SecurityCPN / Calpine Corp. (131347304)
Institutional Owners427 (176 N-Q Owners)
Institutional Shares294,258,031 - 81.62% (ex. N-Q)
Common Shares Outstanding360,543,323 shares (as of 2017-12-31)
Institutional Value$ 26,063,514,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

Calpine Corp. (NYSE:CPN) has 427 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 294,258,031 shares. Largest shareholders include Vanguard Group Inc, Marble Holdings, Llc, Ecp Controlco, Llc, BlackRock Inc., Farallon Capital Management Llc, Hotchkis & Wiley Capital Management Llc, Dimensional Fund Advisors Lp, Deutsche Bank Ag\, Cnh Partners Llc, and Omni Partners Llp.

Calpine Corp. (NYSE:CPN) 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)
2018-01-22 N-Q Blackrock Corporate High Yield Fund, Inc. (see advisory)
2018-02-12 13F-HR Atlantic Trust Group, LLC 143 2
2018-02-14 13F-HR PAULSON & CO. INC. 1,683,200 0 -100.00 24,827 0 -100.00
2018-01-26 N-Q Franklin Universal Trust (see advisory)
2018-02-13 13F-HR Wellington Management Group LLP 617,872 743,671 20.36 9,113 11,252 23.47
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 1,986 668 -66.36 44 61 38.64
2017-11-22 N-Q General Electric Rsp U.s. Equity Fund (see advisory)
2018-02-14 13F-HR Holocene Advisors, Lp 19,598 297
2018-01-22 13F-HR OMNI PARTNERS LLP 4,500,000 6,475,124 43.89 66,375 97,969 47.60
2018-02-07 13F-HR Camarda Financial Advisors, LLC 1,000 1,000 0.00 15 15 0.00
2017-11-14 13F-HR CLEARBRIDGE, LLC 6,032,826 0 -100.00 81,624 0 -100.00
2018-02-14 13F-HR BTG Pactual Global Asset Management Ltd 40,000 282,000 605.00 590 4,267 623.22
2018-04-18 13F-HR REGIONS FINANCIAL CORP 500 0 -100.00 8 0 -100.00
2018-02-28 N-Q Versus Capital Real Assets Fund Llc (see advisory)
2018-02-14 13F-HR TIG Advisors, LLC 5,007,435 5,444,407 8.73 73,860 82,374 11.53
2018-01-25 N-Q Putnam High Income Securities Fund (see advisory)
2018-03-14 13F-HR/A-1 CREDIT SUISSE AG/ 453,002 672,903 48.54 6,681 10,179 52.36
2018-02-13 SC 13G/A HOTCHKIS & WILEY CAPITAL MANAGEMENT LLC 19,323,810 10,549,342 -45.41
2018-02-28 N-Q Seasons Series Trust (see advisory)
2017-11-28 N-Q Jnl Strategic Income Fund Llc (see advisory)
2018-02-28 N-Q Fidelity Central Investment Portfolios Llc (see advisory)
2018-02-09 13F-HR ONTARIO TEACHERS PENSION PLAN BOARD 44,321 140,000 215.88 654 2,118 223.85
2018-02-12 13F-HR Standard Life Aberdeen Plc 90,280 90,280 0.00 1,332 1,366 2.55
2017-11-28 N-Q Highland Funds I (see advisory)
2017-11-29 N-Q First Investors Life Series Funds (see advisory)
2018-02-14 13F-HR VERTEX ONE ASSET MANAGEMENT INC. 260,300 3,938
2017-11-27 N-Q Federated Core Trust/pa (see advisory)
2017-11-29 N-Q Gdl Fund (see advisory)
2017-11-29 N-Q Brookfield Investment Funds (see advisory)
2018-02-27 N-Q Pioneer Series Trust X (see advisory)
2018-03-01 N-Q Pimco Funds (see advisory)
2017-12-20 N-Q Mfs Series Trust Iii (see advisory)
2018-04-18 13F-HR Integral Derivatives, LLC Call 11,900 0 -100.00 180 0 -100.00
2018-01-17 13F-HR Cutler Group LP Call 226,700 500 -99.78 11 0 -100.00
2017-11-08 13F-HR SOUND SHORE MANAGEMENT INC /CT/ 5,963,314 0 -100.00 80,684 0 -100.00
2018-02-14 13F-HR Halcyon Management Partners LP 1,616,053 2,752,313 70.31 23,836 41,643 74.71
2018-02-21 13F-HR CEDAR HILL ASSOCIATES, LLC 527,405 478,255 -9.32 7,779 7,236 -6.98
2018-02-14 13F-HR TEACHERS ADVISORS INC 777,111 757,322 -2.55 11,462 11,458 -0.03
2018-04-17 13F-HR HAVENS ADVISORS LLC 863,400 0 -100.00 13,063 0 -100.00
2018-02-14 13F-HR ROYAL BANK OF CANADA Put 20,500 20,500 0.00 302 310 2.65
2018-03-01 N-Q First Investors Income Funds (see advisory)
2018-01-22 N-Q Blackrock Debt Strategies Fund, Inc. (see advisory)
2018-02-13 13F-HR AMALGAMATED BANK 64,870 68,971 6.32 957 1,044 9.09
2017-10-26 N-Q Mfs Intermediate High Income Fund (see advisory)
2018-02-26 N-Q Allianz Funds Multi-strategy Trust (see advisory)
2018-01-22 N-Q Blackrock Floating Rate Income Strategies Fund, Inc. (see advisory)
2017-11-13 13F-HR Engineers Gate Manager LP 56,355 0 -100.00 762 0 -100.00
2018-02-13 13F-HR PRUDENTIAL FINANCIAL INC 19,747 19,747 0.00 291 299 2.75
2018-01-26 N-Q Trust For Professional Managers (see advisory)
2018-02-14 13F-HR Point72 Asia (Hong Kong) Ltd 0 1,612 0 24
2018-02-14 13F-HR Zions Bancorporation 3,423 0 -100.00 50 0 -100.00
2018-02-02 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 73,075 75,364 3.13 1,078 1,140 5.75
2018-02-14 13F-HR GSA CAPITAL PARTNERS LLP 16,019 21,246 32.63 236 321 36.02
2017-11-14 13F-HR Hutchin Hill Capital, LP 150,000 0 -100.00 2,030 0 -100.00
2018-01-23 13F-HR BFSG, LLC 11,920 0 -100.00 176 0 -100.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 0 122,400 0 1,852
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-01-22 N-Q Blackrock Ltd Duration Income Trust (see advisory)
2017-11-14 13F-HR HBK INVESTMENTS L P Call 1,980,500 0 -100.00 26,796 0 -100.00
2018-01-29 N-Q Ubs Investment Trust (see advisory)
2017-12-22 N-Q Blackrock Funds (see advisory)
2018-02-14 13F-HR WOLVERINE ASSET MANAGEMENT LLC Call 80,000 0 -100.00 1,180 0 -100.00
2018-02-14 13F-HR PEAK6 Investments, L.P. Put 8,100 0 -100.00 119 0 -100.00
2017-11-14 13F-HR Brevan Howard Capital Management LP 93,658 1,381
2017-11-28 N-Q Pacific Select Fund (see advisory)
2017-10-27 N-Q Franklin High Income Trust (see advisory)
2018-01-16 13F-HR NEXT Financial Group, Inc 177 0 -100.00 3 0 -100.00
2018-02-14 13F-HR VALUEWORKS LLC 314,648 0 -100.00 4,641 0 -100.00
2017-11-14 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 226,925 0 -100.00 3,070 0 -100.00
2018-02-07 13F-HR Swiss National Bank 636,500 636,500 0.00 9,388 9,630 2.58
2018-02-08 13F-HR Cheyne Capital Management (UK) LLP 371,000 1,101,065 196.78 5,470 16,665 204.66
2018-02-12 13F-HR HARVEST MANAGEMENT LLC 50,000 757
2018-02-14 13F-HR TIG Advisors, LLC Put 27,100 0 -100.00 400 0 -100.00
2017-11-29 N-Q Eaton Vance Senior Income Trust (see advisory)
2018-02-08 13F-HR SEI INVESTMENTS CO 9,626 9,100 -5.46 142 138 -2.82
2017-11-22 N-Q Quantitative Master Series Llc (see advisory)
2018-04-19 13F-HR State of Alaska, Department of Revenue 21,400 0 -100.00 323 0 -100.00
2017-11-14 13F-HR FLOW TRADERS U.S. LLC 26,122 0 -100.00 353 0 -100.00
2017-11-09 13F-HR Teilinger Capital Ltd. 374,200 230,805 -38.32 5,063 3,404 -32.77
2017-11-27 N-Q Merger Fund (see advisory)
2018-02-07 13F-HR Pentwater Capital Management LP 8,300,000 1,900,000 -77.11 122,425 28,747 -76.52
2017-10-31 13F-HR WEDBUSH SECURITIES INC 10,712 0 -100.00 145 0 -100.00
2017-10-30 N-Q Oppenheimer Global High Yield Fund (see advisory)
2017-11-21 N-Q Meeder Funds (see advisory)
2018-02-14 13F-HR Brandywine Global Investment Management, LLC 3,377,467 2,236,864 -33.77 49,818 33,844 -32.06
2018-02-14 13F-HR D. E. Shaw & Co., Inc. Put 30,000 30,000 0.00 443 454 2.48
2018-02-13 13F-HR Legal & General Group Plc 1,606,064 1,569,588 -2.27 23,691 23,748 0.24
2018-02-14 13F-HR Bruce & Co., Inc. 294,849 294,849 0.00 4,349 4,461 2.58
2017-10-27 N-Q Stone Ridge Trust (see advisory)
2018-02-08 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 1,704,473 1,681,200 -1.37 25,141 25,437 1.18
2018-01-26 N-Q Jpmorgan Trust Iv (see advisory)
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 593,500 534,300 -9.97 8,754 8,084 -7.65
2018-01-29 N-Q Invesco Bond Fund (see advisory)
2018-02-26 N-Q Ab Bond Fund, Inc. (see advisory)
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 1,043 1,132 8.53 15 17 13.33
2017-10-26 13F-HR Raymond James Financial Services Advisors, Inc. 15,351 0 -100.00 208 0 -100.00
2017-11-24 N-Q Sa Funds Investment Trust (see advisory)
2018-02-13 13F-HR Allianz Asset Management AG 927,600 1,383,600 49.16 13,682 20,934 53.00
2018-02-13 13F-HR ALLIANCEBERNSTEIN L.P. 234,455 231,405 -1.30 3,458 3,501 1.24
2018-02-14 13F-HR RiverPark Advisors, LLC 166,600 79,900 -52.04 2,457 1,209 -50.79
2018-02-14 13F-HR Adage Capital Partners GP LLC 1,287,764 0 -100.00 18,995 0 -100.00
2017-11-28 N-Q Steadfast Alcentra Global Credit Fund (see advisory)
2017-11-13 13F-HR Gargoyle Investment Advisor L.L.C. 60,000 0 -100.00 812 0 -100.00
2018-03-20 13F-HR Kite Lake Capital Management (uk) Llp 2,442,949 36,962
2018-02-14 13F-HR MACQUARIE GROUP LTD 4,200 4,200 0.00 62 64 3.23
2017-11-15 13F-HR/A-1 Valeo Financial Advisors, Llc 0 0
2017-11-14 13F-HR SailingStone Capital Partners LLC 42,813,656 0 -100.00 579,269 0 -100.00
2018-01-26 N-Q Pioneer Series Trust V (see advisory)
2017-11-29 N-Q Brookfield Real Assets Income Fund Inc. (see advisory)
2018-02-27 N-Q Northern Funds (see advisory)
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 102 0 -100.00 2 0 -100.00
2018-02-14 13F-HR TLP GROUP LLC 251 740 194.82 4 11 175.00
2017-11-28 N-Q Fidelity Advisor Series I (see advisory)
2017-12-29 N-Q Oppenheimer Senior Floating Rate Fund (see advisory)
2017-10-27 N-Q Putnam Funds Trust (see advisory)
2017-10-27 N-Q Putnam Equity Income Fund/new/ (see advisory)
2017-11-14 13F-HR GOLDMAN SACHS GROUP INC Put 123,200 0 -100.00 1,667 0 -100.00
2018-02-14 13F-HR Castleton Investment Management LLC 20,000 0 -100.00 295 0 -100.00
2018-02-13 13F-HR Lombard Odier Asset Management (USA) Corp Put 75,000 75,000 0.00 1,106 1,135 2.62
2018-02-14 13F-HR Summit Trail Advisors, Llc 760 11
2018-02-14 13F-HR Hunting Hill Global Capital, LLC 72,000 0 -100.00 1,062 0 -100.00
2017-12-28 N-Q Fidelity Salem Street Trust (see advisory)
2018-02-06 13F-HR BP PLC 135,000 0 -100.00 1,990 0 -100.00
2018-02-14 13F-HR CORSAIR CAPITAL MANAGEMENT, L.P. 55,685 843
2018-02-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 12,240 19,761 61.45 181 299 65.19
2018-02-27 N-Q Franklin Custodian Funds (see advisory)
2017-11-22 N-Q Spdr Series Trust (see advisory)
2018-02-12 13F-HR DLD Asset Management, LP 25,000 378
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 12,821 52,914 312.71 189 801 323.81
2018-02-14 13F-HR Natixis 2,920,813 3,746,231 28.26 43,082 56,680 31.56
2018-02-13 13F-HR TT INTERNATIONAL 300,000 300,000 0.00 4,425 4,539 2.58
2018-03-16 13F-HR Mcilrath & Eck, Llc 200 3
2017-11-13 13F-HR Goss Wealth Management LLC 100 0 -100.00 1,311 0 -100.00
2017-11-08 13F-HR Regal Investment Advisors LLC 176,232 0 -100.00 2,384 0 -100.00
2017-11-08 13F-HR SYSTEMATIC FINANCIAL MANAGEMENT LP 127,560 0 -100.00 1,726 0 -100.00
2017-11-14 13F-HR ELCO Management Co., LLC 35,400 0 -100.00 479 0 -100.00
2018-02-27 N-Q Pioneer High Income Trust (see advisory)
2017-11-06 13F-HR Spot Trading L.l.c. 31,080 19,178 -38.29 421 283 -32.78
2018-02-14 13F-HR EII CAPITAL MANAGEMENT, INC. 179,530 179,530 0.00 2,648 2,716 2.57
2018-02-09 13F-HR Banco BTG Pactual S.A. 540,000 0 -100.00 7,965 0 -100.00
2018-02-14 13F-HR Alpine Partners VI, LLC 0 300,000 0 4,539
2018-02-28 N-Q Timothy Plan (see advisory)
2018-02-13 13F-HR COMMONWEALTH OF PENNSYLVANIA PUBLIC SCHOOL EMPLS RETRMT SYS 1,091,667 1,091,667 0.00 16,102 16,517 2.58
2018-02-12 13F-HR PRINCIPAL FINANCIAL GROUP INC 47,097 48,609 3.21 695 735 5.76
2018-02-14 13F-HR Gotham Asset Management, LLC 0 29,893 0 452
2018-02-14 13F-HR SOROS FUND MANAGEMENT LLC 747,600 0 -100.00 11,027 0 -100.00
2018-02-14 13F-HR BARCLAYS PLC Put 492,000 539,900 9.74 7,257 8,169 12.57
2018-02-23 13F-HR/A-2 TEACHER RETIREMENT SYSTEM OF TEXAS 29,855 124,357 316.54 440 1,882 327.73
2017-10-27 N-Q Deutsche Portfolio Trust (see advisory)
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 479,658 470,872 -1.83 7,074,957 7,124,293 0.70
2018-02-28 13F-HR/A-1 FEDERATED INVESTORS INC /PA/ 521,842 90,700 -82.62 7,698 1,372 -82.18
2018-04-20 13F-HR FIRST MANHATTAN CO 254 0 -100.00 3 0 -100.00
2018-02-02 13F-HR US BANCORP \DE\ 14,844 14,668 -1.19 219 222 1.37
2018-02-14 13F-HR FARALLON CAPITAL MANAGEMENT LLC 6,460,000 10,801,403 67.20 95,285 163,425 71.51
2017-11-29 N-Q Hc Capital Trust (see advisory)
2018-02-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC 300,000 0 -100.00 4,425 0 -100.00
2018-01-26 13F-HR Community Bank of Raymore 67,303 67,303 0.00 993 1,019 2.62
2018-02-14 13F-HR GLG Partners LP 136,240 459,115 236.99 2,010 6,946 245.57
2017-11-09 13F-HR Trexquant Investment LP 17,800 0 -100.00 241 0 -100.00
2017-11-29 N-Q Eaton Vance Variable Trust (see advisory)
2017-11-14 13F-HR VEGA ENERGY GP, LLC 2,419,850 2,419,850 0.00 32,741 35,693 9.02
2018-02-12 13F-HR PRIVATE MANAGEMENT GROUP INC 2,024,926 1,236,192 -38.95 29,868 18,704 -37.38
2018-02-14 13F-HR City Financial Investment Co Ltd 600,000 1,352,316 125.39 8,850 20,460 131.19
2017-11-01 13F-HR Mitsubishi UFJ Asset Management Co., Ltd. 69,769 0 -100.00 944 0 -100.00
2018-02-14 13F-HR NORTHERN TRUST CORP 1,975,710 1,836,491 -7.05 29,141 27,786 -4.65
2017-11-06 13F-HR Spot Trading L.l.c. Call 1,000 10,200 920.00 14 150 971.43
2018-03-12 13F-HR/A-1 HENDERSON GROUP PLC 48,979 48,979 0.00 722 741 2.63
2017-11-29 N-Q Gabelli Utilities Fund (see advisory)
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 80,000 0 -100.00 1,180 0 -100.00
2018-01-29 N-Q Invesco Dynamic Credit Opportunities Fund (see advisory)
2018-02-14 13F-HR MENTA CAPITAL LLC 45,444 101,149 122.58 670 1,530 128.36
2017-11-27 N-Q Westchester Capital Funds (see advisory)
2018-02-12 13F-HR CITIGROUP INC Put 122,400 122,300 -0.08 1,805 1,850 2.49
2018-02-14 13F-HR STATE STREET CORP 5,848,151 6,034,092 3.18 86,265 91,295 5.83
2018-02-14 13F-HR Squarepoint Ops LLC 462,369 101,761 -77.99 6,820 1,540 -77.42
2018-02-14 13F-HR PECONIC PARTNERS LLC 64,190 64,190 0.00 947 971 2.53
2018-02-07 13F-HR P SCHOENFELD ASSET MANAGEMENT LP 2,725,051 1,918,551 -29.60 40,195 29,028 -27.78
2018-02-14 13F-HR Integral Derivatives, LLC Put 15,000 0 -100.00 221 0 -100.00
2018-02-28 N-Q Gps Funds I (see advisory)
2017-11-28 N-Q Putnam Variable Trust (see advisory)
2018-02-28 N-Q Metropolitan West Funds (see advisory)
2018-02-01 13F-HR NORTHWEST INVESTMENT COUNSELORS, LLC 1,000 0 -100.00 15 0 -100.00
2017-11-24 N-Q Touchstone Variable Series Trust (see advisory)
2018-02-13 13F-HR Truewealth Llc 109 2
2017-10-23 13F-HR Cutter & CO Brokerage, Inc. 105,040 0 -100.00 1,421 0 -100.00
2018-02-06 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 1,132,139 1,169,424 3.29 16,699 17,693 5.95
2018-02-14 13F-HR PANAGORA ASSET MANAGEMENT INC 180,907 177,654 -1.80 2,668 2,688 0.75
2018-03-14 SC 13D/A Energy Capital Partners Iii, Lp 17,500,000 105 -100.00
2017-11-14 13F-HR JANE STREET GROUP, LLC 12,803 0 -100.00 173 0 -100.00
2018-04-20 13F-HR Nelson Roberts Investment Advisors, LLC 533 0 -100.00 8 0 -100.00
2018-02-13 13F-HR AVIVA PLC 228,907 200,933 -12.22 3,376 3,040 -9.95
2018-02-13 13F-HR Yakira Capital Management, Inc. 135,300 101,550 -24.94 1,996 1,536 -23.05
2017-11-28 N-Q Columbia Funds Variable Series Trust Ii (see advisory)
2017-11-22 N-Q Blackrock 2022 Global Income Opportunity Trust (see advisory)
2017-11-14 13F-HR Cantab Capital Partners LLP 11,562 1,783 -84.58 156,000 26,000 -83.33
2018-02-28 N-Q Virtus Opportunities Trust (see advisory)
2018-02-27 N-Q Putnam Asset Allocation Funds (see advisory)
2018-02-13 13F-HR JP Morgan Chase & Co Call 125,000 0 -100.00 1,848 0 -100.00
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 494,442 499,470 1.02 7,294 7,557 3.61
2017-11-22 N-Q State Street Variable Insurance Series Funds Inc (see advisory)
2018-02-14 13F-HR TIG Advisors, LLC Call 1,290,200 0 -100.00 19,030 0 -100.00
2017-11-13 13F-HR EAGLE GLOBAL ADVISORS LLC 12,724 0 -100.00 172 0 -100.00
2018-02-08 13F-HR Advisory Services Network, LLC 147 147 0.00 2 2 0.00
2017-11-22 N-Q Triloma Eig Energy Income Fund (see advisory)
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 PUTNAM INVESTMENTS LLC 6,094,242 92,205
2018-02-28 N-Q Highland Funds Ii (see advisory)
2018-02-14 13F-HR Clearbridge Investments, LLC 24,851 24,603 -1.00 367 372 1.36
2018-02-14 13F-HR QS Investors, LLC 173,740 169,873 -2.23 2,563 2,570 0.27
2018-02-12 13F-HR CITIGROUP INC 1,958,884 2,703,012 37.99 28,894 40,897 41.54
2018-03-07 13F-HR Private Capital Group, Llc 200 4
2018-02-09 13F-HR Banco BTG Pactual S.A. Put 270,000 0 -100.00 14 0 -100.00
2018-02-28 N-Q State Street Institutional Funds (see advisory)
2018-02-26 N-Q Blackrock Funds Ii (see advisory)
2017-11-22 N-Q Triloma Eig Energy Income Fund - Term I (see advisory)
2018-02-14 13F-HR BOKF, NA 64,780 60,633 -6.40 955 918 -3.87
2018-02-23 13F-HR/A-1 COWEN GROUP, INC. 3,637,172 885,779 -75.65 53,648 13,402 -75.02
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 0 36,300 0 549
2017-11-13 13F-HR Royce & Associates LLC 30,000 0 -100.00 406 0 -100.00
2018-02-02 13F-HR Aperio Group, LLC 109,114 113,516 4.03 1,609 1,717 6.71
2018-03-29 13F-HR/A-1 Marshall Wace North America L.P. 779,364 1,752,180 124.82 11,690 26,510 126.78
2018-02-14 13F-HR MASSACHUSETTS FINANCIAL SERVICES CO /MA/ 13,695,405 2,333,634 -82.96 202,007 35,308 -82.52
2017-10-23 13F-HR Personal Capital Advisors Corp 224,306 0 -100.00 3,035 0 -100.00
2018-02-13 13F-HR Investors Research Corp 64,025 969
2018-02-12 13F-HR K2 PRINCIPAL FUND, L.P. Put 10,000 151
2018-02-14 13F-HR Blackstart Capital LP 68,600 0 -100.00 1,012 0 -100.00
2018-01-24 N-Q Deutsche Institutional Funds (see advisory)
2018-03-14 13F-HR/A-1 CREDIT SUISSE AG/ Call 90,000 0 -100.00 1,328 0 -100.00
2018-02-14 13F-HR Walleye Trading LLC Put 149,500 123,500 -17.39 2,206 1,869 -15.28
2018-02-13 13F-HR ANGELO GORDON & CO., L.P. 1,950,000 0 -100.00 28,763 0 -100.00
2017-11-22 N-Q Elfun Income Fund (see advisory)
2018-02-01 13F-HR Nationwide Fund Advisors 125,362 0 -100.00 1,849 0 -100.00
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 267,741 457,274 70.79 3,949 6,920 75.23
2017-11-28 N-Q Capital World Bond Fund (see advisory)
2017-11-14 13F-HR GLG LLC 12,198 0 -100.00 165 0 -100.00
2017-11-14 13F-HR GreenLight Capital Inc 10,961,000 0 -100.00 148,302 0 -100.00
2018-02-02 13F-HR CIBC Asset Management Inc 19,217 17,888 -6.92 283 271 -4.24
2018-04-10 13F-HR NISA INVESTMENT ADVISORS L.L.C. 132,600 0 -100.00 2,006 0 -100.00
2018-02-14 13F-HR PDT Partners, LLC 533,500 0 -100.00 7,869 0 -100.00
2018-02-14 13F-HR Utah Retirement Systems 65,879 66,779 1.37 971 1,010 4.02
2018-02-14 13F-HR Point72 Asset Management, L.P. 71,200 0 -100.00 1,050 0 -100.00
2018-01-22 13F-HR Oakworth Capital, Inc. 294 294 0.00 4 4 0.00
2018-04-06 13F-HR Cerebellum Gp, Llc 8,473 0 -100.00 128 0 -100.00
2018-02-12 13F-HR DIMENSIONAL FUND ADVISORS LP 9,993,291 10,002,680 0.09 147,402 151,341 2.67
2017-11-03 13F-HR BESSEMER GROUP INC 1,478 0 -100.00 20 0 -100.00
2018-02-09 13F-HR Shell Asset Management Co 60,459 0 -100.00 1,312 0 -100.00
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. Call 16,500 0 -100.00 243 0 -100.00
2017-11-14 13F-HR Natixis Asset Management 8,489 0 -100.00 115 0 -100.00
2018-02-07 13F-HR Parkside Investments, LLC 181,575 111,475 -38.61 2,678 1,687 -37.01
2018-01-31 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 740 702 -5.14 11 11 0.00
2018-01-29 N-Q Nuveen Investment Trust (see advisory)
2018-02-09 13F-HR CITADEL ADVISORS LLC 6,494,045 4,126,187 -36.46 95,787 62,429 -34.83
2018-02-28 N-Q Guggenheim Funds Trust (see advisory)
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 800,548 761,900 -4.83 11,808 11,528 -2.37
2017-11-06 13F-HR TCW GROUP INC 43,300 0 -100.00 586 0 -100.00
2018-02-13 13F-HR COMMONWEALTH BANK OF AUSTRALIA 117,522 117,522 0.00 1,729 1,774 2.60
2018-02-14 13F-HR Fortis Advisors, LLC 475 475 0.00 7 7 0.00
2018-02-14 13F-HR AMERICAN NATIONAL INSURANCE CO /TX/ 14,850 0 -100.00 219 0 -100.00
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 0 105 0 2
2018-02-16 13F-HR We Are One Seven, Llc 196 3
2018-02-12 13F-HR RAMSEY QUANTITATIVE SYSTEMS 31,398 0 -100.00 463 0 -100.00
2018-01-29 N-Q Invesco High Income Trust Ii (see advisory)
2018-02-14 13F-HR/A-1 FULLER & THALER ASSET MANAGEMENT, INC. 0 11,400 0 172
2018-02-14 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC 750,000 1,425,309 90.04 11,062 21,564 94.94
2017-11-27 N-Q Merger Fund Vl (see advisory)
2018-02-13 13F-HR TOCQUEVILLE ASSET MANAGEMENT L.P. 313,720 307,520 -1.98 4,627 4,653 0.56
2018-01-17 13F-HR Cutler Group LP 3,087 32,580 955.39 45 492 993.33
2017-11-14 13F-HR JANE STREET GROUP, LLC Put 10,000 0 -100.00 135 0 -100.00
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 11,194 10,913 -2.51 165 165 0.00
2018-03-05 13F-HR/A-1 NORGES BANK 4,254,971 641,149 -84.93 48,635 9,701 -80.05
2018-02-09 13F-HR BlackRock Inc. 15,789,902 15,840,033 0.32 232,901 239,659 2.90
2018-01-24 13F-HR IFP Advisors, Inc 3,255 3,255 0.00 48 49 2.08
2018-01-26 N-Q VANGUARD WORLD FUND (see advisory)
2018-03-23 13F-HR/A-1 Marble Holdings, Llc 17,984,953 272,112
2017-11-21 N-Q Penn Series Funds Inc (see advisory)
2017-10-30 N-Q Franklin Alternative Strategies Funds (see advisory)
2017-10-27 N-Q Western Asset Funds Inc (see advisory)
2017-11-29 N-Q Deutsche Securities Trust (see advisory)
2018-02-08 13F-HR ALPINE ASSOCIATES MANAGEMENT INC. 6,768,799 0 -100.00 99,840 0 -100.00
2017-11-27 N-Q Voya Partners Inc (see advisory)
2018-02-14 13F-HR Jump Trading, LLC 12,283 186
2017-10-25 13F-HR FIRST QUADRANT L P/CA 42,500 0 -100.00 575 0 -100.00
2017-12-29 N-Q Income Fund Of America (see advisory)
2018-02-14 13F-HR Telemetry Investments, L.L.C. 10,000 11,000 10.00 148 166 12.16
2018-01-31 13F-HR QUADRANT CAPITAL GROUP LLC 2,778 2,772 -0.22 39 39 0.00
2018-02-28 N-Q Advisors Series Trust (see advisory)
2018-01-19 13F-HR Round Table Services, LLC 80,500 80,500 0.00 1,187 1,218 2.61
2018-02-01 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 555,418 555,418 0.00 8,192 8,403 2.58
2018-02-01 13F-HR BNP Paribas Investment Partners S.A. 43,762 42,671 -2.49 645 646 0.16
2018-01-22 N-Q Blackrock Core Bond Trust (see advisory)
2018-01-26 13F-HR MILLER HOWARD INVESTMENTS INC /NY 115,268 97,844 -15.12 1,700 1,480 -12.94
2018-02-06 13F-HR State of New Jersey Common Pension Fund D 65,000 65,000 0.00 959 983 2.50
2017-11-14 13F-HR Davidson Kempner Capital Management LP 201,815 0 -100.00 2,731 0 -100.00
2018-02-12 13F-HR Kellner Capital, LLC 171,900 190,100 10.59 2,536 2,876 13.41
2018-02-14 13F-HR MORGAN STANLEY 1,364,040 4,572,925 235.25 20,118 69,188 243.91
2018-02-27 N-Q Doubleline Funds Trust (see advisory)
2017-10-27 13F-HR VICTORY CAPITAL MANAGEMENT INC 907,613 0 -100.00 12,280 0 -100.00
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 1,102,937 1,801,634 63.35 16,268 27,259 67.56
2018-02-09 13F-HR Virtu Financial LLC 15,029 0 -100.00 222 0 -100.00
2017-11-14 13F-HR QCM Cayman, Ltd. 11,859 0 -100.00 160 0 -100.00
2017-11-22 N-Q General Electric Rsp Income Fund (see advisory)
2018-02-13 13F-HR Lombard Odier Asset Management (USA) Corp 40,000 20,000 -50.00 590 303 -48.64
2018-02-14 13F-HR BARCLAYS PLC 302,401 274,248 -9.31 4,461 4,149 -6.99
2017-12-27 N-Q Pioneer Series Trust Iv (see advisory)
2018-02-28 N-Q Rydex Series Funds (see advisory)
2017-11-13 13F-HR WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 22,803 0 -100.00 309 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 268,700 310,500 15.56 3,963 4,698 18.55
2017-11-22 N-Q Elfun Diversified Fund (see advisory)
2018-02-14 13F-HR HIGHLAND CAPITAL MANAGEMENT LP 57,940 28,040 -51.61 855 424 -50.41
2018-02-14 13F-HR NOMURA HOLDINGS INC Call 0 3,260,000 0 49,343
2018-02-08 13F-HR HOURGLASS CAPITAL, LLC 10,000 0 -100.00 147 0 -100.00
2018-02-12 13F-HR K2 PRINCIPAL FUND, L.P. 278,569 443,078 59.06 4,109 6,704 63.15
2018-01-19 13F-HR LONGFELLOW INVESTMENT MANAGEMENT CO LLC 400,000 400,000 0.00 5,900 6,052 2.58
2017-11-14 13F-HR ZACKS INVESTMENT MANAGEMENT 69,699 0 -100.00 943 0 -100.00
2017-12-29 N-Q Nuveen Credit Strategies Income Fund (see advisory)
2018-02-09 13F-HR HAP Trading, LLC Call 0 36,000 0 9
2017-11-29 N-Q Gabelli Investor Funds Inc (see advisory)
2018-04-18 13F-HR/A-1 FNY Partners Fund LP 736,098 0 -100.00 11,137 0 -100.00
2018-02-09 13F-HR Mitsubishi UFJ Trust & Banking Corp 12,116 12,116 0.00 179 183 2.23
2018-02-14 13F-HR FIFTH THIRD BANCORP 2,490 2,490 0.00 37 38 2.70
2018-02-13 13F-HR CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 0 742,000 0 11,226
2017-11-28 N-Q Pax World Funds Series Trust I (see advisory)
2018-02-14 13F-HR TIEDEMANN WEALTH MANAGEMENT, LLC 15,173 0 -100.00 57 0 -100.00
2017-12-29 N-Q First Trust Exchange-traded Alphadex Fund (see advisory)
2018-02-15 13F-HR GLENMEDE TRUST CO NA 4 0 -100.00 0 0
2018-02-20 13F-HR ENVESTNET ASSET MANAGEMENT INC 534 340 -36.33 8 5 -37.50
2018-02-14 13F-HR Pacer Advisors, Inc. 51,685 0 -100.00 762 0 -100.00
2017-11-09 13F-HR FFCM LLC 402 0 -100.00 5 0 -100.00
2018-02-12 13F-HR SEVEN EIGHT CAPITAL, LLC 228,264 0 -100.00 3,367 0 -100.00
2018-02-09 13F-HR RHUMBLINE ADVISERS 347,277 345,560 -0.49 5,122 5,228 2.07
2017-11-22 N-Q Thrivent Mutual Funds (see advisory)
2018-02-14 13F-HR Ecp Controlco, Llc 17,500,000 17,500,000 0.00 258,125 264,775 2.58
2018-03-05 13F-HR/A-1 BNP PARIBAS ARBITRAGE, SA 1,004,160 998,783 -0.54 14,811,419 15,111,587 2.03
2017-11-14 13F-HR BlueCrest Capital Management Ltd 202,653 0 -100.00 2,742 0 -100.00
2018-02-14 13F-HR Stone Ridge Asset Management LLC 27,541 417
2018-02-14 13F-HR CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 108,243 0 -100.00 1,596 0 -100.00
2018-02-15 13F-HR JANE STREET GROUP, LLC Call 11,600 0 -100.00 171 0 -100.00
2018-02-26 N-Q Alliancebernstein Global High Income Fund Inc (see advisory)
2018-02-28 N-Q Sunamerica Income Funds (see advisory)
2018-02-08 SC 13G/A VANGUARD GROUP INC 28,204,288 30,901,060 9.56
2018-02-27 N-Q Pioneer Strategic Income Fund (see advisory)
2018-02-14 13F-HR GAM Holding AG 552,518 646,669 17.04 8,150 9,785 20.06
2018-02-28 N-Q Ivy Funds (see advisory)
2018-01-29 N-Q Invesco Senior Loan Fund (see advisory)
2018-02-02 13F-HR COMERICA BANK 21,138 18,016 -14.77 316 272 -13.92
2018-02-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 936,016 762,276 -18.56 13,806 11,533 -16.46
2018-02-13 13F-HR INFRASTRUCTURE CAPITAL ADVISORS, LLC 10,600 10,400 -1.89 156 157 0.64
2018-03-01 N-Q Alps Series Trust (see advisory)
2018-02-14 13F-HR TWO SIGMA SECURITIES, LLC 0 27,330 0 414
2017-12-28 N-Q Prudential Global Short Duration High Yield Fund, Inc. (see advisory)
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 100 179 79.00 1 3 200.00
2018-02-14 13F-HR GARDNER LEWIS ASSET MANAGEMENT L P 1,476,800 5,524,421 274.08 21,783 83,584 283.71
2018-01-25 N-Q Putnam Investment Funds (see advisory)
2017-11-14 13F-HR Elliott Management Corporation Call 2,512,500 0 -100.00 33,994 0 -100.00
2018-02-12 13F-HR Tredje AP-fonden 1 1 0.00 0 0
2017-10-26 N-Q Mfs Charter Income Trust (see advisory)
2018-02-09 13F-HR Athos Capital Ltd 110,000 72,700 -33.91 1,623 1,100 -32.22
2017-10-27 N-Q Putnam High Yield Fund (see advisory)
2017-11-09 13F-HR GEORGE KAISER FAMILY FOUNDATION 93,118 0 -100.00 1,260 0 -100.00
2018-02-27 N-Q Touchstone Funds Group Trust (see advisory)
2018-02-07 13F-HR KBC Group NV 27,243 19,751 -27.50 402 299 -25.62
2017-12-26 N-Q John Hancock Funds Ii (see advisory)
2018-02-13 13F-HR Granite Investment Advisors, Inc. 444,178 25,450 -94.27 6,552 385 -94.12
2018-04-18 13F-HR Integral Derivatives, LLC 16,192 0 -100.00 245 0 -100.00
2018-02-14 13F-HR Perella Weinberg Partners Capital Management LP 1,030,866 1,004,326 -2.57 15,205 15,195 -0.07
2018-01-30 13F-HR LMR Partners LLP 13,587 0 -100.00 200 0 -100.00
2018-02-12 13F-HR Quantbot Technologies LP 0 32,371 0 489
2018-01-19 13F-HR World Asset Management Inc 17,810 17,028 -4.39 263 258 -1.90
2018-02-27 N-Q Putnam Master Intermediate Income Trust (see advisory)
2017-11-21 N-Q Allianz Funds (see advisory)
2017-11-29 N-Q Eaton Vance Floating-rate 2022 Target Term Trust (see advisory)
2018-02-12 13F-HR OPPENHEIMER FUNDS INC 79,035 79,943 1.15 1,166 1,210 3.77
2018-02-28 N-Q Morgan Stanley Institutional Fund Trust (see advisory)
2017-11-14 13F-HR UBS Group AG Call 1,000,000 0 -100.00 13,530 0 -100.00
2018-02-27 N-Q Master Large Cap Series Llc (see advisory)
2018-02-14 13F-HR LUMINUS MANAGEMENT LLC 1,100,410 0 -100.00 16,232 0 -100.00
2018-02-13 13F-HR ASSETMARK, INC 337 302 -10.39 5 5 0.00
2018-02-05 13F-HR Kassirer Asset Management Corp 165,000 135,000 -18.18 2,434 2,043 -16.06
2018-02-14 13F-HR Verition Fund Management LLC 12,531 3,286,549 26,127.35 185 49,725 26,778.38
2017-10-27 N-Q Deutsche Multi-market Income Trust (see advisory)
2017-11-28 N-Q Penn Capital Funds Trust (see advisory)
2018-01-24 13F-HR MIZUHO SECURITIES USA INC. 50,000 0 -100.00 738 0 -100.00
2018-02-14 13F-HR Beryl Capital Management Llc 5,846,214 88,453
2017-11-14 13F-HR HANCOCK HOLDING CO 571,290 0 -100.00 7,730 0 -100.00
2017-11-08 13F-HR Dynamic Technology Lab Private Ltd 31,842 0 -100.00 431 0 -100.00
2018-02-14 13F-HR CNH PARTNERS LLC 7,847,445 7,156,476 -8.81 115,750 108,277 -6.46
2018-01-02 13F-HR American Financial Network Advisory Services Llc 220 220 0.00 3 3 0.00
2018-02-28 N-Q Ishares Trust (see advisory)
2017-12-28 N-Q Putnam Premier Income Trust (see advisory)
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 152,593 294,140 92.76 2,251 4,450 97.69
2018-01-26 N-Q Fidelity Puritan Trust (see advisory)
2018-01-31 13F-HR DUPONT CAPITAL MANAGEMENT Corp 315,648 403,148 27.72 4,656 6,100 31.01
2018-02-13 13F-HR CIBC WORLD MARKETS CORP 0 900,000 0 13,617
2018-02-09 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 143,313 150,240 4.83 2,113 2,269 7.38
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 631,596 611,202 -3.23 9,316 9,247 -0.74
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 18,779 17,510 -6.76 276 265 -3.99
2017-11-13 13F-HR Nippon Life Global Investors Americas, Inc. 124,210 0 -100.00 1,680 0 -100.00
2018-04-20 13F-HR STRS OHIO 5,182,750 0 -100.00 78,415 0 -100.00
2018-02-14 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 626,455 625,555 -0.14 9,240 9,465 2.44
2018-02-12 13F-HR Hudson Bay Capital Management LP 76,700 0 -100.00 1,131 0 -100.00
2017-11-28 N-Q Hotchkis & Wiley Funds /de/ (see advisory)
2018-02-14 13F-HR Jefferies Group LLC Call 195,000 0 -100.00 2,876 0 -100.00
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 163,200 44,100 -72.98 2,407 667 -72.29
2018-02-14 13F-HR PROFUND ADVISORS LLC 31,086 27,290 -12.21 459 413 -10.02
2018-01-25 N-Q Federated High Yield Trust (see advisory)
2018-02-14 13F-HR AQR CAPITAL MANAGEMENT LLC 50,471 63,688 26.19 744 964 29.57
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 3,051,645 3,010,103 -1.36 45,011 45,542 1.18
2018-02-14 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC Call 1,365,000 0 -100.00 20,134 0 -100.00
2018-02-14 13F-HR NWQ INVESTMENT MANAGEMENT COMPANY, LLC 49,193 0 -100.00 726 0 -100.00
2018-01-29 N-Q Prudential Investment Portfolios, Inc. 14 (see advisory)
2017-11-14 13F-HR HBK INVESTMENTS L P 73,200 0 -100.00 990 0 -100.00
2018-01-31 13F-HR Opera Trading Capital 34,057 34,057 0.00 502 515 2.59
2018-01-29 N-Q Consulting Group Capital Markets Funds (see advisory)
2017-11-14 13F-HR DRW Securities, LLC Call 134,000 0 -100.00 1,813 0 -100.00
2018-02-14 13F-HR Westchester Capital Management, LLC 3,278,187 4,188,231 27.76 48,353 63,368 31.05
2018-03-09 SC 13D/A CANADA PENSION PLAN INVESTMENT BOARD 2,111,215 0 -100.00
2018-02-02 13F-HR GAMCO INVESTORS, INC. ET AL 204,912 183,357 -10.52 3,022 2,774 -8.21
2017-11-29 N-Q Forethought Variable Insurance Trust (see advisory)
2018-02-06 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 10,139 0 -100.00 150 0 -100.00
2018-02-13 13F-HR JP Morgan Chase & Co 8,218,987 6,112,144 -25.63 121,476 92,477 -23.87
2018-02-13 13F-HR Farmhouse Investment Management LLC 829,000 839,000 1.21 12,228 12,694 3.81
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 88,908 391,346 340.17 1,311 5,921 351.64
2017-11-28 N-Q Franklin Templeton Variable Insurance Products Trust (see advisory)
2018-02-14 13F-HR Walleye Trading LLC Call 172,200 25,900 -84.96 2,541 392 -84.57
2018-02-14 13F-HR ROYAL BANK OF CANADA 1,010,262 783,010 -22.49 14,902 11,847 -20.50
2018-02-27 N-Q Massmutual Premier Funds (see advisory)
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. 414,924 418,251 0.80 6,120 6,328 3.40
2018-03-01 N-Q Eaton Vance Ltd Duration Income Fund (see advisory)
2018-02-14 13F-HR HSBC HOLDINGS PLC 193,151 50,818 -73.69 2,849 769 -73.01
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-04-13 13F-HR North Star Investment Management Corp. 550 0 -100.00 8 0 -100.00
2018-01-26 N-Q Jpmorgan Trust I (see advisory)
2017-11-29 N-Q Lord Abbett Series Fund Inc (see advisory)
2018-01-25 N-Q Prudential Investment Portfolios, Inc. 15 (see advisory)
2017-11-27 N-Q Voya Investors Trust (see advisory)
2017-10-27 13F-HR BTR CAPITAL MANAGEMENT INC 225,177 0 -100.00 3,047 0 -100.00
2018-02-14 13F-HR Neuberger Berman Group LLC 3,736,167 858,531 -77.02 55,108 12,990 -76.43
2018-02-12 13F-HR Pacad Investment Ltd. 42,930 48,630 13.28 633 736 16.27
2017-11-22 N-Q Ssga Active Trust (see advisory)
2018-02-14 13F-HR Bluefin Trading, LLC 17,500 0 -100.00 258 0 -100.00
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 152,078 326,335 114.58 2,243 4,937 120.11
2017-11-14 13F-HR NAYA CAPITAL MANAGEMENT UK LTD 3,072,248 0 -100.00 41,568 0 -100.00
2018-03-29 13F-HR/A-1 Marshall Wace LLP 434,516 2,096,567 382.51 6,518 31,721 386.67
2017-12-29 N-Q Virtus Etf Trust Ii (see advisory)
2018-02-14 13F-HR D. E. Shaw & Co., Inc. 43,547 42,981 -1.30 642 650 1.25
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 4,793,935 3,640,217 -24.07 70,711 55,076 -22.11
2018-02-14 13F-HR TWO SIGMA INVESTMENTS LLC 157,413 184,354 17.11 2,322 2,789 20.11
2018-02-14 13F-HR Weiss Multi-Strategy Advisers LLC 301,479 0 -100.00 4,447 0 -100.00
2018-04-10 13F-HR TRUST DEPARTMENT MB FINANCIAL BANK N A 1,375 0 -100.00 21 0 -100.00
2018-02-13 13F-HR OMERS ADMINISTRATION Corp 54,700 54,700 0.00 807 828 2.60
2017-11-28 N-Q Usaa Mutual Funds Trust (see advisory)
2017-11-29 N-Q Lord Abbett Bond Debenture Fund Inc (see advisory)
2017-11-08 13F-HR STEPHENS INC /AR/ 31,127 0 -100.00 421 0 -100.00
2018-02-14 13F-HR Advisor Group, Inc. 4,322 3,004 -30.50 65 46 -29.23
2018-02-13 13F-HR Parallel Advisors, LLC 392 392 0.00 6 6 0.00
2018-02-14 13F-HR TEACHERS INSURANCE & ANNUITY ASSOCIATION OF AMERICA 2,228,216 0 -100.00 32,866 0 -100.00
2018-03-01 N-Q Nuveen Investment Trust Iii (see advisory)
2018-02-08 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 156,635 381,986 143.87 2,310 5,779 150.17
2018-04-18 13F-HR Community Bank & Trust, Waco, Texas 51,488 0 -100.00 779 0 -100.00
2018-02-14 13F-HR Jefferies Group LLC 512,692 584,815 14.07 7,562 8,848 17.01
2018-03-01 N-Q Oppenheimer Master Loan Fund, Llc (see advisory)
2018-02-14 13F-HR DEUTSCHE BANK AG\ 9,546,737 8,573,152 -10.20 140,811 129,709 -7.88
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 7,765 8,629 11.13 115 130 13.04
2018-02-26 N-Q TIAA-CREF FUNDS (see advisory)
2017-11-24 N-Q Pioneer Variable Contracts Trust /ma/ (see advisory)
2017-11-13 13F-HR Renaissance Technologies LLC 302,545 0 -100.00 4,093 0 -100.00
2017-11-13 13F-HR NOMURA ASSET MANAGEMENT CO LTD 13,000 0 -100.00 176 0 -100.00
2018-02-14 13F-HR Ameritas Investment Partners, Inc. 1,282 1,282 0.00 18 13 -27.78
2018-02-23 13F-HR/A-1 Sg3 Management, Llc Call 10,000 0 -100.00 111 0 -100.00
2018-02-13 13F-HR CREDIT AGRICOLE S A 29,873 0 -100.00 441 0 -100.00
2018-02-14 13F-HR Folger Hill Asset Management LP 500,000 165,000 -67.00 7,375 2,496 -66.16
2018-01-26 N-Q Valic Co Ii (see advisory)
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 1,378,913 1,388,558 0.70 20,339 21,009 3.29
2017-12-29 N-Q Oppenheimer Senior Floating Rate Plus Fund (see advisory)
2018-02-06 13F-HR M&T BANK CORP 17,719 16,603 -6.30 262 251 -4.20
2017-10-27 13F-HR NORTHERN CAPITAL MANAGEMENT LLC 113,105 0 -100.00 1,530 0 -100.00
2018-02-14 13F-HR BROWN BROTHERS HARRIMAN & CO 2,045 891 -56.43 30 13 -56.67
2018-02-14 13F-HR Gideon Capital Advisors, Inc. 0 23,046 0 349
2017-10-26 13F-HR Acrospire Investment Management LLC 1,500 0 -100.00 20 0 -100.00
2018-02-14 13F-HR Voya Investment Management LLC 100,693 97,018 -3.65 1,485 1,468 -1.14
2018-02-07 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 375 536 42.93 6 8 33.33
2017-10-27 N-Q Eaton Vance Floating-rate Income Trust (see advisory)
2018-01-10 13F-HR SIMPLEX TRADING, LLC 0 20,271 0 306
2018-02-08 13F-HR BABSON CAPITAL MANAGEMENT LLC 20,400 20,400 0.00 301 309 2.66
2017-11-29 N-Q Prudential Short-term Corporate Bond Fund, Inc. (see advisory)
2018-02-14 13F-HR/A-1 S. MUOIO & CO. LLC 20,000 90,000 350.00 295 1,362 361.69
2018-01-25 13F-HR Assenagon Asset Management S.A. 0 454,321 0 6,874
2018-02-14 13F-HR AHL Partners LLP 229,829 0 -100.00 3,390 0 -100.00
2017-11-14 13F-HR NAYA CAPITAL MANAGEMENT UK LTD Call 509,100 0 -100.00 6,888 0 -100.00
2018-02-06 13F-HR Russell Investments Group, Ltd. 201,384 350,897 74.24 2,971 5,308 78.66
2018-02-14 13F-HR Banco Santander, S.A. 1,500,000 0 -100.00 22,125 0 -100.00
2018-04-20 13F-HR Seacrest Wealth Management, Llc 233 0 -100.00 4 0 -100.00
2018-02-09 13F-HR IndexIQ Advisors LLC 984,120 1,196,939 21.63 14,516 18,110 24.76
2018-01-29 N-Q Aim Investment Securities Funds (invesco Investment Securities Funds) (see advisory)
2018-02-14 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC Put 19,700 0 -100.00 290 0 -100.00
2017-11-14 13F-HR Scoria Capital Partners LP 10,000 148
2018-02-27 N-Q Federated High Income Bond Fund Inc (see advisory)
2017-12-29 N-Q Investment Managers Series Trust (see advisory)
2018-02-14 13F-HR Paloma Partners Management Co 0 151,000 0 2,285
2017-10-27 N-Q Pioneer Floating Rate Trust (see advisory)
2018-02-28 N-Q American High Income Trust (see advisory)
2018-02-14 13F-HR Athanor Capital, Lp 67,585 1,022
2018-01-26 N-Q J.p. Morgan Exchange-traded Fund Trust (see advisory)
2017-11-02 13F-HR HOWARD HUGHES MEDICAL INSTITUTE 67,437 0 -100.00 912 0 -100.00
2018-02-13 13F-HR Advisors Asset Management, Inc. 9,068 8,409 -7.27 134 127 -5.22
2017-11-13 N-Q Bruce Fund Inc (see advisory)
2017-10-27 N-Q Deutsche Strategic Income Trust (see advisory)
2018-02-14 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 10,777 10,387 -3.62 159 157 -1.26
2018-02-14 13F-HR BARCLAYS PLC Call 312,900 198,700 -36.50 4,616 3,006 -34.88
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 691,416 0 -100.00 10,461 0 -100.00
2018-02-14 13F-HR BW Gestao de Investimentos Ltda. 59,421 200,000 236.58 876 3,026 245.43
2018-02-28 N-Q Pacific Funds Series Trust (see advisory)
2018-02-02 13F-HR GABELLI SECURITIES, INC. 548,060 807,103 47.27 8,084 12,211 51.05
2018-02-09 13F-HR Proficio Capital Partners LLC 162 162 0.00 2 2 0.00
2018-02-14 13F-HR NOMURA HOLDINGS INC 70,000 0 -100.00 1,032 0 -100.00
2017-10-26 N-Q Arbitrage Funds (see advisory)
2018-02-13 13F-HR WATER ISLAND CAPITAL LLC 3,457,150 5,606,415 62.17 50,993 84,825 66.35
2017-10-23 13F-HR NORTHPOINTE CAPITAL LLC 22,311 0 -100.00 302 0 -100.00
2018-03-01 N-Q Oppenheimer Global Strategic Income Fund (see advisory)
2018-02-14 13F-HR Cubist Systematic Strategies, LLC 400 51,948 12,887.00 6 786 13,000.00
2018-01-17 13F-HR Cutler Group LP Put 43,300 1,300 -97.00 3 0 -100.00
2018-02-09 13F-HR Bank of New York Mellon Corp 1,391,153 1,310,903 -5.77 20,519 19,834 -3.34
2018-02-14 13F-HR BOOTHBAY FUND MANAGEMENT, LLC 337,000 124,375 -63.09 4,971 1,882 -62.14
2017-11-14 13F-HR Serengeti Asset Management LP 200,000 0 -100.00 2,706 0 -100.00
2017-11-28 N-Q Variable Insurance Products Fund Iii (see advisory)
2017-11-22 N-Q Ssga Master Trust (see advisory)
2018-02-08 13F-HR Morningstar Investment Services LLC 15,458 13,966 -9.65 228 211 -7.46
2018-02-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 847,500 68,499 -91.92 12,501 1,036 -91.71
2018-02-27 N-Q Putnam Diversified Income Trust (see advisory)
2017-11-13 13F-HR LOEWS CORP 250,000 0 -100.00 3,383 0 -100.00
2018-02-05 13F-HR TOKIO MARINE ASSET MANAGEMENT CO LTD 513,148 7,764
2018-02-14 13F-HR Walleye Trading LLC 258,499 473,536 83.19 3,813 7,165 87.91
2018-02-14 13F-HR PointState Capital LP Put 200,000 0 -100.00 2,950 0 -100.00
2018-02-14 13F-HR PEAK6 Investments, L.P. 160,469 101,839 -36.54 2,367 1,541 -34.90
2017-11-06 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 169,270 0 -100.00 2,290 0 -100.00
2018-02-14 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC Call 100,000 0 -100.00 1,475 0 -100.00
2017-11-13 13F-HR LANSDOWNE PARTNERS (UK) LLP Put 1,000,000 0 -100.00 13,530 0 -100.00
2018-02-09 13F-HR ARP AMERICAS LLC 629,138 0 -100.00 9,280 0 -100.00
2018-02-14 13F-HR Nuveen Asset Management, LLC 354,227 310,727 -12.28 5,225 4,701 -10.03
2017-10-23 13F-HR RELIANCE TRUST CO OF DELAWARE 32,849 0 -100.00 444 0 -100.00
2018-02-06 13F-HR/A-1 Mitsubishi UFJ Securities International PLC 560,000 8,473
2018-02-12 13F-HR DUMAC, INC. 80,000 92,500 15.62 1,180 1,400 18.64
2018-02-14 13F-HR Quad Capital Management Advisors LLC 807,500 2,169,937 168.72 11,910 32,831 175.66
2018-01-31 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 12,687 18,738 47.69 187 284 51.87
2018-02-14 13F-HR Invesco Ltd. 343,625 311,110 -9.46 5,069 4,707 -7.14
2018-02-28 N-Q Deutsche Income Trust (see advisory)
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 37 214 478.38 1 1 0.00
2018-02-14 13F-HR Mint Tower Capital Management B.V. 90,000 1,362
2018-01-17 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 1,504,629 1,510,128 0.37 22,194 22,849 2.95
2017-11-14 13F-HR Baird Financial Group, Inc. 18,933 0 -100.00 256 0 -100.00
2018-02-09 13F-HR LEVIN CAPITAL STRATEGIES, L.P. 27,948 0 -100.00 413 0 -100.00
2018-02-12 13F-HR CITIGROUP INC Call 1,142,900 1,108,600 -3.00 16,858 16,773 -0.50
2017-12-28 N-Q Franklin Floating Rate Master Trust (see advisory)
2018-02-14 13F-HR UBS Group AG 1,526,367 1,279,254 -16.19 22,514 19,355 -14.03
2018-02-14 13F-HR STIFEL FINANCIAL CORP 21,344 20,753 -2.77 313 313 0.00
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 211,600 285,300 34.83 3,121 4,317 38.32
2018-02-15 13F-HR Phocas Financial Corp. 611,906 0 -100.00 9 0 -100.00
2018-01-26 N-Q Prudential Investment Portfolios 3 (see advisory)
2018-02-16 13F-HR OLD MUTUAL CUSTOMISED SOLUTIONS (PROPRIETARY) LTD 8,600 8,600 0.00 127 130 2.36
2018-02-27 N-Q Blackrock Large Cap Series Funds, Inc. (see advisory)
2018-02-05 13F-HR Blue Sky Asset Management, LLC 44,702 0 -100.00 635 0 -100.00
2017-11-13 13F-HR Convergence Investment Partners, LLC 94,953 0 -100.00 1,285 0 -100.00
2018-02-22 13F-HR GREEN SQUARE CAPITAL LLC 19,196 19,196 0.00 283 290 2.47
2018-02-05 13F-HR SHUFRO ROSE & CO LLC 410,700 300,760 -26.77 6,058 4,550 -24.89
2018-02-28 N-Q Deutsche High Income Opportunities Fund, Inc. (see advisory)
2017-10-26 N-Q Columbia Funds Series Trust Ii (see advisory)
2018-02-14 13F-HR Lsp Investment Advisors, Llc 116,350 1,760
2018-02-14 13F-HR Empyrean Capital Partners, LP 2,400,000 0 -100.00 35,400 0 -100.00
2018-01-24 13F-HR SG Americas Securities, LLC 1,044,058 53,022 -94.92 15,400 802 -94.79
2017-10-27 N-Q Eaton Vance Floating-rate Income Plus Fund (see advisory)
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 297,600 59,700 -79.94 4,390 903 -79.43
2018-02-14 13F-HR SANDELL ASSET MANAGEMENT CORP 3,542,500 53,598
2018-02-08 13F-HR PineBridge Investments, L.P. 0 46,120 0 697
2018-01-29 N-Q Saratoga Advantage Trust (see advisory)
2018-02-08 13F-HR FIRST TRUST ADVISORS LP 3,865,886 168,748 -95.63 57,022 2,553 -95.52
2018-02-12 13F-HR FMR LLC / Fidelity 2,357,803 235,724 -90.00 34,778 3,567 -89.74
2018-02-28 N-Q Goldman Sachs Trust (see advisory)
2017-11-28 N-Q Variable Insurance Products Fund (see advisory)
2018-02-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 690,128 548,339 -20.55 10,179 8,296 -18.50
2018-01-26 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-14 13F-HR Altalis Capital Management LLC 214,526 52,392 -75.58 3,165 793 -74.94
2017-10-26 N-Q Northern Lights Fund Trust Iv (see advisory)
2018-04-18 13F-HR Versant Capital Management, Inc 1,058 16
2018-02-14 13F-HR FIR TREE INC. 3,908,871 59,141
2018-02-14 13F-HR Verition Fund Management LLC Put 3,260,000 49,324
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 45,500 59,800 31.43 671 905 34.87
2017-11-15 13F-HR Neuberger Berman Group LLC Call 500,000 0 -100.00 6,765 0 -100.00
2018-01-23 13F-HR Baystate Wealth Management LLC 80 80 0.00 1 1 0.00
2018-02-02 13F-HR GABELLI FUNDS LLC 768,302 1,138,219 48.15 11,332 17,221 51.97
2017-11-29 N-Q Gabelli Go Anywhere Trust (see advisory)
2017-11-27 N-Q Federated Insurance Series (see advisory)
2017-12-28 N-Q Fidelity Devonshire Trust (see advisory)
2018-02-14 13F-HR Polar Asset Management Partners Inc. 215,000 150,000 -30.23 3,171 2,270 -28.41
2017-11-28 N-Q Frontier Funds, Inc. (see advisory)
2018-02-14 13F-HR WOLVERINE ASSET MANAGEMENT LLC 70,275 473,429 573.68 1,036 7,162 591.31
2018-04-19 13F-HR Eidelman Virant Capital 2,000 0 -100.00 30 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 ( CPN / Calpine Corp. ), 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: 131347304