SecurityCAA / CalAtlantic Group, Inc. (128195104)
Institutional Owners157 (149 N-Q Owners)
Institutional Shares1,515,674 - 1.37% (ex. N-Q)
Common Shares Outstanding110,334,484 shares (as of 2017-09-30)
Institutional Value$ 41,718,793,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

CalAtlantic Group, Inc. (NYSE:CAA) has 157 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 1,515,674 shares. Largest shareholders include Ubs Oconnor Llc, Norges Bank, Berkley W R Corp, S. Muoio & Co. Llc, Xact Kapitalforvaltning AB, Weaver C. Barksdale & Associates, Inc., Versant Capital Management, Inc, and Glenmede Trust Co Na.
CalAtlantic Group, Inc. (NYSE:CAA) ownership structure 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)
2018-04-27 13F-HR Mengis Capital Management, Inc. 22,580 0 -100.00 1,273 0 -100.00
2018-05-09 13F-HR IFP Advisors, Inc 1,258 0 -100.00 71 0 -100.00
2018-05-15 13F-HR Invesco Ltd. 962,948 0 -100.00 54,300 0 -100.00
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 540 0 -100.00 20 0 -100.00
2018-03-05 13F-HR/A NORGES BANK 393,738 510,007 29.53 14,745 28,760 95.05
2018-05-02 13F-HR Paulson Wealth Management Inc. 4 0 -100.00 0 0
2018-03-23 N-Q Pacer Funds Trust (see advisory)
2018-05-09 13F-HR GABELLI SECURITIES, INC. 286,593 0 -100.00 16,161 0 -100.00
2018-05-15 13F-HR Squarepoint Ops LLC 21,107 0 -100.00 1,190 0 -100.00
2018-05-14 13F-HR Arizona State Retirement System 54,797 0 -100.00 3,090 0 -100.00
2018-04-20 13F-HR/A Fisher Asset Management, LLC 2,182,745 0 -100.00 123,085 0 -100.00
2018-05-14 13F-HR ProShare Advisors LLC 7,133 0 -100.00 402 0 -100.00
2018-05-14 13F-HR Wealthcare Advisory Partners LLC 8 0 -100.00 0 0
2018-05-14 13F-HR PRINCIPAL FINANCIAL GROUP INC 324,571 0 -100.00 18,302 0 -100.00
2018-05-11 13F-HR OPPENHEIMER FUNDS INC 954,004 0 -100.00 53,796 0 -100.00
2018-02-13 13F-HR CREDIT AGRICOLE S A 6,587 0 -100.00 241 0 -100.00
2018-05-11 13F-HR Mutual of America Capital Management LLC 63,348 0 -100.00 3,572 0 -100.00
2018-04-10 13F-HR NISA INVESTMENT ADVISORS L.L.C. 39,141 0 -100.00 2,207 0 -100.00
2018-05-09 13F-HR KBC Group NV 53,873 0 -100.00 3,038 0 -100.00
2018-05-15 13F-HR TLP GROUP LLC 249 0 -100.00 14 0 -100.00
2018-02-13 13F-HR STEVENS CAPITAL MANAGEMENT LP 81,160 0 -100.00 2,973 0 -100.00
2018-05-14 13F-HR SUNTRUST BANKS INC 10,782 0 -100.00 607 0 -100.00
2018-05-08 13F-HR LS Investment Advisors, LLC 5,151 0 -100.00 290 0 -100.00
2018-05-22 13F-HR/A Summit Trail Advisors, Llc 47 0 -100.00 3 0 -100.00
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-05-15 13F-HR Holocene Advisors, Lp 17,920 0 -100.00 1,011 0 -100.00
2018-05-08 13F-HR Penserra Capital Management LLC 448 0 -100.00 25 0 -100.00
2018-02-14 13F-HR AMP Capital Investors Ltd 26,555 0 -100.00 973 0 -100.00
2018-05-15 13F-HR AQR CAPITAL MANAGEMENT LLC 54,595 0 -100.00 3,078 0 -100.00
2018-05-02 13F-HR Parkside Financial Bank & Trust 33 0 -100.00 2 0 -100.00
2018-02-28 N-Q Virtus Opportunities Trust (see advisory)
2018-02-09 13F-HR HAP Trading, LLC Call 18,300 0 -100.00 0 0
2018-04-19 13F-HR MATLINPATTERSON GLOBAL ADVISERS LLC 28,332,549 0 -100.00 1,597,672 0 -100.00
2018-05-10 13F-HR South Dakota Investment Council 163,730 0 -100.00 9,233 0 -100.00
2017-12-28 N-Q Fidelity Securities Fund (see advisory)
2018-05-15 13F-HR STATE STREET CORP 2,648,187 0 -100.00 149,327 0 -100.00
2018-04-24 13F-HR Paragon Capital Management Ltd 7,446 0 -100.00 420 0 -100.00
2018-05-07 13F-HR Vantage Financial Partners Ltd., Inc. 8,000 0 -100.00 452 0 -100.00
2018-01-25 N-Q Usaa Etf Trust (see advisory)
2018-02-08 13F-HR Advisory Services Network, LLC 47 0 -100.00 2 0 -100.00
2018-05-09 13F-HR FEDERATED INVESTORS INC /PA/ 30,205 0 -100.00 1,703 0 -100.00
2018-05-10 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 182,003 0 -100.00 10,263 0 -100.00
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 64,117 0 -100.00 2,349 0 -100.00
2018-03-23 N-Q Blackrock Multi-sector Income Trust (see advisory)
2018-02-13 13F-HR ASSETMARK, INC 1,008 0 -100.00 37 0 -100.00
2018-03-29 N-Q Oppenheimer Equity Income Fund (see advisory)
2018-02-26 N-Q Alliancebernstein Global High Income Fund Inc (see advisory)
2018-05-15 13F-HR Westchester Capital Management, LLC 806,805 0 -100.00 45,496 0 -100.00
2018-03-30 N-Q Fidelity Summer Street Trust (see advisory)
2018-02-14 13F-HR NGAM ADVISORS, L.P. 12,317 0 -100.00 451 0 -100.00
2018-04-20 13F-HR Steward Partners Investment Advisory, Llc 261 0 -100.00 14 0 -100.00
2018-04-23 13F-HR FIRST TRUST ADVISORS LP 281,204 0 -100.00 15,857 0 -100.00
2018-03-29 N-Q Eaton Vance Special Investment Trust (see advisory)
2018-03-29 N-Q First Trust High Income Long/short Fund (see advisory)
2018-03-01 N-Q Pimco Funds (see advisory)
2018-03-29 N-Q Columbia Funds Series Trust I (see advisory)
2018-02-13 13F-HR ClariVest Asset Management LLC 74,920 0 -100.00 2,744 0 -100.00
2018-03-29 N-Q Flexshares Trust (see advisory)
2018-03-27 N-Q Harbor Funds (see advisory)
2018-05-11 13F-HR ALPINE ASSOCIATES MANAGEMENT INC. 947,266 0 -100.00 53,417 0 -100.00
2018-04-02 N-Q Dunham Funds (see advisory)
2018-05-15 13F-HR P SCHOENFELD ASSET MANAGEMENT LP 376,100 0 -100.00 21,208 0 -100.00
2018-03-29 N-Q Mainstay Funds (see advisory)
2018-05-04 13F-HR VICTORY CAPITAL MANAGEMENT INC 2,799 0 -100.00 158 0 -100.00
2018-02-07 13F-HR Tricadia Capital Management, LLC 628,300 0 -100.00 23,015 0 -100.00
2018-05-15 13F-HR BUCKINGHAM CAPITAL MANAGEMENT INC 84,060 0 -100.00 4,740 0 -100.00
2018-05-11 13F-HR HAP Trading, LLC 91,436 0 -100.00 5,156 0 -100.00
2018-05-15 13F-HR Bluefin Trading, LLC 34,000 0 -100.00 1,917 0 -100.00
2018-03-22 N-Q Dreyfus Midcap Index Fund Inc (see advisory)
2018-03-19 N-Q TIAA-CREF FUNDS (see advisory)
2018-05-15 13F-HR Bank of New York Mellon Corp 911,542 0 -100.00 51,402 0 -100.00
2018-03-30 N-Q Fidelity Capital Trust (see advisory)
2017-12-29 N-Q Permanent Portfolio Family Of Funds (see advisory)
2018-05-09 13F-HR ENVESTNET ASSET MANAGEMENT INC 3,493 0 -100.00 197 0 -100.00
2018-05-15 13F-HR Natixis 536,744 0 -100.00 30,267 0 -100.00
2018-05-15 13F-HR Metlife Investment Advisors, Llc 48,168 0 -100.00 2,716 0 -100.00
2018-02-14 13F-HR Keeley-Teton Advisors, LLC 44,464 0 -100.00 1,629 0 -100.00
2018-02-28 N-Q Advisors Series Trust (see advisory)
2018-05-15 13F-HR CARLSON CAPITAL L P 2,872,577 0 -100.00 161,985 0 -100.00
2018-03-01 N-Q Value Line Asset Allocation Fund Inc (see advisory)
2018-05-15 13F-HR Lsp Investment Advisors, Llc 14,675 0 -100.00 828 0 -100.00
2018-05-15 13F-HR MILLENNIUM MANAGEMENT LLC 285,133 0 -100.00 16,079 0 -100.00
2018-03-29 N-Q Ishares Trust (see advisory)
2018-05-07 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 124,641 0 -100.00 7,029 0 -100.00
2018-03-30 N-Q Fidelity Advisor Series I (see advisory)
2018-05-15 13F-HR JANE STREET GROUP, LLC 25,049 0 -100.00 1,413 0 -100.00
2018-05-14 13F-HR Virtu Financial LLC 19,646 0 -100.00 1,108 0 -100.00
2018-05-15 13F-HR Halcyon Management Partners LP 267,479 0 -100.00 15,083 0 -100.00
2018-04-19 13F-HR Janney Montgomery Scott LLC 12,041 0 -100.00 679 0 -100.00
2018-03-29 N-Q Vanguard International Equity Index Funds (see advisory)
2018-05-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 401,982 0 -100.00 22,668 0 -100.00
2018-05-11 13F-HR Doyle Wealth Management 4,000 0 -100.00 226 0 -100.00
2018-05-14 13F-HR COMMONWEALTH BANK OF AUSTRALIA 984 0 -100.00 55 0 -100.00
2018-01-29 N-Q Invesco High Income Trust Ii (see advisory)
2018-03-29 N-Q Rydex Etf Trust (see advisory)
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN 333,220 0 -100.00 18,791 0 -100.00
2018-02-28 N-Q Leuthold Funds Inc (see advisory)
2018-03-27 N-Q PRINCIPAL FUNDS INC (see advisory)
2018-05-11 13F-HR HSBC HOLDINGS PLC 591,557 0 -100.00 33,358 0 -100.00
2018-04-20 13F-HR Seacrest Wealth Management, Llc 2,180 0 -100.00 123 0 -100.00
2018-01-29 N-Q Consulting Group Capital Markets Funds (see advisory)
2018-05-15 13F-HR Balentine LLC 71 0 -100.00 4 0 -100.00
2018-05-10 13F-HR Gator Capital Management, LLC 8,093 0 -100.00 456 0 -100.00
2018-05-14 13F-HR Nuveen Asset Management, LLC 424,475 0 -100.00 23,936 0 -100.00
2018-05-10 13F-HR Stratos Wealth Partners, LTD. 120 0 -100.00 7 0 -100.00
2018-05-15 13F-HR PAULSON & CO. INC. 51,000 0 -100.00 2,876 0 -100.00
2018-05-08 13F-HR US BANCORP \DE\ 8,677 0 -100.00 489 0 -100.00
2018-03-29 N-Q Columbia Funds Series Trust Ii (see advisory)
2018-05-10 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 46,475 0 -100.00 2,619 0 -100.00
2018-04-06 13F-HR Cerebellum Gp, Llc 2,233 0 -100.00 126 0 -100.00
2018-03-27 N-Q Schwab Capital Trust (see advisory)
2018-05-04 13F-HR VERTEX ONE ASSET MANAGEMENT INC. 189,000 0 -100.00 10,658 0 -100.00
2018-03-28 N-Q Putnam Global Equity Fund (see advisory)
2018-05-15 13F-HR SHELTON CAPITAL MANAGEMENT 5,208 0 -100.00 294 0 -100.00
2018-05-15 13F-HR SALEM INVESTMENT COUNSELORS INC 166,775 0 -100.00 9,404 0 -100.00
2018-05-07 13F-HR AMERICAN INTERNATIONAL GROUP INC 157,615 0 -100.00 8,888 0 -100.00
2017-12-29 N-Q Sunamerica Series Trust (see advisory)
2018-02-14 13F-HR CSS LLC/IL 5,337 0 -100.00 195 0 -100.00
2018-05-11 13F-HR DIMENSIONAL FUND ADVISORS LP 3,109,828 0 -100.00 175,367 0 -100.00
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 37 0 -100.00 1 0 -100.00
2018-02-14 13F-HR Neuburgh Advisers LLC 4,272 0 -100.00 157 0 -100.00
2018-03-29 N-Q Jpmorgan Trust Iii (see advisory)
2018-02-12 13F-HR Hutchin Hill Capital, LP 6,100 0 -100.00 223 0 -100.00
2018-05-16 13F-HR Private Capital Group, Llc 52 0 -100.00 3 0 -100.00
2018-05-17 13F-HR Atlantic Trust Group, LLC 1,015 0 -100.00 57 0 -100.00
2018-05-11 13F-HR Delpha Capital Management, Llc 58 0 -100.00 3 0 -100.00
2018-03-29 N-Q Ishares Inc (see advisory)
2018-05-15 13F-HR PANAGORA ASSET MANAGEMENT INC 2,230 0 -100.00 126 0 -100.00
2018-03-26 N-Q Legg Mason Etf Investment Trust (see advisory)
2018-03-01 N-Q Calvert Responsible Index Series, Inc. (see advisory)
2018-05-15 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 44,188 0 -100.00 2,492 0 -100.00
2018-05-15 13F-HR Quantitative Investment Management, LLC 195,000 0 -100.00 10,996 0 -100.00
2018-05-04 13F-HR LSV ASSET MANAGEMENT 664,877 0 -100.00 37,492 0 -100.00
2018-01-22 N-Q Blackrock Core Bond Trust (see advisory)
2018-02-28 N-Q Relative Value Fund (see advisory)
2018-05-09 13F-HR KAMES CAPITAL plc 14,168 0 -100.00 799 0 -100.00
2018-04-23 13F-HR World Asset Management Inc 4,658 0 -100.00 263 0 -100.00
2018-03-29 N-Q VANGUARD WINDSOR FUNDS (see advisory)
2018-05-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 18,906 0 -100.00 1,066 0 -100.00
2018-05-10 13F-HR QUADRANT CAPITAL GROUP LLC 196 0 -100.00 10 0 -100.00
2018-04-11 13F-HR ALPHA WINDWARD LLC 9,660 0 -100.00 545 0 -100.00
2018-02-14 13F-HR Sciencast Management LP 4,993 0 -100.00 242 0 -100.00
2018-05-15 13F-HR GMT Capital Corp 746,155 0 -100.00 42,076 0 -100.00
2018-04-20 13F-HR TEXAS PERMANENT SCHOOL FUND 51,462 0 -100.00 2,902 0 -100.00
2018-03-27 N-Q Federated Index Trust (see advisory)
2018-02-14 13F-HR Glen Harbor Capital Management LLC 5,874 0 -100.00 215 0 -100.00
2018-05-14 13F-HR DLD Asset Management, LP 17,600 0 -100.00 992 0 -100.00
2018-02-14 13F-HR BlueCrest Capital Management Ltd 6,033 0 -100.00 221 0 -100.00
2018-03-01 N-Q City National Rochdale Funds (see advisory)
2018-03-28 N-Q Neuberger Berman High Yield Strategies Fund Inc. (see advisory)
2018-01-25 13F-HR SHINE INVESTMENT ADVISORY SERVICES INC 136 0 -100.00 5 0 -100.00
2018-05-15 13F-HR Voya Investment Management LLC 21,768 0 -100.00 1,227 0 -100.00
2018-02-27 N-Q Pioneer Strategic Income Fund (see advisory)
2018-05-14 13F-HR ALLIANCEBERNSTEIN L.P. 1,958,136 0 -100.00 110,419 0 -100.00
2018-05-15 13F-HR Capital World Investors 750,800 0 -100.00 42,338 0 -100.00
2018-05-15 13F-HR EARNEST PARTNERS LLC 34 0 -100.00 2 0 -100.00
2018-05-01 13F-HR ARP AMERICAS LLC 134,162 0 -100.00 7,565 0 -100.00
2018-05-07 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 445,233 0 -100.00 25,107 0 -100.00
2018-03-23 N-Q Blackrock Credit Allocation Income Trust (see advisory)
2018-05-09 13F-HR COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 11,120 0 -100.00 627 0 -100.00
2018-03-29 N-Q Advisors' Inner Circle Fund (see advisory)
2018-05-07 13F-HR PM CAPITAL Ltd 196,600 0 -100.00 11,086 0 -100.00
2018-05-04 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 51,766 0 -100.00 2,919 0 -100.00
2018-01-22 N-Q Blackrock Ltd Duration Income Trust (see advisory)
2018-04-02 N-Q John Hancock Exchange-traded Fund Trust (see advisory)
2018-02-28 N-Q Gator Series Trust (see advisory)
2018-05-15 13F-HR CREDIT SUISSE AG/ Put 54,500 0 -100.00 3,073 0 -100.00
2018-01-26 N-Q Jpmorgan Trust Iv (see advisory)
2018-02-27 N-Q Touchstone Funds Group Trust (see advisory)
2018-03-29 N-Q Nuveen Investment Funds Inc (see advisory)
2018-02-28 N-Q Deutsche High Income Opportunities Fund, Inc. (see advisory)
2018-04-18 13F-HR REGIONS FINANCIAL CORP 3,683 0 -100.00 207 0 -100.00
2018-03-29 N-Q Direxion Shares Etf Trust (see advisory)
2018-05-04 13F-HR Financial Gravity Companies, Inc. 4 0 -100.00 0 0
2018-02-14 13F-HR BRINKER CAPITAL INC 11,027 0 -100.00 404 0 -100.00
2018-05-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 318,690 0 -100.00 17,971 0 -100.00
2018-05-14 13F-HR FMR LLC / Fidelity 4,106,487 0 -100.00 231,564 0 -100.00
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 98,705 0 -100.00 5,566 0 -100.00
2018-01-17 13F-HR MU Investments Co., Ltd. 800 0 -100.00 29 0 -100.00
2018-03-28 N-Q Neuberger Berman Alternative Funds (see advisory)
2018-02-14 13F-HR Verition Fund Management LLC 11,392 0 -100.00 417 0 -100.00
2018-03-29 N-Q Cambria Etf Trust (see advisory)
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Call 2,000 0 -100.00 113 0 -100.00
2018-05-11 13F-HR Cutler Group LP 100 0 -100.00 5 0 -100.00
2018-03-27 N-Q Nationwide Mutual Funds (see advisory)
2018-02-28 N-Q Gps Funds I (see advisory)
2018-05-15 13F-HR LMM LLC 100,000 0 -100.00 5,639 0 -100.00
2018-05-09 13F-HR GABELLI FUNDS LLC 180,915 0 -100.00 10,202 0 -100.00
2018-03-29 N-Q Deutsche Income Trust (see advisory)
2018-05-11 13F-HR Cambria Investment Management, L.P. 26,475 0 -100.00 1,493 0 -100.00
2018-05-14 13F-HR BROWN BROTHERS HARRIMAN & CO 75 0 -100.00 4 0 -100.00
2018-05-08 13F-HR STATE TREASURER STATE OF MICHIGAN 27,400 0 -100.00 1,545 0 -100.00
2018-03-28 N-Q HARTFORD MUTUAL FUNDS INC/CT (see advisory)
2018-05-01 13F-HR MONTGOMERY INVESTMENT MANAGEMENT INC 187,139 0 -100.00 10,552 0 -100.00
2018-02-28 N-Q Virtus Equity Trust (see advisory)
2018-05-01 13F-HR Hanson McClain, Inc. 3,520 0 -100.00 198 0 -100.00
2018-05-15 13F-HR Cubist Systematic Strategies, LLC 4,202 0 -100.00 237 0 -100.00
2018-05-15 13F-HR Grantham, Mayo, Van Otterloo & Co. LLC 463,278 0 -100.00 26,124 0 -100.00
2018-05-15 13F-HR Advisor Group, Inc. 1,038 0 -100.00 58 0 -100.00
2018-05-15 13F-HR GAM Holding AG 36,209 0 -100.00 2,042 0 -100.00
2018-03-23 N-Q Glenmede Fund Inc (see advisory)
2018-03-28 N-Q Prudential Investment Portfolios, Inc. 17 (see advisory)
2018-05-10 13F-HR First Personal Financial Services 154 0 -100.00 9 0 -100.00
2018-01-26 N-Q Fidelity Rutland Square Trust Ii (see advisory)
2018-01-26 N-Q Undiscovered Managers Funds (see advisory)
2018-04-30 13F-HR Assenagon Asset Management S.A. 213,829 0 -100.00 12,058 0 -100.00
2018-03-01 N-Q Loomis Sayles Funds I (see advisory)
2018-05-15 13F-HR ARROWGRASS CAPITAL PARTNERS (US) LP 4,302 0 -100.00 243 0 -100.00
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 41,200 0 -100.00 2,323 0 -100.00
2018-05-14 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 300 0 -100.00 17 0 -100.00
2018-02-14 13F-HR BlueMountain Capital Management, LLC 50,850 0 -100.00 1,863 0 -100.00
2017-12-29 N-Q Virtus Etf Trust Ii (see advisory)
2018-02-14 13F-HR RIVERHEAD CAPITAL MANAGEMENT LLC 4,745 0 -100.00 174 0 -100.00
2018-01-22 N-Q Blackrock Debt Strategies Fund, Inc. (see advisory)
2018-02-13 13F-HR Israel Discount Bank of New York 1,080 0 -100.00 40 0 -100.00
2018-05-01 13F-HR Clear Harbor Asset Management, LLC 7,400 0 -100.00 417 0 -100.00
2018-01-19 13F-HR GW&K Investment Management, LLC 1,060,982 0 -100.00 38,864 0 -100.00
2018-01-22 N-Q Blackrock Corporate High Yield Fund, Inc. (see advisory)
2018-05-09 13F-HR BlackRock Inc. 7,744,055 0 -100.00 436,687 0 -100.00
2018-03-29 N-Q Aim Investment Funds (invesco Investment Funds) (see advisory)
2018-04-26 13F-HR Winslow, Evans & Crocker, Inc. 12,626 0 -100.00 711,940 0 -100.00
2018-05-14 13F-HR Capital Analysts, Inc. 26,233 0 -100.00 1,479 0 -100.00
2018-02-27 N-Q Putnam Master Intermediate Income Trust (see advisory)
2018-03-27 N-Q Transamerica Funds (see advisory)
2018-02-13 13F-HR Mosaic Family Wealth, LLC 132 0 -100.00 5 0 -100.00
2018-05-10 13F-HR Winfield Associates, Inc. 25 0 -100.00 2 0 -100.00
2018-03-08 N-Q Calamos Convertible Opportunities & Income Fund (see advisory)
2018-03-29 N-Q Russell Investment Co (see advisory)
2018-05-15 13F-HR UBS Group AG 1,077,440 0 -100.00 60,757 0 -100.00
2018-05-11 13F-HR Quantbot Technologies LP 9,004 0 -100.00 507 0 -100.00
2018-05-14 13F-HR TEACHERS ADVISORS INC 111,943 0 -100.00 6,312 0 -100.00
2018-05-15 13F-HR PIONEER INVESTMENT MANAGEMENT INC 5,963 0 -100.00 336 0 -100.00
2018-05-15 13F-HR Paloma Partners Management Co 20,100 0 -100.00 1,134 0 -100.00
2018-05-15 13F-HR Point72 Asset Management, L.P. 6,100 0 -100.00 344 0 -100.00
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ 351,544 0 -100.00 19,824 0 -100.00
2018-03-28 N-Q Prudential Investment Portfolios 9 (see advisory)
2018-05-15 13F-HR D. E. Shaw & Co., Inc. 192,548 0 -100.00 10,858 0 -100.00
2018-05-15 13F-HR Walleye Trading LLC 118,063 0 -100.00 6,658 0 -100.00
2018-02-14 13F-HR PDT Partners, LLC 460,571 0 -100.00 16,871 0 -100.00
2018-02-13 13F-HR Echo Street Capital Management LLC 1,440,146 0 -100.00 52,753 0 -100.00
2018-02-26 N-Q Allianz Funds Multi-strategy Trust (see advisory)
2018-04-12 13F-HR OREGON PUBLIC EMPLOYEES RETIREMENT FUND 28,687 0 -100.00 1,618 0 -100.00
2018-05-15 13F-HR BARCLAYS PLC Call 35,800 0 -100.00 2,019 0 -100.00
2018-03-29 N-Q Mainstay Funds Trust (see advisory)
2018-04-30 13F-HR REILLY FINANCIAL ADVISORS, LLC 722 0 -100.00 41 0 -100.00
2018-05-08 13F-HR PACIFIC HEIGHTS ASSET MANAGEMENT LLC 107,000 0 -100.00 6,034 0 -100.00
2018-05-15 13F-HR Advisors Asset Management, Inc. 24 0 -100.00 1 0 -100.00
2018-05-15 13F-HR WOLVERINE TRADING, LLC Call 4,700 0 -100.00 265 0 -100.00
2018-03-29 N-Q Goldman Sachs Trust Ii (see advisory)
2017-12-28 N-Q Eaton Vance Growth Trust (see advisory)
2018-04-19 13F-HR State of Alaska, Department of Revenue 4,800 0 -100.00 270 0 -100.00
2018-01-31 13F-HR Malaga Cove Capital, LLC 2,300 0 -100.00 84 0 -100.00
2018-04-02 N-Q Etfis Series Trust I (see advisory)
2018-05-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 1,417,002 0 -100.00 79,905 0 -100.00
2018-03-01 N-Q Investment Managers Series Trust Ii (see advisory)
2018-05-14 13F-HR Sanders Capital, LLC 4,441,639 0 -100.00 273,171 0 -100.00
2018-05-15 13F-HR CSS LLC/IL Put 12,000 0 -100.00 677 0 -100.00
2018-05-08 13F-HR THRIVENT FINANCIAL FOR LUTHERANS 16,533 0 -100.00 932 0 -100.00
2018-05-09 13F-HR NORTHERN TRUST CORP 1,243,869 0 -100.00 70,142 0 -100.00
2018-02-14 13F-HR CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 2,241 0 -100.00 82 0 -100.00
2018-02-27 N-Q Massmutual Premier Funds (see advisory)
2018-05-15 13F-HR Beryl Capital Management Llc 482,384 0 -100.00 27,202 0 -100.00
2018-05-14 13F-HR BOOTHBAY FUND MANAGEMENT, LLC 20,058 0 -100.00 1,131 0 -100.00
2018-03-29 13F-HR/A Marshall Wace North America L.P. 17,858 0 -100.00 661 0 -100.00
2018-03-28 N-Q Neuberger Berman Income Funds (see advisory)
2018-02-28 N-Q Pacific Funds Series Trust (see advisory)
2018-05-03 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 176 0 -100.00 10 0 -100.00
2018-03-28 N-Q Prudential Investment Portfolios 16 (see advisory)
2018-05-14 13F-HR Shell Asset Management Co 14,398 0 -100.00 812 0 -100.00
2018-05-11 13F-HR Russell Investments Group, Ltd. 873,990 0 -100.00 49,754 0 -100.00
2018-03-30 N-Q Franklin Strategic Series (see advisory)
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-05-02 13F-HR HARVEST MANAGEMENT LLC 55,000 0 -100.00 3,101 0 -100.00
2018-05-11 13F-HR Gemmer Asset Management LLC 198 0 -100.00 11 0 -100.00
2018-05-15 13F-HR Delek Group, Ltd. 142,579 0 -100.00 8,034 0 -100.00
2018-02-28 N-Q Seasons Series Trust (see advisory)
2018-05-15 13F-HR BARCLAYS PLC 351,787 0 -100.00 19,837 0 -100.00
2018-02-09 13F-HR NORDEA INVESTMENT MANAGEMENT AB 132,874 0 -100.00 4,867 0 -100.00
2018-05-15 13F-HR Rafferty Asset Management, LLC 38,747 0 -100.00 2,185 0 -100.00
2018-03-08 N-Q Calamos Global Dynamic Income Fund (see advisory)
2018-05-15 13F-HR Alyeska Investment Group, L.P. 1,148,286 0 -100.00 64,752 0 -100.00
2018-05-11 13F-HR CITIGROUP INC 1,248,940 0 -100.00 70,428 0 -100.00
2018-03-30 N-Q Fidelity Salem Street Trust (see advisory)
2018-05-08 13F-HR Timber Hill LLC 3,685 0 -100.00 208 0 -100.00
2018-02-06 13F-HR ING GROEP NV 9,313 0 -100.00 341 0 -100.00
2018-03-29 N-Q Jpmorgan Trust I (see advisory)
2018-05-11 13F-HR CITIGROUP INC Put 29,100 0 -100.00 1,641 0 -100.00
2018-02-28 N-Q Guggenheim Funds Trust (see advisory)
2018-03-08 N-Q Calamos Convertible & High Income Fund (see advisory)
2018-05-04 13F-HR PRUDENTIAL FINANCIAL INC 56,157 0 -100.00 3,166 0 -100.00
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Put 17,200 0 -100.00 970 0 -100.00
2018-05-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 126,885 0 -100.00 7,155 0 -100.00
2018-02-20 N-Q Dreyfus High Yield Strategies Fund (see advisory)
2018-01-25 13F-HR FTB Advisors, Inc. 464 0 -100.00 17 0 -100.00
2017-12-29 N-Q First Trust Exchange-traded Alphadex Fund (see advisory)
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 5,919 0 -100.00 334 0 -100.00
2018-05-09 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 21,004 0 -100.00 770 0 -100.00
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC 1,696,112 0 -100.00 95,644 0 -100.00
2017-12-27 N-Q Advisors' Inner Circle Fund Ii (see advisory)
2018-01-10 13F-HR Weaver C. Barksdale & Associates, Inc. 978 659 -32.62 36 37 2.78
2018-05-14 13F-HR/A UBS OCONNOR LLC 30,095 739,047 2,355.71 1,105,000 41,675,000 3,671.49
2018-05-15 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC 262,400 0 -100.00 14,796 0 -100.00
2018-04-26 13F-HR SIMPLEX TRADING, LLC 4,870 0 -100.00 274 0 -100.00
2018-05-15 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 123,565 0 -100.00 6,968 0 -100.00
2018-05-11 13F-HR GLAZER CAPITAL, LLC 9,704 0 -100.00 547 0 -100.00
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 50,500 0 -100.00 2,848 0 -100.00
2018-05-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 130,405 0 -100.00 7,354 0 -100.00
2018-04-26 13F-HR SIMPLEX TRADING, LLC Call 12 0 -100.00 15 0 -100.00
2018-03-01 N-Q Aqr Funds (see advisory)
2018-05-09 13F-HR GAMCO INVESTORS, INC. ET AL 15,600 0 -100.00 880 0 -100.00
2018-04-30 13F-HR CIBC Asset Management Inc 3,874 0 -100.00 218 0 -100.00
2018-05-04 13F-HR RWC Asset Management LLP 258,016 0 -100.00 14,550 0 -100.00
2017-12-28 N-Q Fidelity Covington Trust (see advisory)
2018-02-28 N-Q Vivaldi Opportunities Fund (see advisory)
2018-04-30 13F-HR Advantus Capital Management Inc 9,376 0 -100.00 529 0 -100.00
2018-02-27 N-Q Blackrock Large Cap Series Funds, Inc. (see advisory)
2018-01-25 N-Q Columbia Funds Series Trust (see advisory)
2018-05-14 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 84,733 0 -100.00 4,778,093 0 -100.00
2018-03-27 N-Q Schwab Investments (see advisory)
2018-01-18 13F-HR FOX RUN MANAGEMENT, L.L.C. 31,700 0 -100.00 1,161 0 -100.00
2018-05-15 13F-HR WOLVERINE TRADING, LLC Put 14,200 0 -100.00 801 0 -100.00
2018-05-15 13F-HR TWO SIGMA INVESTMENTS LLC 3,973 0 -100.00 224 0 -100.00
2018-01-25 N-Q Putnam Funds Trust (see advisory)
2018-05-10 13F-HR BESSEMER GROUP INC 4,250 0 -100.00 240 0 -100.00
2018-05-14 13F-HR Barnett & Company, Inc. 18,840 0 -100.00 1,062 0 -100.00
2018-02-01 13F-HR Nationwide Fund Advisors 146,363 0 -100.00 5,361 0 -100.00
2018-05-11 13F-HR CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 232,000 0 -100.00 13,082 0 -100.00
2018-05-03 13F-HR STEPHENS INC /AR/ 15,956 0 -100.00 900 0 -100.00
2018-05-03 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 4,071 0 -100.00 230 0 -100.00
2018-02-14 13F-HR ARGI Investment Services, LLC 17,463 0 -100.00 640 0 -100.00
2018-05-03 13F-HR SG Americas Securities, LLC 47,041 0 -100.00 2,653 0 -100.00
2018-05-15 13F-HR Utah Retirement Systems 15,000 0 -100.00 846 0 -100.00
2018-05-11 13F-HR BNP PARIBAS ARBITRAGE, SA 16,929 0 -100.00 954,626 0 -100.00
2018-05-15 13F-HR GEODE CAPITAL MANAGEMENT, LLC 648,383 0 -100.00 36,562 0 -100.00
2018-03-28 N-Q Victory Portfolios (see advisory)
2018-05-15 13F-HR BANK OF NOVA SCOTIA 39,800 0 -100.00 2,244 0 -100.00
2018-03-29 N-Q Ab Unconstrained Bond Fund, Inc. (see advisory)
2018-05-14 13F-HR Pacer Advisors, Inc. 18,375 0 -100.00 1,036 0 -100.00
2018-04-30 13F-HR HUNTINGTON NATIONAL BANK 100 0 -100.00 6 0 -100.00
2018-03-27 N-Q Advantage Funds, Inc. (see advisory)
2018-05-15 13F-HR GUGGENHEIM CAPITAL LLC 164,446 0 -100.00 9,272 0 -100.00
2018-03-28 N-Q J.p. Morgan Exchange-traded Fund Trust (see advisory)
2018-05-11 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 1,574 0 -100.00 89 0 -100.00
2018-01-26 N-Q Vanguard Admiral Funds (see advisory)
2018-02-28 N-Q Guggenheim Energy & Income Fund (see advisory)
2018-05-15 13F-HR GLENMEDE TRUST CO NA 136 136 0.00 7 7 0.00
2018-03-01 N-Q Sei Institutional Managed Trust (see advisory)
2018-05-14 13F-HR Stone Ridge Asset Management LLC 14,912 0 -100.00 841 0 -100.00
2018-04-18 13F-HR Louisiana State Employees Retirement System 19,300 0 -100.00 1,088 0 -100.00
2018-05-14 13F-HR MASON STREET ADVISORS, LLC 37,507 0 -100.00 2,115 0 -100.00
2018-03-29 N-Q Nushares Etf Trust (see advisory)
2018-02-27 N-Q Northern Funds (see advisory)
2018-04-27 13F-HR Retirement Systems of Alabama 98,441 0 -100.00 5,551 0 -100.00
2018-02-05 13F-HR MALTESE CAPITAL MANAGEMENT LLC 158,200 0 -100.00 5,795 0 -100.00
2018-02-13 13F-HR DONALD SMITH & CO., INC. 1,752,049 0 -100.00 64,178 0 -100.00
2018-05-10 13F-HR MCF Advisors LLC 4,270 0 -100.00 241 0 -100.00
2018-05-11 13F-HR PENN CAPITAL MANAGEMENT CO INC 10,349 0 -100.00 584 0 -100.00
2018-05-15 13F-HR Institute for Wealth Management, LLC. 4,199 0 -100.00 237 0 -100.00
2018-02-26 N-Q Blackrock Funds Ii (see advisory)
2018-04-24 13F-HR NEW MEXICO EDUCATIONAL RETIREMENT BOARD 18,800 0 -100.00 1,060 0 -100.00
2018-03-29 N-Q Multisector Income Portfolio (see advisory)
2018-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 1,251 0 -100.00 71 0 -100.00
2018-03-08 N-Q Calamos Investment Trust/il (see advisory)
2018-05-08 13F-HR Aperio Group, LLC 59,047 0 -100.00 3,330 0 -100.00
2018-05-14 13F-HR SEVEN EIGHT CAPITAL, LLC 5,340 0 -100.00 301 0 -100.00
2018-01-16 13F-HR NEXT Financial Group, Inc 400 0 -100.00 15 0 -100.00
2018-02-27 N-Q Master Large Cap Series Llc (see advisory)
2018-05-15 13F-HR/A BERKLEY W R CORP 238,742 13,463
2018-05-14 13F-HR NORTHWESTERN MUTUAL INVESTMENT MANAGEMENT COMPANY, LLC 9,970 0 -100.00 562 0 -100.00
2018-05-14 13F-HR PROFUND ADVISORS LLC 8,823 0 -100.00 498 0 -100.00
2018-02-24 13F-HR/A Elkfork Partners LLC 7,476 0 -100.00 274 0 -100.00
2018-05-15 13F-HR CNH PARTNERS LLC 3,134,252 0 -100.00 176,740 0 -100.00
2018-05-15 13F-HR Premier Asset Managment LLC 274,220 0 -100.00 15,463 0 -100.00
2018-01-25 N-Q Prudential Investment Portfolios, Inc. 15 (see advisory)
2018-02-14 13F-HR Brandywine Global Investment Management, LLC 371,254 0 -100.00 13,600 0 -100.00
2018-05-10 13F-HR JP Morgan Chase & Co 1,547,412 0 -100.00 87,258 0 -100.00
2018-03-26 N-Q 1290 Funds (see advisory)
2018-02-27 N-Q Putnam Asset Allocation Funds (see advisory)
2018-05-11 13F-HR SEI INVESTMENTS CO 378 0 -100.00 21 0 -100.00
2018-02-15 13F-HR/A BROOKFIELD ASSET MANAGEMENT INC. 221,300 0 -100.00 8,106 0 -100.00
2018-02-28 N-Q Fidelity Central Investment Portfolios Llc (see advisory)
2018-03-14 N-Q Steward Funds, Inc. (see advisory)
2018-05-15 13F-HR WOLVERINE ASSET MANAGEMENT LLC 552 0 -100.00 31 0 -100.00
2018-02-05 13F-HR THOMPSON DAVIS & CO., INC. 2,581 0 -100.00 95 0 -100.00
2018-05-15 13F-HR BASSWOOD CAPITAL MANAGEMENT, L.L.C. 128,944 0 -100.00 7,271 0 -100.00
2018-05-11 13F-HR TEACHERS RETIREMENT SYSTEM OF THE STATE OF KENTUCKY 15,672 0 -100.00 884 0 -100.00
2018-05-17 13F-HR Legal & General Group Plc 108,369 0 -100.00 6,113 0 -100.00
2018-05-15 13F-HR VANGUARD GROUP INC 6,560,263 0 -100.00 369,933 0 -100.00
2018-05-09 13F-HR/A KCM INVESTMENT ADVISORS LLC 19,500 0 -100.00 1,100 0 -100.00
2018-03-29 N-Q Powershares Exchange-traded Fund Trust Ii (see advisory)
2018-02-14 13F-HR IHT Wealth Management, LLC 50 0 -100.00 2 0 -100.00
2018-05-15 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 135,712 0 -100.00 7,653 0 -100.00
2018-04-18 13F-HR WealthTrust-Arizona, LLC 389 0 -100.00 22 0 -100.00
2018-05-02 13F-HR RHUMBLINE ADVISERS 157,479 0 -100.00 8,880 0 -100.00
2018-05-15 13F-HR RBF Capital, LLC 5,095 0 -100.00 287 0 -100.00
2018-02-28 N-Q Wisdomtree Trust (see advisory)
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Put 400 0 -100.00 23 0 -100.00
2018-05-10 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 138,955 0 -100.00 7,836 0 -100.00
2018-05-15 13F-HR Lombard Odier Asset Management (USA) Corp 5,000 0 -100.00 282 0 -100.00
2018-04-30 13F-HR TCI Wealth Advisors, Inc. 20 0 -100.00 1 0 -100.00
2018-05-22 13F-HR AMALGAMATED BANK 16,269 0 -100.00 917 0 -100.00
2018-05-15 13F-HR CREDIT SUISSE AG/ 122,205 0 -100.00 6,889 0 -100.00
2018-05-08 13F-HR Neuberger Berman Group LLC 522,047 0 -100.00 29,482 0 -100.00
2018-04-18 13F-HR Versant Capital Management, Inc 195 195 0.00 7 10 42.86
2018-05-14 13F-HR AMERIPRISE FINANCIAL INC 276,476 0 -100.00 15,590 0 -100.00
2018-04-16 13F-HR Crossmark Global Holdings, Inc. 7,198 0 -100.00 406 0 -100.00
2018-05-09 13F-HR Liberty Mutual Group Asset Management Inc. 19,303 0 -100.00 1,088 0 -100.00
2018-01-29 N-Q Ultimus Managers Trust (see advisory)
2018-05-14 13F-HR/A CITADEL ADVISORS LLC 75,000 0 -100.00 4,229 0 -100.00
2018-05-15 13F-HR TUDOR INVESTMENT CORP ET AL 10,592 0 -100.00 597 0 -100.00
2018-05-23 13F-HR EQUITEC PROPRIETARY MARKETS, LLC Call 2,100 0 -100.00 0 0
2018-05-01 13F-HR COMERICA BANK 59,960 0 -100.00 3,810 0 -100.00
2018-05-15 13F-HR QS Investors, LLC 16 0 -100.00 1 0 -100.00
2018-02-28 N-Q Sunamerica Income Funds (see advisory)
2018-02-14 13F-HR AHL Partners LLP 12,219 0 -100.00 447 0 -100.00
2018-05-10 13F-HR Vantage Investment Advisors, LLC 200 0 -100.00 11 0 -100.00
2018-05-08 13F-HR FIRST MERCANTILE TRUST CO 7,690 0 -100.00 434 0 -100.00
2018-05-15 13F-HR BARCLAYS PLC Put 4,800 0 -100.00 271 0 -100.00
2018-05-11 13F-HR LONGFELLOW INVESTMENT MANAGEMENT CO LLC 125,000 0 -100.00 7,049 0 -100.00
2018-05-01 13F-HR NEW YORK STATE TEACHERS RETIREMENT SYSTEM 168,793 0 -100.00 9,518 0 -100.00
2018-05-15 13F-HR IndexIQ Advisors LLC 291,676 0 -100.00 16,448 0 -100.00
2018-01-29 N-Q Aim Investment Securities Funds (invesco Investment Securities Funds) (see advisory)
2018-01-25 13F-HR JENNISON ASSOCIATES LLC 985,366 0 -100.00 36,094 0 -100.00
2018-05-15 13F-HR Matthew 25 Management Corp 105,000 0 -100.00 5,921 0 -100.00
2018-02-27 N-Q Putnam Diversified Income Trust (see advisory)
2018-01-29 N-Q Invesco Bond Fund (see advisory)
2018-05-15 13F-HR DEUTSCHE BANK AG\ 278,082 0 -100.00 15,678 0 -100.00
2018-05-16 13F-HR Alpine Partners VI, LLC 135,594 0 -100.00 7,646 0 -100.00
2018-05-15 13F-HR People's United Financial, Inc. 9,629 0 -100.00 543 0 -100.00
2018-05-01 13F-HR WHITTIER TRUST CO 1,610 0 -100.00 91 0 -100.00
2018-01-23 13F-HR DENALI ADVISORS LLC 21,000 0 -100.00 769 0 -100.00
2018-05-15 13F-HR HANCOCK HOLDING CO 77 0 -100.00 4 0 -100.00
2018-03-29 N-Q Powershares Exchange Traded Fund Trust (see advisory)
2018-05-15 13F-HR AUA CAPITAL MANAGEMENT, LLC 261 0 -100.00 15 0 -100.00
2018-02-22 13F-HR Cable Hill Partners, LLC 123 0 -100.00 5 0 -100.00
2018-05-04 13F-HR Quantitative Systematic Strategies LLC 3,700 0 -100.00 209 0 -100.00
2018-05-15 13F-HR Silver Rock Financial LP 250,192 0 -100.00 14,106 0 -100.00
2018-05-15 13F-HR PUTNAM INVESTMENTS LLC 325,207 0 -100.00 18,338 0 -100.00
2018-05-02 13F-HR DREMAN VALUE MANAGEMENT, L L C 8,427 0 -100.00 475 0 -100.00
2018-01-30 N-Q Shelton Funds (see advisory)
2018-02-07 13F-HR FFCM LLC 407 0 -100.00 16 0 -100.00
2018-05-09 13F-HR Mint Tower Capital Management B.V. 13,976 0 -100.00 788 0 -100.00
2018-05-01 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 16,448 0 -100.00 928 0 -100.00
2018-02-28 N-Q Rydex Series Funds (see advisory)
2018-05-08 13F-HR TEACHER RETIREMENT SYSTEM OF TEXAS 26,301 0 -100.00 1,483 0 -100.00
2018-03-27 N-Q Indexiq Etf Trust (see advisory)
2018-01-26 N-Q Fidelity Income Fund /ma/ (see advisory)
2018-01-25 N-Q Putnam High Income Securities Fund (see advisory)
2018-03-29 N-Q Ab Bond Fund, Inc. (see advisory)
2018-05-14 13F-HR LOEWS CORP 6,900 0 -100.00 389 0 -100.00
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Call 49,100 0 -100.00 2,769 0 -100.00
2018-04-02 N-Q Pioneer High Yield Fund (see advisory)
2018-04-26 13F-HR Sadoff Investment Management LLC 608,800 0 -100.00 34,330 0 -100.00
2018-05-09 13F-HR Lee Financial CORP 6,280 0 -100.00 354 0 -100.00
2018-05-15 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 191,628 0 -100.00 10,806 0 -100.00
2018-02-27 N-Q Bernstein Sanford C Fund Inc (see advisory)
2018-05-04 13F-HR Swiss National Bank 131,286 0 -100.00 7,403 0 -100.00
2018-02-14 13F-HR Glacier Peak Capital LLC 16,000 0 -100.00 586 0 -100.00
2018-02-28 N-Q SMALLCAP WORLD FUND INC (see advisory)
2018-02-14 13F-HR/A S. MUOIO & CO. LLC 20,000 1,128
2018-04-04 13F-HR Norman Fields, Gottscho Capital Management, LLC 4,076 0 -100.00 230 0 -100.00
2018-04-26 13F-HR SIMPLEX TRADING, LLC Put 48 0 -100.00 2 0 -100.00
2018-05-15 13F-HR Point72 Asia (Hong Kong) Ltd 8,461 0 -100.00 477 0 -100.00
2018-05-14 13F-HR WATER ISLAND CAPITAL LLC 474,626 0 -100.00 26,764 0 -100.00
2017-12-28 N-Q Prudential Global Short Duration High Yield Fund, Inc. (see advisory)
2018-05-14 13F-HR MORGAN STANLEY 632,158 0 -100.00 35,649 0 -100.00
2018-05-14 13F-HR Itau Unibanco Holding S.A. 4,695 0 -100.00 265 0 -100.00
2018-05-11 13F-HR CITIGROUP INC Call 72,200 0 -100.00 4,071 0 -100.00
2018-02-12 13F-HR COMMERCE BANK 14,002 0 -100.00 513 0 -100.00
2017-12-26 N-Q Deutsche Portfolio Trust (see advisory)
2018-01-18 N-Q Allianzgi Convertible & Income 2024 Target Term Fund (see advisory)
2018-04-24 13F-HR Tarbox Group, Inc. 210 0 -100.00 12 0 -100.00
2018-05-10 13F-HR Municipal Employees' Retirement System of Michigan 23,000 0 -100.00 1,297 0 -100.00
2018-05-15 13F-HR HighTower Advisors, LLC 10,261 0 -100.00 579 0 -100.00
2018-05-07 13F-HR GREENHAVEN ASSOCIATES INC 3,071,013 0 -100.00 173,174 0 -100.00
2018-01-24 N-Q Deutsche Institutional Funds (see advisory)
2018-05-07 13F-HR EATON VANCE MANAGEMENT 81,580 0 -100.00 4,600 0 -100.00
2018-05-15 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 21,940 0 -100.00 1,237 0 -100.00
2018-05-15 13F-HR Ameritas Investment Partners, Inc. 22,859 0 -100.00 1,289 0 -100.00
2018-05-14 13F-HR K2 PRINCIPAL FUND, L.P. 39,651 0 -100.00 2,236 0 -100.00
2018-05-14 13F-HR Proficio Capital Partners LLC 7 0 -100.00 0 0
2018-02-14 13F-HR Meadow Creek Investment Management LLC 9,078 0 -100.00 333 0 -100.00
2018-02-21 13F-HR/A Xact Kapitalforvaltning AB 6,888 388
2018-03-30 N-Q Fidelity Concord Street Trust (see advisory)
2017-12-28 N-Q Putnam Premier Income Trust (see advisory)
2018-03-29 N-Q Ab High Income Fund Inc (see advisory)
2018-01-25 N-Q Ab Portfolios (see advisory)
2018-01-12 13F-HR Hexavest Inc. 3,355,992 0 -100.00 122,930 0 -100.00
2018-02-15 13F-HR Her Majesty the Queen in Right of the Province of Alberta as represented by Alberta Investment Management Corp 38,840 0 -100.00 1,423 0 -100.00
2018-02-27 N-Q Touchstone Strategic Trust (see advisory)
2018-05-15 13F-HR Tower Research Capital LLC (TRC) 947 0 -100.00 54 0 -100.00
2018-05-15 13F-HR LEUTHOLD GROUP, LLC 151,748 0 -100.00 8,557 0 -100.00
2018-05-15 13F-HR Magnetar Financial LLC 2,742,363 0 -100.00 154,642 0 -100.00

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 ( CAA / CalAtlantic Group, Inc. ), 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!

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Overview The company's mission is to deliver high-speed coherent optical interconnect products that transform communications networks, relied upon by cloud infrastructure operators and content and communication service providers, through improvements in performance and capacity and reductions in associated costs. By converting optical interconnect technology to a silicon-based technology, a process the company refer to as the siliconization of optical interconnect, the company believe Acacia Communications is leading a disruption that is analogous to the computing industry’s integration of multiple functions into a microprocessor. The company's products include a family of low-power coherent digital signal processor application-specific integrated circuits, or DSP ASICs, and silicon photonic integrated circuits, or silicon PICs, which Acacia Communications has integrated into families of optical interconnect modules with transmission speeds ranging from 100 to 400 gigabits per ...

ANTH: Anthera Pharmaceuticals Analysis and Research Report

2018-05-21 - Asif

Overview Anthera Pharmaceuticals, Inc. is a biopharmaceutical company focused on advancing the development and commercialization of innovative medicines that benefit patients with unmet medical needs. The company currently have two compounds in development, Sollpura and blisibimod. The company licensed Sollpura from Eli Lilly & Co (“Eli Lilly”) in July 2014. Sollpura is a novel non-porcine investigational Pancreatic Enzyme Replacement Therapy (“PERT”) intended for the treatment of patients with Exocrine Pancreatic Insufficiency (“EPI”), often seen in patients with cystic fibrosis and other conditions. The company licensed blisibimod from Amgen, Inc. (“Amgen”) in December 2007. Blisibimod targets B-cell activating factor, or BAFF, which has been shown to be elevated in a variety of B-cell mediated autoimmune diseases, including Immunoglobulin A nephropathy, or IgA nephropathy. Sollpura The exocrine pancreas is responsible for synthesis and secretion of digestive en...

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