 0.00 303 341 12.54
2018-02-13 13F-HR Advisors Asset Management, Inc. 4,764 4,303 -9.68 203 207 1.97
2017-11-09 N-Q Parnassus Funds (see advisory)
2017-11-29 N-Q Vanguard Index Funds (see advisory)
2018-02-28 N-Q SMALLCAP WORLD FUND INC (see advisory)
2017-11-14 13F-HR D. E. Shaw & Co., Inc. 9,269 0 -100.00 346 0 -100.00
2018-02-14 13F-HR DEUTSCHE BANK AG\ 551,025 45,501 -91.74 23,482 2,185 -90.70
2018-02-09 13F-HR SKBA CAPITAL MANAGEMENT LLC 9,080 9,080 0.00 387 437 12.92
2017-11-17 N-Q Lazard Retirement Series Inc (see advisory)
2018-02-13 13F-HR Parallel Advisors, LLC 1,056 1,056 0.00 44 51 15.91
2018-02-15 13F-HR GLENMEDE TRUST CO NA 5,222 5,222 0.00 222 250 12.61
2017-11-14 13F-HR LEUTHOLD GROUP, LLC 18,579 0 -100.00 694 0 -100.00
2018-03-05 13F-HR/A-1 BNP PARIBAS ARBITRAGE, SA 2,064 3 -99.85 87,968 144 -99.84
2018-02-14 13F-HR Granite Springs Asset Management Llc 31,152 1,499
2018-02-28 N-Q Prudential Investment Portfolios 12 (see advisory)
2017-11-29 N-Q Vanguard Valley Forge Funds (see advisory)
2017-11-22 N-Q Lincoln Variable Insurance Products Trust (see advisory)
2018-03-01 N-Q Northern Lights Fund Trust (see advisory)
2018-01-30 13F-HR CAMBIAR INVESTORS LLC 394,765 160,323 -59.39 16,825 7,710 -54.18
2017-10-27 N-Q Stone Ridge Trust (see advisory)
2018-02-14 13F-HR Capital Bank & Trust Co 71 3
2017-10-30 N-Q Advisors Series Trust (see advisory)
2017-11-13 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 37 0 -100.00 1 0 -100.00
2018-01-29 N-Q Invesco Bond Fund (see advisory)
2018-04-12 13F-HR JAMES INVESTMENT RESEARCH INC 45,712 48,516 6.13 2,198 2,068 -5.91
2018-02-06 13F-HR Provident Investment Management, Inc. 745,773 749,675 0.52 31,785 36,052 13.42
2018-04-12 13F-HR Bogart Wealth, Llc 175 175 0.00 8 8 0.00
2018-02-14 13F-HR Invesco Ltd. 34,335 35,679 3.91 1,464 1,716 17.21
2018-02-28 N-Q Fidelity Central Investment Portfolios Ii Llc (see advisory)
2018-02-06 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 200,500 194,600 -2.94 8,545 9,358 9.51
2017-11-17 N-Q Ultra Series Fund (see advisory)
2018-01-26 N-Q Jpmorgan Institutional Trust (see advisory)
2018-02-14 13F-HR COBALT CAPITAL MANAGEMENT INC 548,566 333,567 -39.19 23,380 16,041 -31.39
2018-02-09 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 23,671 1,138
2018-04-04 13F-HR DAVENPORT & Co LLC 11,325 11,525 1.77 544,619 491,196 -9.81
2018-02-06 13F-HR Russell Investments Group, Ltd. 12,836 17,226 34.20 547 832 52.10
2018-02-14 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 160,955 161,665 0.44 6,860 7,774 13.32
2018-02-27 N-Q Northern Funds (see advisory)
2018-02-28 N-Q Wells Fargo Funds Trust (see advisory)
2017-10-30 N-Q Delaware Enhanced Global Dividend & Income Fund (see advisory)
2017-10-27 N-Q Putnam Funds Trust (see advisory)
2017-11-28 N-Q Fidelity Contrafund (see advisory)
2018-01-23 N-Q Schwab Investments (see advisory)
2018-01-26 N-Q Active Weighting Funds Etf Trust (see advisory)
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 102,246 103,767 1.49 4,357,724 4,990,155 14.51
2018-02-13 13F-HR Oz Management LP 190,650 70,210 -63.17 8,126 3,376 -58.45
2018-02-13 13F-HR ALLIANCEBERNSTEIN L.P. 56,414 56,050 -0.65 2,404 2,695 12.10
2017-11-06 13F-HR Spot Trading L.l.c. 934 1,524 63.17 35 65 85.71
2018-04-17 13F-HR FOX RUN MANAGEMENT, L.L.C. 10,319 440
2017-12-21 N-Q LORD ABBETT DEVELOPING GROWTH FUND, INC. (see advisory)
2018-01-26 N-Q Vanguard Scottsdale Funds (see advisory)
2018-02-07 13F-HR CONNABLE OFFICE INC 5,500 5,500 0.00 234 264 12.82
2018-01-26 N-Q Fidelity Select Portfolios (see advisory)
2018-02-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC Call 0 6,200 0 298
2018-02-14 13F-HR Azora Capital Lp 311,294 14,970
2018-02-26 N-Q Master Large Cap Series Llc (see advisory)
2018-02-08 SC 13G/A VANGUARD GROUP INC 7,159,687 8,104,292 13.19
2018-02-14 13F-HR BROWN BROTHERS HARRIMAN & CO 200 60 -70.00 9 3 -66.67
2018-02-12 13F-HR Hudson Bay Capital Management LP 161,177 82,846 -48.60 6,869 3,984 -42.00
2018-04-18 13F-HR OLD NATIONAL BANCORP /IN/ 10,900 10,900 0.00 524 465 -11.26
2017-11-29 N-Q Core Bond Portfolio (see advisory)
2018-02-13 13F-HR PRUDENTIAL FINANCIAL INC 255,979 369,603 44.39 10,910 17,776 62.93
2018-02-12 13F-HR Veritable, L.P. 5,753 5,542 -3.67 245 267 8.98
2018-02-14 13F-HR RMB Capital Management, LLC 6,601 317
2018-03-08 N-Q Calamos Dynamic Convertible & Income Fund (see advisory)
2018-01-23 N-Q Schwab Strategic Trust (see advisory)
2018-02-14 13F-HR 1832 Asset Management L.P. 1,042,361 993,942 -4.65 43,079 47,601 10.50
2018-02-15 13F-HR JANE STREET GROUP, LLC 32,626 57,829 77.25 1,391 2,781 99.93
2017-11-29 N-Q Hc Capital Trust (see advisory)
2018-02-14 13F-HR Capital Research Global Investors 3,258,000 3,258,000 0.00 138,856 156,677 12.83
2018-02-15 13F-HR Sterling Capital Management LLC 107,144 94,259 -12.03 4,566 4,533 -0.72
2018-01-29 N-Q Oppenheimer Limited-term Bond Fund (see advisory)
2017-11-29 N-Q Eaton Vance Special Investment Trust (see advisory)
2018-02-06 13F-HR Daiwa Securities Group Inc. 118,902 101,126 -14.95 5,068 4,863 -4.04
2017-11-01 13F-HR NORRIS PERNE & FRENCH LLP/MI 28,105 0 -100.00 1,050 0 -100.00
2018-02-12 13F-HR Bayesian Capital Management, LP 16,262 0 -100.00 693 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 15,600 2,700 -82.69 665 130 -80.45
2018-02-28 N-Q Vanguard Malvern Funds (see advisory)
2018-04-06 13F-HR Cerebellum Gp, Llc 4,407 188
2018-01-16 13F-HR CWM, LLC 9 9 0.00 0 0
2018-02-14 13F-HR BAMCO INC /NY/ 2,369,082 2,369,082 0.00 100,970 113,929 12.83
2018-02-13 13F-HR Piermont Capital Management LLC 12,620 12,620 0.00 538 607 12.83
2018-02-01 13F-HR Nationwide Fund Advisors 23,380 0 -100.00 996 0 -100.00
2017-11-28 N-Q Pimco Managed Accounts Trust (see advisory)
2017-11-29 N-Q Vanguard Bond Index Funds (see advisory)
2018-02-01 13F-HR Quantitative Systematic Strategies LLC 22,042 1,060
2018-04-13 13F-HR Selz Capital LLC 1,019,800 989,800 -2.94 49,042 42,185 -13.98
2018-02-13 13F-HR Israel Discount Bank of New York 2,815 2,815 0.00 120 135 12.50
2018-02-14 13F-HR Old West Investment Management, LLC 50,429 29,463 -41.58 2,149 1,416 -34.11
2018-02-28 N-Q Gps Funds I (see advisory)
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 325,059 424,666 30.64 13,854 20,422 47.41
2017-11-27 N-Q John Hancock Variable Insurance Trust (see advisory)
2018-02-14 13F-HR BlueMountain Capital Management, LLC 43,096 14,992 -65.21 1,837 721 -60.75
2017-11-28 N-Q Putnam Variable Trust (see advisory)
2018-02-08 13F-HR BABSON CAPITAL MANAGEMENT LLC 24,400 10,000 -59.02 1,040 481 -53.75
2018-02-13 13F-HR Invictus RG 7,010 0 -100.00 299 0 -100.00
2018-02-28 N-Q Professionally Managed Portfolios (see advisory)
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC Call 2,600 0 -100.00 111 0 -100.00
2018-04-20 13F-HR STRS OHIO 1,340,000 1,340,000 0.00 64,440 57,110 -11.37
2018-02-28 N-Q Metropolitan West Funds (see advisory)
2018-04-10 13F-HR Grassi Investment Management 7,050 7,050 0.00 339 300 -11.50
2018-02-09 13F-HR Holistic Financial Partners 129 6
2018-02-14 13F-HR Jefferies Group LLC 13,250 0 -100.00 565 0 -100.00
2017-11-29 N-Q Oppenheimer Variable Account Funds (see advisory)
2018-02-05 13F-HR Parkside Financial Bank & Trust 2,193 1,147 -47.70 93 56 -39.78
2018-02-26 N-Q Blackrock Balanced Capital Fund, Inc. (see advisory)
2018-04-18 13F-HR/A-1 Barton Investment Management 476,529 429,829 -9.80 22,916 18,319 -20.06
2018-01-31 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0 90 0 4
2018-02-14 13F-HR BARCLAYS PLC Call 0 1,200 0 58
2017-11-13 13F-HR MACKENZIE FINANCIAL CORP 20,000 0 -100.00 747 0 -100.00
2017-11-20 N-Q Great-west Funds Inc (see advisory)
2017-11-22 N-Q Blackrock 2022 Global Income Opportunity Trust (see advisory)
2018-01-31 13F-HR Opera Trading Capital 123,809 0 -100.00 5,277 0 -100.00
2018-02-28 N-Q Virtus Opportunities Trust (see advisory)
2018-02-13 13F-HR Gagnon Advisors, LLC 183,979 184,761 0.43 7,841 8,885 13.31
2018-02-27 N-Q Putnam Asset Allocation Funds (see advisory)
2018-02-09 13F-HR BlackRock Inc. 3,929,451 3,969,721 1.02 167,473 190,905 13.99
2017-11-22 N-Q Tiaa Separate Account Va 1 (see advisory)
2018-02-09 13F-HR RHUMBLINE ADVISERS 91,668 91,229 -0.48 3,907 4,387 12.29
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 37,800 16,800 -55.56 1,611 808 -49.84
2018-01-26 N-Q Fidelity Rutland Square Trust Ii (see advisory)
2018-01-30 13F-HR KLINGENSTEIN FIELDS & CO LLC 844,909 843,189 -0.20 36,010 40,549 12.60
2018-02-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 8,500 0 -100.00 362 0 -100.00
2018-02-14 13F-HR Kemnay Advisory Services Inc. 19,394 0 -100.00 827 0 -100.00
2018-02-14 13F-HR Walleye Trading LLC Put 9,600 6,900 -28.12 409 332 -18.83
2018-03-15 N-Q Madison Funds (see advisory)
2017-11-29 N-Q Vanguard Tax-managed Funds (see advisory)
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 25,436 25,426 -0.04 1,084 1,223 12.82
2018-02-14 13F-HR ARROWGRASS CAPITAL PARTNERS (US) LP 198,482 0 -100.00 8,459 0 -100.00
2018-02-15 13F-HR SEGALL BRYANT & HAMILL, LLC 1,267,135 1,209,385 -4.56 54,005 58,159 7.69
2018-02-21 13F-HR CEDAR HILL ASSOCIATES, LLC 200,865 191,990 -4.42 8,560 9,233 7.86
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 0 1,633 0 79
2018-02-26 N-Q Blackrock Funds Ii (see advisory)
2017-11-02 N-Q Hussman Investment Trust (see advisory)
2018-03-12 13F-HR/A-1 HENDERSON GROUP PLC 32,976 6,348 -80.75 1,405 305 -78.29
2018-02-09 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 10,284 12,631 22.82 424 606 42.92
2018-02-14 13F-HR ETF MANAGERS GROUP, LLC 1,362 1,588 16.59 58 76 31.03
2017-10-26 N-Q Thompson Im Funds Inc (see advisory)
2018-02-14 13F-HR TWO SIGMA INVESTMENTS LLC 94,096 278,917 196.42 4,010 13,413 234.49
2018-02-14 13F-HR WOLVERINE TRADING, LLC 0 7,106 0 342
2018-01-26 13F-HR HIGHLAND CAPITAL MANAGEMENT, LLC 9,929 0 -100.00 423 0 -100.00
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 799,306 797,743 -0.20 34,066 38,363 12.61
2018-01-24 N-Q Deutsche Institutional Funds (see advisory)
2017-11-21 N-Q Staar Investment Trust (see advisory)
2018-02-09 13F-HR Bank of New York Mellon Corp 559,516 561,650 0.38 23,847 27,011 13.27
2018-01-31 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 3,599 5,333 48.18 153 256 67.32
2018-02-14 13F-HR HighTower Advisors, LLC 59,647 59,904 0.43 2,555 2,878 12.64
2017-12-28 N-Q George Putnam Balanced Fund (see advisory)
2018-02-06 13F-HR Concourse Capital Management, LLC 44,255 66,646 50.60 1,886 3,205 69.94
2018-02-14 13F-HR Summit Trail Advisors, Llc 243 12
2017-11-14 13F-HR Cantab Capital Partners LLP 19,321 26,153 35.36 722,000 1,115,000 54.43
2018-03-01 N-Q Loomis Sayles Funds I (see advisory)
2018-01-19 13F-HR GARRISON BRADFORD & ASSOCIATES INC 22,200 21,900 -1.35 946 1,053 11.31
2017-11-14 13F-HR Sciencast Management LP 6,300 0 -100.00 235 0 -100.00
2018-02-27 N-Q Artisan Partners Funds Inc (see advisory)
2018-02-14 13F-HR Neuberger Berman Group LLC 46,198 46,672 1.03 1,969 2,244 13.97
2018-01-17 13F-HR Cutler Group LP Call 8,700 1,500 -82.76 4 19 375.00
2018-04-12 13F-HR Valeo Financial Advisors, Llc 400 383 -4.25 19 16 -15.79
2018-04-09 13F-HR Aurora Investment Counsel 42,012 41,058 -2.27 2,020 1,750 -13.37
2018-02-13 13F-HR LAZARD ASSET MANAGEMENT LLC 6,346 6,346 0.00 270 305 12.96
2017-11-21 N-Q Brighthouse Funds Trust Ii (see advisory)
2018-02-12 13F-HR CITIGROUP INC Call 8,500 1,600 -81.18 362 77 -78.73
2018-01-29 N-Q Nuveen Investment Trust (see advisory)
2018-02-28 N-Q Guggenheim Funds Trust (see advisory)
2018-04-04 13F-HR Leith Wheeler Investment Counsel Ltd. 47,656 63,956 34.20 2,292 2,726 18.94
2018-02-08 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 19,640 19,893 1.29 837 957 14.34
2017-12-29 N-Q Domini Investment Trust (see advisory)
2018-01-17 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 394,517 422,996 7.22 16,815 20,342 20.98
2018-02-14 13F-HR Horizon Kinetics LLC 9,561 8,878 -7.14 407 427 4.91
2018-02-08 13F-HR GREENLEAF TRUST 5,740 5,740 0.00 245 276 12.65
2018-02-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 0 12,080 0 581
2017-11-28 N-Q Pimco Equity Series Vit (see advisory)
2018-02-15 13F-HR BB&T SECURITIES, LLC 13,156 13,317 1.22 560 640 14.29
2018-02-14 13F-HR AQR CAPITAL MANAGEMENT LLC 433,452 570,841 31.70 18,474 27,452 48.60
2018-04-12 13F-HR Legacy Financial Advisors, Inc. 186 186 0.00 8 7 -12.50
2018-02-13 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 51,220 17,384 -66.06 2,183 836 -61.70
2018-02-14 13F-HR ROYAL BANK OF CANADA 1,600,436 1,660,423 3.75 68,210 79,850 17.06
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. Put 0 4,600 0 221
2018-02-14 13F-HR Brandywine Global Investment Management, LLC 426,309 376,392 -11.71 18,170 18,101 -0.38
2018-02-13 SC 13G Boston Partners 8,371,475
2017-10-30 N-Q Trust For Professional Managers (see advisory)
2018-02-14 13F-HR MORGAN STANLEY 135,086 185,004 36.95 5,758 8,898 54.53
2018-02-23 13F-HR/A-2 TEACHER RETIREMENT SYSTEM OF TEXAS 8,115 33,492 312.72 346 1,611 365.61
2018-02-14 13F-HR PANAGORA ASSET MANAGEMENT INC 5,628 5,628 0.00 240 271 12.92
2018-02-07 13F-HR Parkside Investments, LLC 65,675 71,695 9.17 2,799 3,448 23.19
2017-11-21 N-Q Penn Series Funds Inc (see advisory)
2018-02-14 13F-HR EARNEST PARTNERS LLC 0 10 0 0
2018-02-02 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 19,196 20,666 7.66 818 994 21.52
2018-02-14 13F-HR FIFTH THIRD BANCORP 400 102 -74.50 16 5 -68.75
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC Put 100 100 0.00 4 5 25.00
2017-11-29 N-Q Deutsche Securities Trust (see advisory)
2018-02-20 13F-HR ENVESTNET ASSET MANAGEMENT INC 1,359 1,214 -10.67 58 59 1.72
2018-02-07 SC 13G/A Artisan Partners Limited Partnership 8,904,843 8,418,235 -5.46
2018-02-08 13F-HR FIRST TRUST ADVISORS LP 774,270 746,434 -3.60 32,999 35,896 8.78
2018-02-14 13F-HR HSBC HOLDINGS PLC 39,280 1,889
2017-12-21 N-Q Blackrock Funds (see advisory)
2018-02-14 13F-HR Clearbridge Investments, LLC 1,145,308 1,029,055 -10.15 48,813 49,487 1.38
2018-01-31 13F-HR LSV ASSET MANAGEMENT 402,583 428,183 6.36 17,158 20,591 20.01
2018-02-14 13F-HR BARCLAYS PLC 202,245 147,308 -27.16 8,621 7,085 -17.82
2018-03-01 N-Q Vericimetry Funds (see advisory)
2018-02-02 13F-HR TRUST CO OF VERMONT 303 303 0.00 13 15 15.38
2018-02-27 N-Q Doubleline Funds Trust (see advisory)
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 61 0 -100.00 3 0 -100.00
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. Call 0 5,700 0 274
2018-02-14 13F-HR TIEDEMANN WEALTH MANAGEMENT, LLC 11,400 0 -100.00 485 0 -100.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 52,300 71,754 37.20 2,229 3,451 54.82
2017-11-29 N-Q Vanguard Institutional Index Funds (see advisory)
2018-01-25 13F-HR UNDERHILL INVESTMENT MANAGEMENT LLC 433,950 440,150 1.43 18,495 21,167 14.45
2018-02-14 13F-HR Point72 Asset Management, L.P. Put 350,000 16,832
2018-02-09 13F-HR CITADEL ADVISORS LLC 96,482 238,278 146.97 4,112 11,459 178.67
2017-11-22 N-Q Clearwater Investment Trust (see advisory)
2017-11-27 N-Q Needham Funds Inc (see advisory)
2018-04-18 13F-HR New Potomac Partneres, Llc 1,000 1,000 0.00 48 43 -10.42
2018-04-05 13F-HR RAYMOND JAMES TRUST N.A. 8,392 8,391 -0.01 404 358 -11.39
2017-11-13 13F-HR Gideon Capital Advisors, Inc. 6,187 0 -100.00 231 0 -100.00
2018-01-30 13F-HR CAPITAL MANAGEMENT CORP /VA 79,810 79,110 -0.88 3,402 3,804 11.82
2018-02-08 13F-HR MUFG Americas Holdings Corp 740 740 0.00 32 36 12.50
2018-01-17 13F-HR Cutler Group LP 0 1,687 0 81
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 2,965 3,343 12.75 126 161 27.78
2017-11-24 N-Q Locorr Investment Trust (see advisory)
2018-01-24 13F-HR HOWE & RUSLING INC 247 200 -19.03 11 10 -9.09
2018-02-14 13F-HR UBS OCONNOR LLC 155,723 0 -100.00 6,637,000 0 -100.00
2017-12-29 N-Q First Trust Exchange-traded Alphadex Fund (see advisory)
2018-02-07 13F-HR WHITTIER TRUST CO 2,927 141
2018-02-12 13F-HR Zweig-DiMenna Associates LLC 156,913 122,105 -22.18 6,688 5,872 -12.20
2018-03-01 N-Q Forum Funds Ii (see advisory)
2017-12-28 N-Q Sei Daily Income Trust /ma/ (see advisory)
2017-11-22 N-Q Thrivent Mutual Funds (see advisory)
2018-02-14 13F-HR NGAM ADVISORS, L.P. 18,998 17,703 -6.82 809 851 5.19
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 896,194 782,853 -12.65 38,196 37,648 -1.43
2018-02-14 13F-HR Zions Bancorporation 2,672 1,763 -34.02 114 85 -25.44
2018-02-27 N-Q John Hancock Funds Iii (see advisory)
2018-02-13 13F-HR FARR MILLER & WASHINGTON LLC/DC 6,900 6,900 0.00 294 332 12.93
2017-11-29 N-Q Investment Managers Series Trust (see advisory)
2017-10-30 N-Q Claymore Exchange-traded Fund Trust (see advisory)
2018-03-01 N-Q Alps Series Trust (see advisory)
2018-04-13 13F-HR Calamos Advisors LLC 734,521 469,622 -36.06 35,323 20,016 -43.33
2018-01-30 13F-HR BTR CAPITAL MANAGEMENT INC 248,381 243,473 -1.98 10,586 11,709 10.61
2018-02-12 13F-HR RAMSEY QUANTITATIVE SYSTEMS 5,581 268
2017-11-06 13F-HR Spot Trading L.l.c. Call 12,900 6,700 -48.06 482 286 -40.66
2018-01-26 N-Q Fidelity Advisor Series Ii (see advisory)
2018-02-14 13F-HR TEACHERS ADVISORS INC 115,452 114,245 -1.05 4,921 5,494 11.64
2018-03-02 13F-HR Aldebaran Financial Inc. 54,525 54,176 -0.64 2,324 2,605 12.09
2018-02-06 13F-HR BOSTON FAMILY OFFICE LLC 148,534 151,649 2.10 6,331 7,293 15.20
2017-11-02 13F-HR FIDUCIARY TRUST CO 2,969 0 -100.00 111 0 -100.00
2018-02-13 13F-HR Dorsey & Whitney Trust CO LLC 4,742 4,742 0.00 202 228 12.87
2018-02-12 13F-HR Pacad Investment Ltd. 11,000 0 -100.00 469 0 -100.00
2018-04-06 13F-HR Berson & Corrado Investment Advisors, LLC 21,440 10,575 -50.68 1,031 451 -56.26
2017-11-20 N-Q Fqf Trust (see advisory)
2017-12-29 N-Q Oppenheimer Corporate Bond Fund (see advisory)
2018-01-26 N-Q Fidelity Income Fund /ma/ (see advisory)
2018-02-28 N-Q Morgan Stanley Institutional Fund Trust (see advisory)
2018-02-14 13F-HR STATE STREET CORP 1,304,723 1,324,740 1.53 55,609 63,706 14.56
2018-01-24 13F-HR IFP Advisors, Inc 436 143 -67.20 19 7 -63.16
2018-02-14 13F-HR Patriot Financial Group Insurance Agency, LLC 902 902 0.00 39 45 15.38
2018-02-28 N-Q Wisdomtree Trust (see advisory)
2017-10-27 N-Q Deutsche Multi-market Income Trust (see advisory)
2017-11-29 N-Q Aqr Funds (see advisory)
2018-01-24 N-Q PRINCIPAL FUNDS INC (see advisory)
2017-11-06 13F-HR Spot Trading L.l.c. Put 6,800 7,900 16.18 254 337 32.68
2018-02-12 13F-HR CITIGROUP INC Put 1,400 5,100 264.29 60 245 308.33
2018-02-26 N-Q Blackrock Bond Fund, Inc. (see advisory)
2018-02-28 N-Q Ishares Trust (see advisory)
2018-02-01 13F-HR VICTORY CAPITAL MANAGEMENT INC 113,835 0 -100.00 4,852 0 -100.00
2018-02-15 13F-HR Bb&t Investment Services, Inc. 905 991 9.50 28 61 117.86
2018-01-26 N-Q Fidelity Puritan Trust (see advisory)
2018-02-14 13F-HR SAMLYN CAPITAL, LLC 1,105,582 53,168
2018-02-09 13F-HR Homrich & Berg 8,065 8,065 0.00 344 388 12.79
2018-03-06 13F-HR Abacus Planning Group, Inc. 6,197 298
2017-11-28 N-Q Scout Funds (see advisory)
2018-03-05 13F-HR/A-1 NORGES BANK 421,381 478,970 13.67 14,466 23,033 59.22
2018-02-12 13F-HR Atlantic Trust Group, LLC 300 14
2018-02-07 13F-HR FFCM LLC 615 305 -50.41 27 15 -44.44
2018-01-29 N-Q Oppenheimer Capital Income Fund (see advisory)
2018-02-13 13F-HR Allianz Asset Management AG 499,419 552,283 10.59 21,286 26,560 24.78
2018-02-26 N-Q Keeley Funds, Inc. (see advisory)
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 205 77 -62.44 22 30 36.36
2018-02-02 13F-HR Aperio Group, LLC 72,837 112,272 54.14 3,104 5,399 73.94
2018-02-14 13F-HR Acorn Wealth Advisors, Llc 45 2
2018-02-02 13F-HR HUNTINGTON NATIONAL BANK 111,420 111,420 0.00 4,749 5,358 12.82
2017-11-28 N-Q Morgan Stanley Variable Investment Series (see advisory)
2018-03-01 N-Q Delaware Group Foundation Funds (see advisory)
2018-02-14 13F-HR UBS Group AG 58,894 68,732 16.70 2,510 3,306 31.71
2018-04-20 13F-HR Seacrest Wealth Management, Llc 25 25 0.00 1 1 0.00
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 39 38 -2.56 0 2
2018-02-14 13F-HR Avestar Capital, Llc 35 1
2018-01-29 N-Q Consulting Group Capital Markets Funds (see advisory)
2018-02-13 SC 13G/A FMR LLC / Fidelity 6,093,799 4,388,900 -27.98
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 71,000 32,200 -54.65 3,026 1,548 -48.84
2017-10-30 N-Q John Hancock Strategic Series (see advisory)
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 111,276 114,453 2.86 4,743 5,504 16.04
2018-01-23 13F-HR MOUNTAIN PACIFIC INVESTMENT ADVISERS INC/ID 48,450 47,200 -2.58 2,065 2,270 9.93
2018-02-27 N-Q Massmutual Premier Funds (see advisory)
2018-02-07 13F-HR SAN FRANCISCO SENTRY INVESTMENT GROUP (CA) 7,472 7,400 -0.96 318 356 11.95
2018-02-14 13F-HR PEAK6 Investments, L.P. Put 7,800 45,200 479.49 332 2,174 554.82
2018-02-02 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 3,034 9,977 228.84 129 480 272.09
2018-02-14 13F-HR CARLSON CAPITAL L P 216,200 231,200 6.94 9,214 11,118 20.66
2017-11-29 N-Q Delaware Group Limited-term Government Funds (see advisory)
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2017-11-22 13F-HR Steward Partners Investment Advisory, Llc 50 1
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 289,620 289,620 0.00 12,344 13,928 12.83
2018-02-02 13F-HR CI INVESTMENTS INC. 851,150 592,950 -30.34 36,276 28,515 -21.39
2017-11-16 13F-HR AMERICAFIRST CAPITAL MANAGEMENT, LLC 0 10,413 0 443,802
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 91,100 45,400 -50.16 3,883 2,183 -43.78
2018-02-06 13F-HR Wellington Shields Capital Management, LLC 6,500 6,500 0.00 277 313 13.00
2018-02-01 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 133,471 133,614 0.11 5,689 6,425 12.94
2017-10-30 N-Q Capital Management Investment Trust (see advisory)
2018-04-18 13F-HR GRAYBILL BARTZ & ASSOC LTD 102,721 92,216 -10.23 4,940 3,930 -20.45
2018-02-14 13F-HR Voya Investment Management LLC 27,612 26,616 -3.61 1,177 1,280 8.75
2018-01-26 N-Q Etf Series Solutions (see advisory)
2018-02-14 13F-HR DRIEHAUS CAPITAL MANAGEMENT LLC 55,360 51,314 -7.31 2,359 2,468 4.62
2018-02-08 13F-HR SEI INVESTMENTS CO 10,996 7,751 -29.51 468 373 -20.30
2017-11-28 N-Q Driehaus Mutual Funds (see advisory)
2018-02-14 13F-HR BASSWOOD CAPITAL MANAGEMENT, L.L.C. 919,405 732,507 -20.33 39,185 35,226 -10.10
2018-02-13 13F-HR CREDIT AGRICOLE S A 1,700 0 -100.00 72 0 -100.00
2018-02-13 13F-HR Wellington Management Group LLP 3,679,485 3,774,345 2.58 156,821 181,507 15.74
2018-02-09 13F-HR Proficio Capital Partners LLC 127 127 0.00 5 6 20.00
2018-04-11 13F-HR Laurel Grove Capital, LLC 7,400 5,700 -22.97 356 243 -31.74
2017-10-30 N-Q Delaware Group Equity Funds V (see advisory)
2018-04-10 13F-HR TRUST DEPARTMENT MB FINANCIAL BANK N A 470 0 -100.00 23 0 -100.00
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 4,056 4,544 12.03 173 218 26.01
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 7,017 14,030 99.94 299 675 125.75
2018-02-14 13F-HR NORTHERN TRUST CORP 1,120,098 1,115,885 -0.38 47,739 53,663 12.41
2018-02-07 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 87 80 -8.05 4 4 0.00
2017-11-14 13F-HR MENTA CAPITAL LLC 6,800 0 -100.00 254 0 -100.00
2018-02-14 13F-HR TEGEAN CAPITAL MANAGEMENT, LLC 215,000 215,000 0.00 9,163 10,339 12.83
2018-02-12 13F-HR DIMENSIONAL FUND ADVISORS LP 4,423,239 4,170,236 -5.72 188,512 200,549 6.39
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 10,581 509
2018-02-07 13F-HR AGF INVESTMENTS INC. 100,000 100,000 0.00 4,262 4,809 12.83
2018-02-26 N-Q TIAA-CREF FUNDS (see advisory)
2018-02-14 13F-HR TWO SIGMA ADVISERS, LP 55,056 58,111 5.55 2,346 2,795 19.14
2018-02-14 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 3,157 3,056 -3.20 135 147 8.89
2018-02-12 13F-HR BAR HARBOR TRUST SERVICES 140,185 139,236 -0.68 5,973 6,696 12.10
2017-12-21 N-Q Lord Abbett Equity Trust (see advisory)
2017-11-27 N-Q Voya Intermediate Bond Portfolio (see advisory)
2018-03-14 13F-HR/A-1 CREDIT SUISSE AG/ 53,204 87,160 63.82 2,268 4,192 84.83
2017-11-14 13F-HR SLS MANAGEMENT LLC 41,100 0 -100.00 1,535 0 -100.00
2018-02-01 13F-HR Private Wealth Partners, LLC 30,850 1,484
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 6,000 10,900 81.67 256 524 104.69
2018-04-17 13F-HR Calton & Associates, Inc. 2,085 0 -100.00 102 0 -100.00
2018-02-13 13F-HR Cannell Peter B & Co Inc 660,326 657,619 -0.41 28,143 31,625 12.37
2018-02-13 13F-HR SOUTHPORT MANAGEMENT, L.L.C. 45,343 45,343 0.00 1,933 2,181 12.83
2017-12-19 N-Q Green Century Funds (see advisory)
2018-02-12 13F-HR BROWN ADVISORY INC 5,353 258
2018-04-18 13F-HR REINHART PARTNERS, INC. 50,070 48,860 -2.42 2,408 2,082 -13.54
2018-02-13 13F-HR AMALGAMATED BANK 17,469 18,575 6.33 745 893 19.87
2018-02-06 13F-HR ICON ADVISERS INC/CO 78,176 78,176 0.00 3,332 3,759 12.82
2018-02-15 13F-HR Her Majesty the Queen in Right of the Province of Alberta as represented by Alberta Investment Management Corp 37,883 37,883 0.00 1,615 1,822 12.82
2018-02-26 N-Q Etf Managers Trust (see advisory)
2018-02-28 N-Q VANGUARD HORIZON FUNDS (see advisory)
2017-11-29 N-Q Oppenheimer Integrity Funds (see advisory)
2018-04-17 13F-HR INGALLS & SNYDER LLC 75,121 75,546 0.57 3,613 3,220 -10.88
2018-02-14 13F-HR NFC Investments, LLC 392,510 392,315 -0.05 16,729 18,866 12.77
2018-03-08 N-Q Calamos Investment Trust/il (see advisory)
2018-04-20 13F-HR FIRST QUADRANT L P/CA 77,957 3,323
2018-02-05 13F-HR PARNASSUS INVESTMENTS /CA 446,000 446,000 0.00 19,009 21,448 12.83
2018-04-20 13F-HR BB&T CORP 25,373 24,478 -3.53 1,220 1,044 -14.43
2018-02-13 13F-HR Legal & General Group Plc 75,362 85,533 13.50 3,211 4,113 28.09
2018-01-29 N-Q Aim Investment Securities Funds (invesco Investment Securities Funds) (see advisory)
2017-11-22 N-Q Blackrock Strategic Global Bond Fund, Inc. (see advisory)
2018-03-01 N-Q Sei Institutional Managed Trust (see advisory)
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 446,639 436,551 -2.26 19,036 20,994 10.29
2017-11-29 N-Q Blackrock Series Fund, Inc. (see advisory)
2018-02-14 13F-HR OSTERWEIS CAPITAL MANAGEMENT INC 1,008,647 877,187 -13.03 42,989 42,184 -1.87
2018-01-10 13F-HR SIMPLEX TRADING, LLC 28,802 0 -100.00 1,227 0 -100.00
2018-01-26 N-Q J.p. Morgan Exchange-traded Fund Trust (see advisory)
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 739,603 707,834 -4.30 31,522 34,039 7.98
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 0 10,100 0 486
2018-02-01 13F-HR HL FINANCIAL SERVICES LLC 7,200 346
2017-10-27 N-Q Deutsche Strategic Income Trust (see advisory)
2018-02-14 13F-HR PEAK6 Investments, L.P. 0 1,237 0 59
2018-02-08 13F-HR Advisory Services Network, LLC 24,239 25,430 4.91 1,033 1,223 18.39
2018-02-14 13F-HR Williams Jones & Associates LLC 411,784 413,025 0.30 17,550 19,862 13.17
2018-01-26 N-Q Fidelity Advisor Series I (see advisory)
2018-02-28 N-Q Morgan Stanley Income Securities Inc (see advisory)
2018-02-28 N-Q Pacific Funds Series Trust (see advisory)
2018-02-12 13F-HR CITIGROUP INC 32,023 70,918 121.46 1,365 3,410 149.82
2018-04-16 13F-HR GREYSTONE INVESTMENT MANAGEMENT LLC 193,357 193,547 0.10 9,299 8,249 -11.29
2018-02-13 13F-HR CAPITAL COUNSEL LLC/NY 625,750 628,550 0.45 26,669 30,227 13.34
2018-02-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 171,000 147,274 -13.87 7,288 7,082 -2.83
2018-02-02 13F-HR Mork Capital Management 50,000 50,000 0.00 2,131 2,405 12.86
2017-11-22 N-Q Mml Series Investment Fund Ii (see advisory)
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 8,292 8,856 6.80 399 377 -5.51
2018-04-18 13F-HR REGIONS FINANCIAL CORP 3,903 3,833 -1.79 188 164 -12.77
2018-02-14 13F-HR SILVERCREST ASSET MANAGEMENT GROUP LLC 5,318 5,318 0.00 227 256 12.78
2018-04-10 13F-HR Gradient Investments LLC 11,036 13,239 19.96 531 564 6.21
2017-11-29 N-Q Amg Funds Iii (see advisory)
2018-01-26 N-Q Fidelity Salem Street Trust (see advisory)
2018-03-01 N-Q Oppenheimer Global Strategic Income Fund (see advisory)
2018-01-19 13F-HR Bartlett & Co. LLC 1,900 1,900 0.00 81 91 12.35
2018-02-14 13F-HR Keeley-Teton Advisors, LLC 1,253,232 1,057,946 -15.58 53,413 50,877 -4.75
2018-02-08 13F-HR Trexquant Investment LP 0 6,110 0 294
2018-02-23 N-Q Icon Funds (see advisory)
2018-03-01 N-Q Optimum Fund Trust (see advisory)
2017-11-27 N-Q Voya Balanced Portfolio Inc (see advisory)
2018-02-14 13F-HR/A-1 Robeco Institutional Asset Management B.V. 9,417 12,698 34.84 401 611 52.37
2018-02-14 13F-HR BARCLAYS PLC Put 100 100 0.00 4 5 25.00
2017-11-27 N-Q Baron Select Funds (see advisory)
2018-02-13 13F-HR JP Morgan Chase & Co 1,438 1,558 8.34 59 75 27.12
2018-01-31 13F-HR HUSSMAN STRATEGIC ADVISORS, INC. 50,000 0 -100.00 2,131 0 -100.00
2017-11-01 N-Q Calamos Advisors Trust/il (see advisory)
2017-11-28 N-Q Variable Insurance Products Fund Iii (see advisory)
2018-02-05 13F-HR SHUFRO ROSE & CO LLC 33,675 33,675 0.00 1,435 1,619 12.82
2018-01-25 13F-HR Buffington Mohr McNeal 118,590 118,685 0.08 5,135 5,708 11.16
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 0 2,366 0 114
2018-02-02 13F-HR PEKIN SINGER STRAUSS ASSET MANAGEMENT /IL 250,827 231,323 -7.78 10,690 11,124 4.06
2018-02-14 13F-HR Walleye Trading LLC Call 93,500 9,400 -89.95 3,985 452 -88.66
2018-02-14 13F-HR Fortis Advisors, LLC 190 190 0.00 8 9 12.50
2018-02-14 13F-HR IHT Wealth Management, LLC 367 447 21.80 16 22 37.50
2018-02-21 13F-HR/A-1 Xact Kapitalforvaltning AB 9,453 455
2018-02-13 13F-HR Scp Investment, Lp 150,000 7,214
2018-03-01 N-Q Rivernorth Funds (see advisory)
2017-11-08 13F-HR D.A. DAVIDSON & CO. 50 0 -100.00 1 0 -100.00
2018-02-14 13F-HR BlueCrest Capital Management Ltd 10,767 12,645 17.44 459 608 32.46
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 14,000 18,100 29.29 597 870 45.73
2018-04-20 13F-HR Cable Hill Partners, LLC 119 119 0.00 6 5 -16.67
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 9,381 400
2018-02-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 0 1,605 0 77
2018-02-28 N-Q Deutsche Income Trust (see advisory)
2018-02-07 13F-HR EFG Asset Management (Americas) Corp. 8,565 12,177 42.17 365 586 60.55
2018-01-31 13F-HR Front Row Advisors Llc 1,060 51
2018-02-14 13F-HR QS Investors, LLC 3,464 54 -98.44 148 3 -97.97
2018-02-14 13F-HR Caption Management, Llc Put 10,000 480
2018-01-26 N-Q Prudential Investment Portfolios 3 (see advisory)
2018-02-14 13F-HR Nuveen Asset Management, LLC 183,700 69,000 -62.44 7,829 3,318 -57.62
2018-02-14 13F-HR Utah Retirement Systems 17,735 17,835 0.56 756 857 13.36
2018-04-09 13F-HR VONTOBEL ASSET MANAGEMENT INC 873,116 870,752 -0.27 41,990 37,110 -11.62
2017-11-03 13F-HR ALPS ADVISORS INC 12,316 0 -100.00 460 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 3,000 6,900 130.00 128 332 159.38
2018-01-29 N-Q Nuveen Investment Trust Ii (see advisory)
2017-11-28 N-Q Guidestone Funds (see advisory)
2018-02-09 13F-HR FSI GROUP, LLC 46,000 2,212
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 6,849 6,669 -2.63 329 284 -13.68
2018-02-14 13F-HR D. E. Shaw & Co., Inc. Put 0 4,800 0 231
2018-02-13 13F-HR FJ Capital Management LLC 0 5,500 0 264
2018-02-14 13F-HR Paloma Partners Management Co 0 5,834 0 280
2018-02-28 N-Q Deutsche High Income Opportunities Fund, Inc. (see advisory)
2018-02-26 N-Q Baron Investment Funds Trust (f/k/a Baron Asset Fund) (see advisory)
2018-02-28 13F-HR/A-1 FEDERATED INVESTORS INC /PA/ 1,938,900 1,940,100 0.06 82,636 93,299 12.90
2018-02-14 13F-HR Verition Fund Management LLC 13,092 0 -100.00 558 0 -100.00
2018-02-13 13F-HR GAGNON SECURITIES LLC 407,043 403,355 -0.91 17,348 19,397 11.81
2018-02-09 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 10,125 10,125 0.00 431 487 12.99
2018-03-08 N-Q Calamos Convertible & High Income Fund (see advisory)
2017-11-14 13F-HR Walleye Trading LLC 10,447 0 -100.00 390 0 -100.00
2018-02-28 N-Q Goldman Sachs Trust (see advisory)
2018-01-26 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-08 13F-HR/A-1 Polaris Capital Management, LLC 64,000 64,000 0.00 2,728 3,078 12.83
2017-11-08 13F-HR Harbour Capital Advisors, LLC 22,416 0 -100.00 600 0 -100.00
2017-11-14 13F-HR ADVENT CAPITAL MANAGEMENT /DE/ Put 120 0 -100.00 2 0 -100.00
2017-11-28 N-Q Fidelity Garrison Street Trust (see advisory)
2018-02-05 13F-HR THOMPSON DAVIS & CO., INC. 253 0 -100.00 11 0 -100.00
2017-11-28 N-Q American Funds Insurance Series (see advisory)
2018-02-08 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 44,302 44,584 0.64 1,888 2,144 13.56
2018-01-17 13F-HR Cutler Group LP Put 1,800 3,000 66.67 0 0
2018-02-01 13F-HR Parametrica Management Ltd 4,688 225
2018-02-21 N-Q Pear Tree Funds (see advisory)
2017-11-27 N-Q Federated Insurance Series (see advisory)
2018-02-02 13F-HR US BANCORP \DE\ 1,509 1,733 14.84 64 84 31.25
2018-04-16 13F-HR PEREGRINE CAPITAL MANAGEMENT LLC 295,426 0 -100.00 14,207 0 -100.00
2018-02-07 13F-HR OPPENHEIMER & CO INC 130,021 129,888 -0.10 5,541 6,246 12.72
2017-12-29 N-Q Nushares Etf Trust (see advisory)
2018-02-09 13F-HR Royce & Associates LLC 1,382,300 1,341,204 -2.97 58,914 64,499 9.48

Form N-Q Advisory - Experimental Feature Here!

We have recently started to include coverage of N-Q filers in our ownership database. N-Q forms are unstructured and difficult for machines to parse into accurate financial data.

However, Because of the large number of these institutions and this difficulty in tracking their positions, they represent a significant, yet hidden, market force. In an effort to widen our ownership coverage and provide greater transparency, we are testing various ways to expose these owners in an accurate manner. This early version of the crawler simply identifies mentions of companies in the N-Q forms.

Limitations:

  • We only list underlying securities (the ordinary shares), even though the actual security held might be a derivative or a related bond issue. For example, although the institution is shown on this security page ( AL / Air Lease Corporation ), the institution may actually own a related security such as a preferred share or a bond. To find out the exact security, click on the institution link and then follow the link to the actual "N-Q".
  • We only list fund sponsors as institutions, even though the security might be held within a fund operated by the listed institution.. For example, the institution listed in the table as the owner is probably a sponsor of a family of ETFs or mutual funds. If so, then this security is owned by a fund or several funds within the family, and not directly owned by the listed institution. The crawler is not yet able to place these holdings within the individual funds. Atain, you must review the actual filing to see the detail.

These limitations are significant but we believe that the increased transparency outweights the limitations. Future revisions of the crawler will resolve these limitations. Use this information at your own risk!

Related Articles

RDHL: Redhill Biopharma Ltd (OTC:REDIF) Analysis and Research Report

2018-04-18 - Asif

History and Development of the Company The company's legal and commercial name is RedHill Biopharma Ltd. The company's company was incorporated on August 3, 2009, and was registered as a private company limited by shares under the laws of the State of Israel. The company's principal executive offices are located at 21 Ha’arba’a Street, Tel Aviv, Israel. In February 2011, the company completed its initial public offering in Israel, pursuant to which the company issued 14,302,300 Ordinary Shares, and 7,151,150 tradable Series 1 Warrants to purchase 7,151,150 Ordinary Shares for aggregate gross proceeds of approximately $14 million. On December 27, 2012, the company completed the listing of its ADSs on the NASDAQ Capital Market. The company's Ordinary Shares are traded on the Tel-Aviv Stock Exchange under the symbol “RDHL,” and its ADSs are traded on the NASDAQ Capital Market under the same symbol "RDHL". The company's capital expenditures for the years ended December 31, 2...

SCYX: SCYNEXIS Analysis and Research Report

2018-04-16 - Asif

Overview SCYNEXIS, Inc. is a biotechnology company committed to positively impacting the lives of patients suffering from difficult-to-treat and often life-threatening infections by delivering innovative anti-infective therapies. SCYNEXIS is developing its lead product candidate, SCY-078, as the first representative of a novel oral and intravenous (IV) triterpenoid antifungal family in clinical development for the treatment of several serious fungal infections, including invasive candidiasis, invasive aspergillosis, refractory invasive fungal infections and vulvovaginal candidiasis (VVC). SCY-078 is a structurally distinct glucan synthase inhibitor that has been shown to be effective in vitro and in vivo against a broad range of human fungi pathogens such as Candida and Aspergillus species, including multidrug-resistant strains, as well as Pneumocystis species. Candida and Aspergillus species are the fungi responsible for approximately 85% of all invasive fungal infections in t...

ENRT: Enertopia Corp (CNSX:TOP) Analysis and Research Report

2018-04-16 - Asif

Business History Enertopia Corp. was formed on November 24, 2004 under the laws of the State of Nevada and commenced operations on November 24, 2004. From inception until April 2010, the company were primarily engaged in the acquisition and exploration of natural resource properties. Beginning in April 2010, the company began its entry into the renewable energy sector by purchasing an interest in a solar thermal design and installation company. In late summer 2013, the company began its entry into medicinal marijuana business. During its 2014 fiscal year end its activities in the clean energy sector were discontinued. During fiscal 2015 its activities in the Medicinal Marijuana sector were discontinued. During fiscal 2016 its activities in the Women’s personal healthcare sector were discontinued. The Company is actively pursuing business opportunities in the resource sector, whereby the company signed a definitive agreement for a Lithium Brine Project in May 2016. In May ...

FB: Facebook Analysis and Research Report

2018-04-15 - Asif

Overview The company's mission is to give people the power to build community and bring the world closer together. The company's top priority is to build useful and engaging products that enable people to connect and share with friends and family through mobile devices, personal computers, and other surfaces. The company also help people discover and learn about what is going on in the world around them, enable people to share their opinions, ideas, photos and videos, and other activities with audiences ranging from their closest friends to the public at large, and stay connected everywhere by accessing its products, including: Facebook enables people to connect, share, discover, and communicate with each other on mobile devices and personal computers. There are a number of different ways to engage with people on Facebook, the most important of which is News Feed which displays an algorithmically-ranked series of stories and advertisements individualized for each pers...

VSTM: Verastem Analysis and Research Report

2018-04-12 - Asif

Business Overview Verastem is a biopharmaceutical company focused on developing and commercializing drugs to improve the survival and quality of life of cancer patients. The company's most advanced product candidates, duvelisib and defactinib, utilize a multi-faceted approach to treat cancers originating either in the blood or major organ systems. Verastem is currently evaluating these compounds in both preclinical and clinical studies as potential therapies for certain cancers, including leukemia, lymphoma, lung cancer, ovarian cancer, mesothelioma, and pancreatic cancer. The company believe that these compounds may be beneficial as therapeutics either as single agents or when used in combination with immuno-oncology agents or other current and emerging standard of care treatments in aggressive cancers that are poorly served by currently available therapies. Duvelisib targets the Phosphoinositide 3-kinase (PI3K) signaling pathway. The PI3K signaling pathway plays a centr...

CUSIP: 00912X302