Stock Institutional Ownership and Shareholders

SecurityAWH / Allied World Assurance Company Holding AG (H01531104)
President, CEO and ChairmanCarmilani Scott A
Institutional Owners5
Institutional Shares84,103,869
Outstanding Shares89,133,212 (as of 2017-03-31)
Institutional Value$ 53,161,000 USD

Allied World Assurance Company Holding AG (NYSE:AWH) has 5 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 84,103,869 shares. Largest shareholders include Fairfax Financial Holdings Ltd/ Can, Norges Bank, Alpine Group Usvi, Llc, Airain ltd, and Envestnet Asset Management Inc.


Allied World Assurance Company Holding AG (NYSE:AWH) 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 (x$1000) Current Value (x$1000) Change
(Percent)
2017-11-14 13F-HR QS Investors, LLC 125,742 0 -100.00 6,652 0 -100.00
2017-11-09 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 526,684 0 -100.00 27,862 0 -100.00
2017-08-02 13F-HR Foundry Partners, LLC 207,186 0 -100.00 11,002 0 -100.00
2017-07-27 13F-HR Kassirer Asset Management Corp 5,000 0 -100.00 266 0 -100.00
2017-11-14 13F-HR STATE STREET CORP 1,517,278 0 -100.00 80,264 0 -100.00
2017-10-16 13F-HR BANK OF MONTREAL /CAN/ 18,175 0 -100.00 962 0 -100.00
2017-11-13 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 145,157 0 -100.00 7,679 0 -100.00
2017-11-08 13F-HR Yorktown Management & Research Co Inc 6,000 0 -100.00 317 0 -100.00
2017-11-09 13F-HR Paradice Investment Management LLC 1,803,026 0 -100.00 95,380 0 -100.00
2017-11-06 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 46,469 0 -100.00 2,458 0 -100.00
2017-07-12 13F-HR SIMPLEX TRADING, LLC Call 276 0 -100.00 56 0 -100.00
2017-11-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 35,489 0 -100.00 1,877 0 -100.00
2017-11-14 13F-HR Overland Advisors, LLC 716,666 0 -100.00 37,912 0 -100.00
2017-08-08 13F-HR PRINCIPAL FINANCIAL GROUP INC 14,599 0 -100.00 775 0 -100.00
2017-10-24 13F-HR FIRST TRUST ADVISORS LP 68,861 0 -100.00 3,643 0 -100.00
2017-11-13 13F-HR Hudson Bay Capital Management LP 232,646 0 -100.00 12,307 0 -100.00
2017-10-12 13F-HR Livforsakringsbolaget Skandia, Omsesidigt 1,870 0 -100.00 99 0 -100.00
2017-11-13 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 223,972 0 -100.00 11,848 0 -100.00
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC 616,741 0 -100.00 32,626 0 -100.00
2017-11-14 13F-HR MILLENNIUM MANAGEMENT LLC 48,013 0 -100.00 2,540 0 -100.00
2017-11-13 13F-HR RAYMOND JAMES & ASSOCIATES 5,701 0 -100.00 302 0 -100.00
2017-11-08 13F-HR FAYEZ SAROFIM & CO 157,020 0 -100.00 8,306 0 -100.00
2017-11-13 13F-HR West Family Investments, Inc. 105,059 0 -100.00 3,998 0 -100.00
2017-11-14 13F-HR Cantab Capital Partners LLP 9,996 0 -100.00 529,000 0 -100.00
2017-11-14 13F-HR Walleye Trading LLC Call 140,000 0 -100.00 7,406 0 -100.00
2017-08-14 13F-HR CSS LLC/IL 33,900 0 -100.00 1,800 0 -100.00
2017-08-08 13F-HR Pacad Investment Ltd. 500 0 -100.00 27 0 -100.00
2017-11-09 13F-HR CITADEL ADVISORS LLC 6,591 0 -100.00 349 0 -100.00
2017-11-08 13F-HR STEPHENS INC /AR/ 6,251 0 -100.00 331 0 -100.00
2017-11-13 13F-HR Rafferty Asset Management, LLC 12,637 0 -100.00 668 0 -100.00
2017-10-24 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 313 0 -100.00 17 0 -100.00
2017-10-26 13F-HR Acrospire Investment Management LLC 200 0 -100.00 11 0 -100.00
2017-11-09 13F-HR VIRGINIA RETIREMENT SYSTEMS ET AL 6,800 0 -100.00 360 0 -100.00
2017-11-14 13F-HR Squarepoint Ops LLC 72,005 0 -100.00 3,809 0 -100.00
2017-11-14 13F-HR JANE STREET GROUP, LLC 27,812 0 -100.00 1,471 0 -100.00
2017-10-20 13F-HR HAVENS ADVISORS LLC 73,800 0 -100.00 3,904 0 -100.00
2017-08-07 13F-HR AMERICAN CENTURY COMPANIES INC 480,222 0 -100.00 25,500 0 -100.00
2017-07-18 13F-HR/A-2 BOOTHBAY FUND MANAGEMENT, LLC 0 0 -100.00 0 0
2017-11-14 13F-HR GLENMEDE TRUST CO NA 1,200 0 -100.00 63 0 -100.00
2017-11-13 13F-HR Nicholas Investment Partners, LP 1,100,000 0 -100.00 58,190 0 -100.00
2017-08-14 13F-HR NOMURA ASSET MANAGEMENT CO LTD 0 0 0 0
2017-08-14 13F-HR Magnetar Financial LLC 0 0 0 0
2017-11-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 98,749 0 -100.00 5,224 0 -100.00
2017-09-30 13F-HR CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 87,853 0 -100.00 4,647 0 -100.00
2017-11-13 13F-HR DIMENSIONAL FUND ADVISORS LP 3,182,035 0 -100.00 168,332 0 -100.00
2017-10-26 13F-HR DELTA ASSET MANAGEMENT LLC/TN 666 0 -100.00 35 0 -100.00
2017-11-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 720 0 -100.00 38 0 -100.00
2017-11-03 13F-HR Tradewinds Capital Management, LLC 162 0 -100.00 9 0 -100.00
2017-08-14 13F-HR Jefferies Group LLC 30,268 0 -100.00 1,607 0 -100.00
2017-11-14 13F-HR Paloma Partners Management Co 40,155 0 -100.00 2,124 0 -100.00
2017-10-23 13F-HR Nationwide Fund Advisors 12,028 0 -100.00 636 0 -100.00
2017-11-14 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 43,274 0 -100.00 2,289 0 -100.00
2017-07-27 13F-HR NGAM ADVISORS, L.P. 35,788 0 -100.00 1,900 0 -100.00
2017-11-14 13F-HR Bluefin Trading, LLC 1,801,234 0 -100.00 95,286 0 -100.00
2017-10-16 13F-HR CWM, LLC 29 0 -100.00 2 0 -100.00
2017-11-14 13F-HR WATER ISLAND CAPITAL LLC 3,401,973 0 -100.00 180,675 0 -100.00
2017-11-14 13F-HR Hutchin Hill Capital, LP 1,230,240 0 -100.00 65,080 0 -100.00
2017-10-16 13F-HR State of Alaska, Department of Revenue 24,426 0 -100.00 1,292 0 -100.00
2017-11-08 13F-HR FULLER & THALER ASSET MANAGEMENT, INC. 3,600 0 -100.00 190 0 -100.00
2017-11-09 13F-HR Legal & General Group Plc 77,185 0 -100.00 4,084 0 -100.00
2017-08-07 13F-HR LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 900 0 -100.00 48 0 -100.00
2017-11-13 13F-HR KBC Group NV 4,151 0 -100.00 199 0 -100.00
2017-11-13 13F-HR ALLIANCEBERNSTEIN L.P. 55,076 0 -100.00 2,914 0 -100.00
2017-11-08 13F-HR ALPINE WOODS CAPITAL INVESTORS, LLC 55,000 0 -100.00 2,910 0 -100.00
2017-08-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 9,444 0 -100.00 501 0 -100.00
2017-08-14 13F-HR Allianz Asset Management AG 21,245 0 -100.00 1,128 0 -100.00
2017-10-24 13F-HR Aperio Group, LLC 49,646 0 -100.00 2,626 0 -100.00
2017-08-04 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 153,532 0 -100.00 8,153 0 -100.00
2017-09-22 13F-HR/A-1 HighTower Advisors, LLC 4,467 0 -100.00 237 0 -100.00
2017-11-07 13F-HR SG Americas Securities, LLC 7,761 0 -100.00 411 0 -100.00
2017-11-14 13F-HR COWEN GROUP, INC. 150,405 0 -100.00 7,956 0 -100.00
2017-11-14 13F-HR GEODE CAPITAL MANAGEMENT, LLC 710,638 0 -100.00 37,592 0 -100.00
2017-11-14 13F-HR Yakira Capital Management, Inc. 423,540 0 -100.00 22,405 0 -100.00
2017-11-13 13F-HR Utah Retirement Systems 15,574 0 -100.00 824 0 -100.00
2017-11-13 13F-HR/A-1 ALPINE ASSOCIATES MANAGEMENT INC. 2,232,838 0 -100.00 118,117 0 -100.00
2017-11-01 13F-HR GABELLI SECURITIES, INC. 438,420 0 -100.00 23,192 0 -100.00
2017-11-14 13F-HR CNH PARTNERS LLC 553,787 0 -100.00 29,295 0 -100.00
2017-11-02 13F-HR Jacobi Capital Management LLC 104 0 -100.00 5 0 -100.00
2017-08-04 13F-HR WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC 17,774 0 -100.00 944 0 -100.00
2017-11-15 13F-HR/A-1 Parallel Advisors, LLC 724 0 -100.00 36 0 -100.00
2017-11-01 13F-HR GABELLI FUNDS LLC 267,917 0 -100.00 14,173 0 -100.00
2017-11-14 13F-HR Ursa Fund Management, LLC 608,820 0 -100.00 32,207 0 -100.00
2017-11-15 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 271,800 0 -100.00 14,378 0 -100.00
2017-11-14 13F-HR Polar Capital LLP 501,700 0 -100.00 26,540 0 -100.00
2017-08-14 13F-HR GROUP ONE TRADING, L.P. 1,500 0 -100.00 80 0 -100.00
2017-11-14 13F-HR BancorpSouth Inc 4,965 0 -100.00 263 0 -100.00
2017-11-13 13F-HR VERTEX ONE ASSET MANAGEMENT INC. 102,976 0 -100.00 5,447 0 -100.00
2017-11-14 13F-HR UBS Group AG 10,089 0 -100.00 534 0 -100.00
2017-11-06 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 187,000 0 -100.00 9,892 0 -100.00
2017-07-19 13F-HR REILLY FINANCIAL ADVISORS, LLC 171 0 -100.00 9 0 -100.00
2017-07-14 SC 13D FAIRFAX FINANCIAL HOLDINGS LTD/ CAN 82,845,778
2017-08-14 13F-HR Zions Bancorporation 69 0 -100.00 4 0 -100.00
2017-11-14 13F-HR AQR CAPITAL MANAGEMENT LLC 166,758 0 -100.00 8,822 0 -100.00
2017-11-14 13F-HR D. E. Shaw & Co., Inc. 464,999 0 -100.00 24,598 0 -100.00
2017-11-13 13F-HR FMR LLC / Fidelity Management & Research 1,840,946 0 -100.00 97,386 0 -100.00
2017-11-10 13F-HR SALZHAUER MICHAEL 7,458 0 -100.00 395 0 -100.00
2017-11-14 13F-HR FIFTH THIRD BANCORP 486 0 -100.00 26 0 -100.00
2017-11-13 13F-HR/A-1 NORGES BANK 897,446 936,785 4.38 31,536 36,165 14.68
2017-11-14 13F-HR NOMURA HOLDINGS INC 54,574 0 -100.00 2,889 0 -100.00
2017-11-13 13F-HR LSV ASSET MANAGEMENT 203,600 0 -100.00 10,770 0 -100.00
2017-11-14 13F-HR Sciencast Management LP 11,900 0 -100.00 630 0 -100.00
2017-11-13 13F-HR COMMONWEALTH BANK OF AUSTRALIA 8,581 0 -100.00 453 0 -100.00
2017-11-14 13F-HR Alpine Partners VI, LLC 299,241 0 -100.00 15,830 0 -100.00
2017-11-14 13F-HR Invesco Ltd. 29,082 0 -100.00 1,539 0 -100.00
2017-08-11 13F-HR NEW YORK STATE TEACHERS RETIREMENT SYSTEM 7,700 0 -100.00 409 0 -100.00
2017-11-14 13F-HR CREDIT SUISSE AG/ 330,210 0 -100.00 17,467 0 -100.00
2017-11-14 13F-HR PANAGORA ASSET MANAGEMENT INC 20,146 0 -100.00 1,066 0 -100.00
2017-11-13 13F-HR Laurion Capital Management LP 6,100 0 -100.00 323 0 -100.00
2017-08-14 13F-HR Point72 Asia (Hong Kong) Ltd 33 0 -100.00 2 0 -100.00
2017-08-04 13F-HR FRONTIER CAPITAL MANAGEMENT CO LLC 849 0 -100.00 45 0 -100.00
2017-08-11 13F-HR K2 PRINCIPAL FUND, L.P. 160,270 0 -100.00 8,510 0 -100.00
2017-11-14 13F-HR BlackRock Inc. 3,523,613 0 -100.00 186,397 0 -100.00
2017-11-13 13F-HR TEACHERS ADVISORS INC 491,029 0 -100.00 25,975 0 -100.00
2017-08-14 13F-HR HSBC HOLDINGS PLC 9,755 0 -100.00 518 0 -100.00
2017-11-13 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 68,696 0 -100.00 3,634,019 0 -100.00
2017-08-09 13F-HR P SCHOENFELD ASSET MANAGEMENT LP 297,692 0 -100.00 15,807 0 -100.00
2017-11-07 13F-HR Russell Investments Group, Ltd. 100,089 0 -100.00 5,296 0 -100.00
2017-08-14 13F-HR Alpine Group Usvi, Llc 299,241 15,830
2017-11-13 13F-HR WELLINGTON MANAGEMENT GROUP LLP 124,384 0 -100.00 6,579 0 -100.00
2017-11-13 13F-HR Manikay Partners, LLC 1,200,000 0 -100.00 63,480 0 -100.00
2017-08-09 13F-HR Stockman Asset Management 8,500 0 -100.00 451 0 -100.00
2017-10-25 13F-HR FIRST MANHATTAN CO 87 0 -100.00 4 0 -100.00
2017-11-13 13F-HR BAR HARBOR TRUST SERVICES 144,721 0 -100.00 7,656 0 -100.00
2017-11-13 13F-HR DLD Asset Management, LP 15,598 0 -100.00 825 0 -100.00
2017-11-14 13F-HR HIGHLAND CAPITAL MANAGEMENT LP 62,800 0 -100.00 3,322 0 -100.00
2017-11-09 13F-HR AMALGAMATED BANK 15,463 0 -100.00 818 0 -100.00
2017-11-13 13F-HR ProShare Advisors LLC 12,552 0 -100.00 664 0 -100.00
2017-11-14 13F-HR CSS LLC/IL Put 63,400 0 -100.00 3,354 0 -100.00
2017-10-25 13F-HR SIMPLEX TRADING, LLC 3,768 0 -100.00 199 0 -100.00
2017-11-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 1,845 0 -100.00 98 0 -100.00
2017-11-20 13F-HR GSA CAPITAL PARTNERS LLP 21,539 0 -100.00 1,139 0 -100.00
2017-07-18 13F-HR NISA INVESTMENT ADVISORS L.L.C. 16,000 0 -100.00 850 0 -100.00
2017-10-16 13F-HR SEVEN EIGHT CAPITAL, LLC 39,800 0 -100.00 2,105 0 -100.00
2017-11-13 13F-HR US BANCORP \DE\ 669 0 -100.00 35 0 -100.00
2017-11-13 13F-HR Champlain Investment Partners, LLC 3,552,651 0 -100.00 187,935 0 -100.00
2017-11-14 13F-HR Voya Investment Management LLC 70,605 0 -100.00 3,735 0 -100.00
2017-11-02 13F-HR HARVEST MANAGEMENT LLC 82,500 0 -100.00 4,364 0 -100.00
2017-11-14 13F-HR HighVista Strategies LLC 265,582 0 -100.00 14,049 0 -100.00
2017-08-08 13F-HR Airain ltd 284,814 20,000 -92.98 15,124 1,058 -93.00
2017-08-14 13F-HR GUGGENHEIM CAPITAL LLC 10,941 0 -100.00 581 0 -100.00
2017-11-13 13F-HR CITIGROUP INC 1,359,461 0 -100.00 71,915 0 -100.00
2017-11-14 13F-HR SUNTRUST BANKS INC 10,651 0 -100.00 562 0 -100.00
2017-10-12 13F-HR Advisory Services Network, LLC 127 0 -100.00 7 0 -100.00
2017-11-06 13F-HR RHUMBLINE ADVISERS 78,178 0 -100.00 4,136 0 -100.00
2017-10-17 13F-HR Cutler Group LP 2,800 0 -100.00 148 0 -100.00
2017-11-13 13F-HR COCONUT GROVE BANK 1,370 0 -100.00 72 0 -100.00
2017-10-23 13F-HR RELIANCE TRUST CO OF DELAWARE 7,209 0 -100.00 381 0 -100.00
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 12,628 0 -100.00 668 0 -100.00
2017-10-30 13F-HR IFP Advisors, Inc 22 0 -100.00 1 0 -100.00
2017-08-14 13F-HR Grantham, Mayo, Van Otterloo & Co. LLC 401,000 0 -100.00 21,293 0 -100.00
2017-11-14 13F-HR DEUTSCHE BANK AG\ 585,582 0 -100.00 30,975 0 -100.00
2017-08-14 13F-HR SEGALL BRYANT & HAMILL, LLC 5,550 0 -100.00 295 0 -100.00
2017-11-01 13F-HR GAMCO INVESTORS, INC. ET AL 46,148 0 -100.00 2,441 0 -100.00
2017-10-19 13F-HR MYCIO WEALTH PARTNERS, LLC 12,260 0 -100.00 651 0 -100.00
2017-11-09 13F-HR WELLS FARGO & COMPANY/MN 496,797 0 -100.00 26,280 0 -100.00
2017-11-08 13F-HR Plante Moran Financial Advisors, LLC 63 0 -100.00 3 0 -100.00
2017-08-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC 250,600 0 -100.00 13,307 0 -100.00
2017-05-26 13F-HR Calvert Investment Management, Inc. 6,222 0 -100.00 334 0 -100.00
2017-08-08 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 22 0 -100.00 1 0 -100.00
2017-08-14 13F-HR Pine River Capital Management L.P. 200,025 0 -100.00 10,621 0 -100.00
2017-07-24 13F-HR Breton Hill Capital Ltd. 20,866 0 -100.00 1,108 0 -100.00
2017-08-14 13F-HR CARLSON CAPITAL L P 2,120,000 0 -100.00 112,572 0 -100.00
2017-11-14 13F-HR HENDERSON GROUP PLC 72,110 0 -100.00 3,815 0 -100.00
2017-08-14 13F-HR Halcyon Management Partners LP 63,981 0 -100.00 3,397 0 -100.00
2017-10-21 13F-HR WHITTIER TRUST CO 400 0 -100.00 21 0 -100.00
2017-08-03 13F-HR COMERICA BANK 51,288 0 -100.00 2,721 0 -100.00
2017-07-14 13F-HR Eqis Capital Management, Inc. 11,619 0 -100.00 617 0 -100.00
2017-11-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 25,505 0 -100.00 1,349 0 -100.00
2017-11-14 13F-HR BERKLEY W R CORP 72,670 0 -100.00 3,844 0 -100.00
2017-08-07 13F-HR Karp Capital Management Corp 47,695 0 -100.00 2,533 0 -100.00
2017-11-14 13F-HR ROYAL BANK OF CANADA 11,782 0 -100.00 623 0 -100.00
2017-07-20 13F-HR BB&T CORP 8,454 0 -100.00 449 0 -100.00
2017-11-14 13F-HR MORGAN STANLEY 83,430 0 -100.00 4,414 0 -100.00
2017-11-13 13F-HR S. MUOIO & CO. LLC 140,000 0 -100.00 7,406 0 -100.00
2017-11-15 13F-HR Neuberger Berman Group LLC 10,000 0 -100.00 529 0 -100.00
2017-08-10 13F-HR Century Capital Management, LLC 49,604 0 -100.00 2,634 0 -100.00
2017-08-14 13F-HR AVALON ADVISORS, LLC 151,621 0 -100.00 8,051 0 -100.00
2017-11-14 13F-HR ADVISORY RESEARCH INC 10,295 0 -100.00 545 0 -100.00
2017-11-06 13F-HR SEI INVESTMENTS CO 135,073 0 -100.00 7,146 0 -100.00
2017-08-14 13F-HR Keeley-Teton Advisors, LLC 13,910 0 -100.00 739 0 -100.00
2017-10-19 13F-HR Winslow, Evans & Crocker, Inc. 96 0 -100.00 5,078 0 -100.00
2017-11-14 13F-HR A.R.T. Advisors, LLC 3,900 0 -100.00 206 0 -100.00
2017-08-14 13F-HR Gideon Capital Advisors, Inc. 5,789 0 -100.00 307 0 -100.00
2017-11-13 13F-HR Omnia Family Wealth, LLC 68 0 -100.00 4 0 -100.00
2017-11-14 13F-HR Davidson Kempner Capital Management LP 3,039,041 0 -100.00 160,765 0 -100.00
2017-10-20 13F-HR MEEDER ASSET MANAGEMENT INC 11,287 0 -100.00 597 0 -100.00
2017-08-14 13F-HR EULAV Asset Management 72,000 0 -100.00 3,823 0 -100.00
2017-11-13 13F-HR ENVESTNET ASSET MANAGEMENT INC 2,768 2,065 -25.40 145 108 -25.52
2017-11-03 13F-HR BNP PARIBAS ARBITRAGE, SA 1,563 0 -100.00 82,683 0 -100.00
2017-11-13 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 2,410 0 -100.00 127 0 -100.00
2017-11-01 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 17,000 0 -100.00 899 0 -100.00
2017-11-02 13F-HR IndexIQ Advisors LLC 75,368 0 -100.00 3,987 0 -100.00
2017-11-13 13F-HR Artisan Partners Limited Partnership 2,492,283 0 -100.00 131,842 0 -100.00
2017-11-14 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC 1,310,119 0 -100.00 69,305 0 -100.00
2017-11-01 13F-HR Parkwood LLC 4,125 0 -100.00 218 0 -100.00
2017-11-09 13F-HR FNY Partners Fund LP 1,031,230 0 -100.00 54,552 0 -100.00
2017-10-30 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 20,253 0 -100.00 1,071 0 -100.00
2017-11-15 13F-HR Cambria Investment Management, L.P. 24,656 0 -100.00 1,304 0 -100.00
2017-11-14 13F-HR Hunting Hill Global Capital, LLC 68,000 0 -100.00 3,597 0 -100.00
2017-11-14 13F-HR GLAZER CAPITAL, LLC 1,377,360 0 -100.00 72,862 0 -100.00
2017-11-13 13F-HR/A-1 OMNI PARTNERS LLP 810,203 0 -100.00 42,846 0 -100.00
2017-08-08 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 3,116 0 -100.00 165 0 -100.00
2017-11-14 13F-HR Cubist Systematic Strategies, LLC 20,088 0 -100.00 1,063 0 -100.00
2017-11-14 13F-HR BARCLAYS PLC 85,186 0 -100.00 4,506 0 -100.00
2017-08-14 13F-HR LPL Financial LLC 4,887 0 -100.00 260 0 -100.00
2017-11-03 13F-HR BESSEMER GROUP INC 1,360 0 -100.00 72 0 -100.00
2017-08-11 13F-HR M&T BANK CORP 11,911 0 -100.00 634 0 -100.00
2017-11-13 13F-HR NORTHERN TRUST CORP 789,287 0 -100.00 41,753 0 -100.00
2017-08-09 13F-HR Vivaldi Asset Management, LLC 992,426 0 -100.00 52,697,821 0 -100.00
2017-05-25 13F-HR Proficio Capital Partners LLC 237 0 -100.00 13 0 -100.00
2017-10-17 13F-HR American Research & Management Co. 300 0 -100.00 16 0 -100.00
2017-11-07 13F-HR AMERIPRISE FINANCIAL INC 137,979 0 -100.00 7,300 0 -100.00
2017-11-08 13F-HR ASSETMARK, INC 3,398 0 -100.00 180 0 -100.00
2017-10-10 13F-HR Baystate Wealth Management LLC 66 0 -100.00 3 0 -100.00
2017-11-06 13F-HR Advisor Group, Inc. 86 0 -100.00 4 0 -100.00
2017-08-09 13F-HR EAGLE BOSTON INVESTMENT MANAGEMENT INC 30,912 0 -100.00 1,641 0 -100.00
2017-10-17 13F-HR Creative Planning 1,581 0 -100.00 84 0 -100.00
2017-11-06 13F-HR Bank of New York Mellon Corp 330,165 0 -100.00 17,465 0 -100.00
2017-08-09 13F-HR Vivaldi Capital Management, LLC 114,359 0 -100.00 6,072,463 0 -100.00
2017-11-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 136,253 0 -100.00 7,208 0 -100.00
2017-11-14 13F-HR THRIVENT FINANCIAL FOR LUTHERANS 244,210 0 -100.00 12,918 0 -100.00
2017-11-03 13F-HR Swiss National Bank 145,172 0 -100.00 7,680 0 -100.00
2017-11-14 13F-HR MENTA CAPITAL LLC 10,769 0 -100.00 570 0 -100.00
2017-08-14 13F-HR Aristotle Capital Boston, LLC 20,636 0 -100.00 1,096 0 -100.00
2017-11-09 13F-HR JP MORGAN CHASE & CO 2,858,832 0 -100.00 151,233 0 -100.00
2017-10-19 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 600 0 -100.00 32 0 -100.00
2017-11-14 13F-HR VANGUARD GROUP INC 6,025,693 0 -100.00 318,759 0 -100.00
2017-08-01 13F-HR KELLY LAWRENCE W & ASSOCIATES INC/CA 9 0 -100.00 0 0
2017-11-06 13F-HR CI Global Investments Inc. 568,170 0 -100.00 30,056 0 -100.00
2017-08-14 13F-HR Walleye Trading LLC Put 500 0 -100.00 27 0 -100.00
2017-11-14 13F-HR Ursa Fund Management, LLC Call 167,900 0 -100.00 8,882 0 -100.00
2017-11-14 13F-HR Clearbridge Investments, LLC 750,447 0 -100.00 39,699 0 -100.00
2017-11-14 13F-HR TWO SIGMA INVESTMENTS LLC 385,050 0 -100.00 20,369 0 -100.00
2017-11-14 13F-HR BANK OF AMERICA CORP /DE/ 1,824,401 0 -100.00 96,511 0 -100.00
2017-11-06 13F-HR TEACHER RETIREMENT SYSTEM OF TEXAS 6,985 0 -100.00 370 0 -100.00
2017-10-30 13F-HR BBVA COMPASS BANCSHARES, INC 9,804 0 -100.00 518 0 -100.00
CUSIP: H01531104