SecurityNRZ / New Residential Investment Corp. (64828T201)
Institutional Owners376 (59 N-Q Owners)
Institutional Shares161,304,743 - 47.99% (ex. N-Q)
Common Shares Outstanding336,135,391 shares (as of 2017-12-31)
Institutional Value$ 20,942,684,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

New Residential Investment Corp. (NYSE:NRZ) has 376 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 161,304,743 shares. Largest shareholders include Vanguard Group Inc, BlackRock Inc., Nan Shan Life Insurance Co., Ltd., Citigroup Inc, Credit Suisse Ag/, Bank Of America Corp /de/, State Street Corp, Vaughan Nelson Investment Management, L.p., UBS Group AG, and Allianz Asset Management AG.

New Residential Investment Corp. (NYSE:NRZ) 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)
2017-10-30 N-Q Innovator Etfs Trust (see advisory)
2017-11-14 13F-HR PERMAL ASSET MANAGEMENT LLC 140,700 167,500 19.05 2,190 2,803 27.99
2017-11-22 N-Q Legg Mason Partners Equity Trust (see advisory)
2018-01-19 13F-HR Saratoga Research & Investment Management 900 0 -100.00 15 0 -100.00
2018-02-02 13F-HR CIBC Asset Management Inc 10,569 10,569 0.00 177 189 6.78
2018-02-13 13F-HR MACKENZIE FINANCIAL CORP 31,590 31,590 0.00 529 565 6.81
2018-04-10 13F-HR NISA INVESTMENT ADVISORS L.L.C. 42,100 23,400 -44.42 753 377 -49.93
2018-02-13 13F-HR OMERS ADMINISTRATION Corp 31,300 31,300 0.00 524 560 6.87
2018-02-13 13F-HR Highlander Capital Management, LLC 10,500 10,500 0.00 176 188 6.82
2018-01-26 13F-HR ENTERPRISE FINANCIAL SERVICES CORP 2,490 2,094 -15.90 42 37 -11.90
2018-02-09 13F-HR EAGLE ASSET MANAGEMENT INC 1,071,449 967,262 -9.72 18,150 17,294 -4.72
2018-02-02 13F-HR Cedar Wealth Management, LLC 900 900 0.00 15 16 6.67
2018-02-14 13F-HR Point72 Asset Management, L.P. Call 250,000 4,470
2018-02-22 13F-HR Cable Hill Partners, LLC 2,000 0 -100.00 33 0 -100.00
2017-11-29 N-Q Vanguard Institutional Index Funds (see advisory)
2018-02-02 13F-HR US BANCORP \DE\ 15,807 17,098 8.17 264 305 15.53
2017-11-14 13F-HR THRIVENT FINANCIAL FOR LUTHERANS 290,860 0 -100.00 4,526 0 -100.00
2017-11-21 N-Q Meeder Funds (see advisory)
2018-02-12 13F-HR Florence Capital Advisors, LLC 307 307 0.00 5 5 0.00
2018-04-12 13F-HR JAMES INVESTMENT RESEARCH INC 143,575 36,450 -74.61 2,567 600 -76.63
2018-02-14 13F-HR ARDSLEY ADVISORY PARTNERS 1,160,000 0 -100.00 19,407 0 -100.00
2018-02-14 13F-HR Cubist Systematic Strategies, LLC 24,639 29,221 18.60 412 522 26.70
2017-11-29 N-Q Vanguard Index Funds (see advisory)
2018-02-28 N-Q Rydex Series Funds (see advisory)
2018-02-08 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 62,498 62,899 0.64 1,046 1,125 7.55
2018-02-13 13F-HR Investec Asset Management North America, Inc. 50,591 63,059 24.64 846 1,127 33.22
2018-02-13 13F-HR AllSquare Wealth Management LLC 30,900 30,900 0.00 517 552 6.77
2018-01-31 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0 710 0 13
2017-11-14 13F-HR Connor, Clark & Lunn Investment Management Ltd. 76,848 0 -100.00 1,196 0 -100.00
2018-01-31 13F-HR LSV ASSET MANAGEMENT 641,100 646,900 0.90 10,725 11,566 7.84
2018-01-25 SC 13G/A BlackRock Inc. 21,705,685 18,683,973 -13.92
2017-11-13 13F-HR Twin Tree Management, LP 713 0 -100.00 11 0 -100.00
2018-02-07 13F-HR Swiss National Bank 511,905 523,505 2.27 8,564 9,360 9.29
2017-10-26 N-Q American Century Strategic Asset Allocations Inc (see advisory)
2018-02-09 13F-HR Dynamic Technology Lab Private Ltd 22,372 0 -100.00 374 0 -100.00
2018-04-05 13F-HR Edge Wealth Management LLC 1,160 10,256 784.14 20 169 745.00
2018-02-09 13F-HR WEDBUSH SECURITIES INC 55,555 55,821 0.48 929 998 7.43
2018-02-27 N-Q Northern Funds (see advisory)
2018-02-14 13F-HR UBS Group AG 2,967,512 3,631,113 22.36 49,646 64,925 30.78
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 317,738 313,386 -1.37 5,315,757 5,603,342 5.41
2018-01-31 13F-HR Resources Investment Advisors, Inc. 4,595 0 -100.00 77 0 -100.00
2018-02-14 13F-HR HighTower Advisors, LLC 62,681 64,251 2.50 1,048 1,151 9.83
2018-02-01 13F-HR BNP Paribas Investment Partners S.A. 179,236 180,973 0.97 2,999 3,236 7.90
2017-11-08 13F-HR Plante Moran Financial Advisors, LLC 7,900 0 -100.00 123 0 -100.00
2018-02-12 13F-HR Navellier & Associates Inc 47,712 49,586 3.93 798 887 11.15
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Put 71,200 23,500 -66.99 1,191 420 -64.74
2018-02-09 13F-HR Twin Tree Management, LP Put 192,600 3,444
2018-01-22 13F-HR FIRST MANHATTAN CO 12,600 12,600 0.00 210 225 7.14
2018-01-29 13F-HR EXANE DERIVATIVES 440 206 -53.18 7,360 3,682 -49.97
2018-04-13 13F-HR Visionary Asset Management, Inc. 18,730 19,284 2.96 335 313 -6.57
2018-01-29 N-Q Saratoga Advantage Trust (see advisory)
2018-02-14 13F-HR QS Investors, LLC 334,250 391,067 17.00 5,592 6,992 25.04
2018-02-14 13F-HR Arete Wealth Advisors, LLC 27,735 23,085 -16.77 464 413 -10.99
2018-01-18 13F-HR ACADIAN ASSET MANAGEMENT LLC 67,251 0 -100.00 1,125 0 -100.00
2018-02-01 13F-HR Quantitative Systematic Strategies LLC 27,236 52,239 91.80 456 934 104.82
2018-02-06 13F-HR State of New Jersey Common Pension Fund D 280,500 290,500 3.57 4,693 5,194 10.68
2018-02-27 N-Q Vaneck Vectors Etf Trust (see advisory)
2018-02-28 13F-HR/A-1 FEDERATED INVESTORS INC /PA/ 26,160 15,700 -39.98 437 281 -35.70
2018-02-01 13F-HR Kovack Advisors, Inc. 13,032 233
2018-02-12 13F-HR Atlantic Trust Group, LLC 482,368 179,917 -62.70 8,070 3,217 -60.14
2018-02-12 13F-HR GRAND JEAN CAPITAL MANAGEMENT INC 13,110 13,110 0.00 219 234 6.85
2017-11-13 13F-HR Laurion Capital Management LP 10,700 0 -100.00 166 0 -100.00
2017-11-14 13F-HR Point72 Asia (Hong Kong) Ltd 5,517 0 -100.00 86 0 -100.00
2018-02-12 13F-HR CITIGROUP INC Call 15,700 4,800 -69.43 263 86 -67.30
2018-02-14 13F-HR Belpointe Asset Management Llc 21,860 22,310 2.06 366 399 9.02
2018-02-14 13F-HR D. E. Shaw & Co., Inc. 49,201 74,724 51.87 823 1,336 62.33
2018-02-09 13F-HR Bank of New York Mellon Corp 2,872,643 2,870,334 -0.08 48,058 51,322 6.79
2018-02-14 13F-HR WHITEBOX ADVISORS LLC 828,668 277,198 -66.55 13,864 4,956 -64.25
2017-10-24 N-Q Blackrock Funds (see advisory)
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 75,652 94,555 24.99 1,353 1,555 14.93
2018-02-14 13F-HR HSBC HOLDINGS PLC 16,135 21,371 32.45 270 382 41.48
2018-02-09 13F-HR Chiron Investment Management, LLC 559,868 883,268 57.76 9,367 15,793 68.60
2018-02-14 13F-HR/A-1 Boston Partners 313,183 243,512 -22.25 5,240 4,354 -16.91
2018-02-14 13F-HR ROYAL BANK OF CANADA 248,414 339,480 36.66 4,157 6,071 46.04
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 543,265 481,471 -11.37 9,089 8,609 -5.28
2018-02-02 13F-HR VIRGINIA RETIREMENT SYSTEMS ET AL 116,300 152,500 31.13 1,946 2,727 40.13
2018-02-08 13F-HR AVIANCE CAPITAL MANAGEMENT, LLC 807,605 733,665 -9.16 13,511 13,118 -2.91
2017-11-28 N-Q Jnl Variable Fund Llc (see advisory)
2018-02-02 13F-HR BEACON INVESTMENT ADVISORY SERVICES, INC. 14,000 14,000 0.00 234 250 6.84
2018-02-28 N-Q Ishares Trust (see advisory)
2018-04-06 13F-HR Berson & Corrado Investment Advisors, LLC 440,058 403,906 -8.22 7,868 6,644 -15.56
2017-11-29 N-Q Investment Managers Series Trust Ii (see advisory)
2018-02-14 13F-HR WHITEBOX ADVISORS LLC Call 1,000,000 0 -100.00 16,730 0 -100.00
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 467,587 508,481 8.75 7,823 9,092 16.22
2018-02-14 13F-HR Nuveen Fund Advisors, LLC 19,223 12,155 -36.77 322 217 -32.61
2018-02-13 13F-HR PRUDENTIAL FINANCIAL INC 504,005 543,035 7.74 8,432 9,709 15.14
2017-10-21 13F-HR WHITTIER TRUST CO 3,335 0 -100.00 52 0 -100.00
2018-02-16 13F-HR Banco De Sabadell, S.a 30,145 538
2017-11-03 13F-HR Breton Hill Capital Ltd. 29,594 25,397 -14.18 460 425 -7.61
2018-02-09 SC 13G/A VANGUARD GROUP INC 19,247,476 25,137,102 30.60
2018-02-08 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 13,869 16,929 22.06 232 303 30.60
2018-04-11 13F-HR MENLO ADVISORS LLC 134,790 134,790 0.00 2,410 2,217 -8.01
2018-02-14 13F-HR Pacer Advisors, Inc. 49,008 0 -100.00 820 0 -100.00
2017-10-27 N-Q Etf Series Solutions (see advisory)
2018-02-13 13F-HR ARES MANAGEMENT LLC 253,700 253,700 0.00 4,244 4,536 6.88
2018-02-21 13F-HR/A-1 Xact Kapitalforvaltning AB 21,394 383
2018-02-14 13F-HR Jefferies Group LLC Put 130,000 0 -100.00 2,175 0 -100.00
2018-02-14 13F-HR Independent Advisor Alliance 25,649 26,821 4.57 440 477 8.41
2018-02-13 13F-HR ALLIANCEBERNSTEIN L.P. 999,961 778,681 -22.13 16,729 13,923 -16.77
2017-11-14 13F-HR ARDSLEY ADVISORY PARTNERS Call 1,000,000 0 -100.00 15,560 0 -100.00
2018-02-14 13F-HR RAYMOND JAMES & ASSOCIATES 242,155 247,869 2.36 4,051 4,432 9.41
2018-02-02 13F-HR TELEMUS CAPITAL, LLC 350,970 394,620 12.44 5,872 7,056 20.16
2018-02-07 13F-HR Brookstone Capital Management 21,158 22,476 6.23 354 402 13.56
2018-02-09 13F-HR Swift Run Capital Management, LLC 344,925 335,559 -2.72 5,771 6,000 3.97
2018-02-09 13F-HR Stratos Wealth Partners, LTD. 12,230 12,495 2.17 205 223 8.78
2018-02-14 13F-HR CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 0 188,748 0 3,374
2018-02-14 13F-HR Voya Investment Management LLC 92,522 89,429 -3.34 1,548 1,599 3.29
2018-02-15 13F-HR Sterling Capital Management LLC 91,054 91,054 0.00 1,523 1,628 6.89
2018-01-29 N-Q Consulting Group Capital Markets Funds (see advisory)
2018-02-28 N-Q Gps Funds I (see advisory)
2018-02-14 13F-HR EARNEST PARTNERS LLC 0 1,650 0 30
2018-02-09 13F-HR CITADEL ADVISORS LLC Put 20,200 73,400 263.37 338 1,312 288.17
2018-04-12 13F-HR Valeo Financial Advisors, Llc 61 61 0.00 1 1 0.00
2018-02-08 13F-HR FIRST TRUST ADVISORS LP 1,346,443 1,243,359 -7.66 22,526 22,231 -1.31
2018-02-14 13F-HR Squarepoint Ops LLC 68,314 32,342 -52.66 1,143 578 -49.43
2017-11-29 N-Q Vanguard Tax-managed Funds (see advisory)
2018-02-14 13F-HR DRIEHAUS CAPITAL MANAGEMENT LLC 0 109,429 0 1,957
2018-02-14 13F-HR TWO SIGMA ADVISERS, LP 0 14,835 0 265
2017-11-06 13F-HR Spot Trading L.l.c. 10,969 15,602 42.24 171 261 52.63
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-02-14 13F-HR Utah Retirement Systems 56,246 56,946 1.24 941 1,018 8.18
2018-02-12 13F-HR Financial Architects, Inc 3,020 1,521 -49.64 50 27 -46.00
2018-02-02 13F-HR Omnia Family Wealth, LLC 92 92 0.00 2 2 0.00
2018-01-30 13F-HR Iron Financial, LLC 26,075 10,075 -61.36 436 180 -58.72
2017-11-14 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 126,464 0 -100.00 1,968 0 -100.00
2018-02-14 13F-HR DEUTSCHE BANK AG\ 1,254,891 334,500 -73.34 20,992 5,978 -71.52
2017-11-20 13F-HR GSA CAPITAL PARTNERS LLP 35,041 0 -100.00 545 0 -100.00
2018-02-14 13F-HR Paloma Partners Management Co 20,418 20,943 2.57 342 375 9.65
2017-11-06 13F-HR Massey, Quick & Co., LLC 750 0 -100.00 12 0 -100.00
2018-02-02 13F-HR COMERICA BANK 12,483 12,269 -1.71 218 218 0.00
2018-02-28 N-Q Seasons Series Trust (see advisory)
2018-04-16 13F-HR BALDWIN BROTHERS INC/MA 8,000 7,580 -5.25 143 125 -12.59
2018-01-17 13F-HR Cutler Group LP Put 14,300 4,600 -67.83 5 0 -100.00
2017-11-14 13F-HR GENERAL RE NEW ENGLAND ASSET MANAGEMENT INC 45,000 0 -100.00 700 0 -100.00
2018-02-07 13F-HR Penserra Capital Management LLC 3,913 0 -100.00 66 0 -100.00
2017-11-29 N-Q Natixis Funds Trust I (see advisory)
2018-02-22 13F-HR Cambridge Investment Research Advisors, Inc. 174,462 189,187 8.44 2,919 3,383 15.90
2018-02-13 13F-HR MML INVESTORS SERVICES, LLC 44,146 44,240 0.21 739 791 7.04
2018-04-12 13F-HR HUDSON VALLEY INVESTMENT ADVISORS INC /ADV 11,300 11,300 0.00 202 186 -7.92
2018-03-01 N-Q Resource Real Estate Diversified Income Fund (see advisory)
2018-02-08 13F-HR Cetera Advisor Networks LLC 20,375 21,725 6.63 343 391 13.99
2018-02-02 13F-HR SMITHFIELD TRUST CO 1,850 33
2017-11-29 N-Q Vanguard Valley Forge Funds (see advisory)
2017-11-09 13F-HR LMR Partners LLP 421,118 0 -100.00 6,553 0 -100.00
2018-02-06 13F-HR Wellington Shields Capital Management, LLC 15,150 34,050 124.75 253 609 140.71
2018-02-14 13F-HR WOLVERINE TRADING, LLC Call 0 23,800 0 426
2018-04-19 13F-HR VALLEY NATIONAL ADVISERS INC 2 1 -50.00
2018-02-13 13F-HR WADE G W & INC 14,587 0 -100.00 244 0 -100.00
2018-02-13 13F-HR Edge Advisors, Llc 47,500 47,500 0.00 794 849 6.93
2018-02-12 13F-HR Skandinaviska Enskilda Banken AB (publ) 521,250 2,566,950 392.46 8,721 45,897 426.28
2017-10-27 N-Q Stone Ridge Trust (see advisory)
2018-02-09 13F-HR AMERICAN INTERNATIONAL GROUP INC 0 6,422 0 115
2017-11-06 13F-HR Spot Trading L.l.c. Call 56,000 937
2018-02-14 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 9,201 8,868 -3.62 154 159 3.25
2018-01-19 13F-HR World Asset Management Inc 11,248 11,027 -1.96 188 197 4.79
2018-02-08 13F-HR MCKINLEY CAPITAL MANAGEMENT LLC /DELAWARE 112,837 107,107 -5.08 1,888 1,915 1.43
2018-02-14 13F-HR Advisor Group, Inc. 34,021 41,796 22.85 569 746 31.11
2018-02-13 13F-HR STEVENS CAPITAL MANAGEMENT LP 195,050 0 -100.00 3,263 0 -100.00
2018-02-09 13F-HR USCA RIA LLC 11,800 11,800 0.00 184 211 14.67
2018-02-14 13F-HR GUGGENHEIM CAPITAL LLC 666,776 647,674 -2.86 11,156 11,581 3.81
2018-02-14 13F-HR Fortress Investment Group LLC 518,545 518,545 0.00 8,675 9,272 6.88
2017-11-29 N-Q Blackrock Variable Series Funds, Inc. (see advisory)
2018-02-13 13F-HR PITCAIRN CO 36,487 34,978 -4.14 611 625 2.29
2018-02-12 13F-HR CITIGROUP INC 5,605,263 5,447,461 -2.82 93,776 97,401 3.87
2018-02-13 13F-HR Allianz Asset Management AG 2,922,043 2,905,912 -0.55 48,886 51,958 6.28
2018-03-01 N-Q Sei Institutional Managed Trust (see advisory)
2018-02-09 13F-HR SUNTRUST BANKS INC 58,826 40,135 -31.77 982 716 -27.09
2018-01-24 13F-HR IFP Advisors, Inc 10,525 6,781 -35.57 176 121 -31.25
2018-02-14 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 18,170 40,306 121.83 304 720 136.84
2018-02-23 N-Q Sterling Capital Funds (see advisory)
2018-01-26 N-Q Fidelity Commonwealth Trust Ii (see advisory)
2018-02-13 13F-HR Invictus RG 19,110 0 -100.00 320 0 -100.00
2018-02-09 13F-HR Centaurus Financial, Inc. 662,346 11,843
2017-11-09 13F-HR SCHRODER INVESTMENT MANAGEMENT GROUP 11,700 0 -100.00 186 0 -100.00
2018-01-26 13F-HR Eagle Ridge Investment Management 18,613 18,613 0.00 311 333 7.07
2018-01-29 N-Q Claymore Exchange-traded Fund Trust (see advisory)
2018-02-14 13F-HR Jefferies Group LLC Call 130,000 129,500 -0.38 2,175 2,315 6.44
2018-02-01 13F-HR VICTORY CAPITAL MANAGEMENT INC 466 1,394 199.14 8 25 212.50
2018-02-14 13F-HR MILLENNIUM MANAGEMENT LLC 3,700,390 2,346,221 -36.60 61,908 41,950 -32.24
2018-02-08 13F-HR Global X Management CO LLC 677,569 701,271 3.50 11,336 12,539 10.61
2018-02-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 1,018,130 990,445 -2.72 17,033 17,709 3.97
2018-01-17 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 1,734,966 1,849,926 6.63 29,026 33,077 13.96
2018-01-26 N-Q Fidelity Select Portfolios (see advisory)
2018-02-14 13F-HR NGAM ADVISORS, L.P. 320,392 306,710 -4.27 5,360 5,484 2.31
2018-02-13 13F-HR ROPES WEALTH ADVISORS LLC 251 251 0.00 4 4 0.00
2018-01-31 13F-HR DUPONT CAPITAL MANAGEMENT Corp 277,700 267,400 -3.71 4,646 4,781 2.91
2018-02-13 13F-HR JP Morgan Chase & Co 506,029 36,087 -92.87 8,748 646 -92.62
2017-11-14 13F-HR JANE STREET GROUP, LLC 248,481 0 -100.00 3,866 0 -100.00
2017-11-14 13F-HR SAMLYN CAPITAL, LLC 784,100 0 -100.00 12,201 0 -100.00
2018-02-12 13F-HR Pacad Investment Ltd. 0 15,700 0 281
2018-02-15 13F-HR Her Majesty the Queen in Right of the Province of Alberta as represented by Alberta Investment Management Corp 60,200 180,700 200.17 1,007 3,231 220.85
2018-01-17 N-Q Ssga Funds (see advisory)
2018-01-10 13F-HR SIMPLEX TRADING, LLC Call 68 144 111.76 1 6 500.00
2018-02-16 13F-HR We Are One Seven, Llc 42 1
2018-02-14 13F-HR PANAGORA ASSET MANAGEMENT INC 602,435 471,090 -21.80 10,079 8,423 -16.43
2018-02-14 13F-HR LMM LLC 311,750 311,750 0.00 5,216 5,574 6.86
2018-04-19 13F-HR SeaBridge Investment Advisors LLC 213,475 208,580 -2.29 3,817 3,431 -10.11
2018-02-09 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 36,945 36,945 0.00 637 659 3.45
2017-11-13 13F-HR BOSTON PRIVATE WEALTH LLC 305,700 0 -100.00 4,757 0 -100.00
2018-02-14 13F-HR Entrustpermal Partners Offshore Lp 167,500 2,995
2018-02-02 13F-HR MEEDER ASSET MANAGEMENT INC 25,156 198,029 687.20 421 3,542 741.33
2017-11-14 13F-HR BlueCrest Capital Management Ltd 352,427 0 -100.00 5,484 0 -100.00
2018-02-12 13F-HR ADVANTAGE INVESTMENT MANAGEMENT, LLC 5,522 6,166 11.66 92 110 19.57
2017-11-29 N-Q Hc Capital Trust (see advisory)
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 303,900 83,100 -72.66 5,084 1,486 -70.77
2018-04-02 13F-HR PARK NATIONAL CORP /OH/ 21,000 26,000 23.81 375 428 14.13
2018-01-30 13F-HR CHICAGO EQUITY PARTNERS LLC 1,053,610 1,063,195 0.91 17,627 19,010 7.85
2017-12-29 N-Q First Trust Exchange-traded Alphadex Fund (see advisory)
2017-11-14 13F-HR Scoria Capital Partners LP 70,000 115,000 64.29 1,089 1,924 76.68
2018-03-01 N-Q Trust For Advised Portfolios (see advisory)
2017-11-14 13F-HR Walleye Trading LLC Put 200 7,400 3,600.00 3 123 4,000.00
2018-02-02 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 9,656 43,933 354.98 162 786 385.19
2018-02-12 13F-HR OPPENHEIMER FUNDS INC 10,470 13,865 32.43 175 248 41.71
2017-11-22 N-Q Tiaa-cref Life Funds (see advisory)
2018-02-06 13F-HR AE Wealth Management LLC 17,937 19,485 8.63 300 348 16.00
2018-02-14 13F-HR BARCLAYS PLC 77,126 24,676 -68.01 1,290 441 -65.81
2018-01-30 13F-HR BESSEMER GROUP INC 377 377 0.00 6 7 16.67
2018-02-13 13F-HR Parallel Advisors, LLC 5,789 5,289 -8.64 101 95 -5.94
2018-02-14 13F-HR AQR CAPITAL MANAGEMENT LLC 50,617 50,617 0.00 847 905 6.85
2018-02-14 13F-HR Acorn Wealth Advisors, Llc 200 4
2017-10-27 N-Q Unified Series Trust (see advisory)
2018-02-01 13F-HR Harel Insurance Investments & Financial Services Ltd. 1,667 30
2017-11-17 N-Q Osi Etf Trust (see advisory)
2018-02-09 13F-HR LLBH Private Wealth Management, LLC 13,114 13,114 0.00 219 231 5.48
2018-02-14 13F-HR LPL Financial LLC 112,556 122,655 8.97 1,883 2,193 16.46
2018-02-14 13F-HR HighVista Strategies LLC 17,900 15,300 -14.53 299 274 -8.36
2018-02-01 13F-HR SUMMIT SECURITIES GROUP, LLC Put 825 0 -100.00 1,380 0 -100.00
2018-02-22 13F-HR Certified Advisory Corp 35,158 628
2018-02-07 13F-HR PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. 15,624 279
2018-01-25 13F-HR VAUGHAN NELSON INVESTMENT MANAGEMENT, L.P. 4,195,465 4,009,915 -4.42 70,190 71,696 2.15
2018-01-29 13F-HR Cowen Prime Services LLC 4,500 4,500 0.00 75 80 6.67
2018-02-14 13F-HR TWO SIGMA INVESTMENTS LLC Put 10,800 193
2018-02-12 13F-HR Cipher Capital LP 50,041 0 -100.00 837 0 -100.00
2018-01-26 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-06 13F-HR Russell Investments Group, Ltd. 20,102 166,477 728.16 337 3,008 792.58
2018-02-08 13F-HR First Allied Advisory Services, Inc. 17,362 16,226 -6.54 292 288 -1.37
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 2,640,397 1,167,788 -55.77 47,210 19,210 -59.31
2018-02-12 13F-HR RAMSEY QUANTITATIVE SYSTEMS 17,617 315
2017-11-22 N-Q Tiaa Separate Account Va 1 (see advisory)
2018-02-14 13F-HR BlueMountain Capital Management, LLC 125,855 235,461 87.09 2,106 4,210 99.91
2017-11-28 N-Q Northern Lights Fund Trust (see advisory)
2018-02-14 13F-HR Summit Trail Advisors, Llc 580 10
2018-02-12 13F-HR Bayesian Capital Management, LP 16,300 48,000 194.48 273 858 214.29
2017-12-28 N-Q Fidelity Covington Trust (see advisory)
2017-11-14 13F-HR D. E. Shaw & Co., Inc. Call 40,000 0 -100.00 622 0 -100.00
2018-02-14 13F-HR TLP GROUP LLC 62 11 -82.26 1 0 -100.00
2018-02-13 13F-HR ASSETMARK, INC 693,815 696,288 0.36 11,608 12,450 7.25
2018-02-09 13F-HR HAP Trading, LLC 27,241 0 -100.00 456 0 -100.00
2018-04-18 13F-HR WealthTrust-Arizona, LLC 1,908 1,888 -1.05 34 31 -8.82
2017-11-14 13F-HR Point72 Asset Management, L.P. 1,251,600 0 -100.00 19,475 0 -100.00
2017-11-13 13F-HR CIBC World Markets Inc. 63,814 0 -100.00 993 0 -100.00
2018-02-15 13F-HR/A-1 Balentine LLC 5,000 4,000 -20.00 84 72 -14.29
2018-02-14 13F-HR CAXTON ASSOCIATES LP 33,600 0 -100.00 562 0 -100.00
2018-01-24 13F-HR Vantage Investment Advisors, LLC 500 9
2017-11-08 13F-HR D.A. DAVIDSON & CO. 1,050 0 -100.00 16 0 -100.00
2018-02-21 13F-HR/A-1 West Family Investments, Inc. 19,646 19,646 0.00 329 351 6.69
2018-01-19 13F-HR Phoenix Investment Adviser LLC 74,000 0 -100.00 1,238 0 -100.00
2018-02-14 13F-HR Game Creek Capital, Lp 15,300 274
2018-02-02 13F-HR Sandy Spring Bank 500 0 -100.00 8 0 -100.00
2018-02-14 13F-HR STIFEL FINANCIAL CORP 235,290 240,801 2.34 3,928 4,305 9.60
2018-02-07 13F-HR FFCM LLC 6,976 5,766 -17.35 120 102 -15.00
2018-02-08 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 145,648 146,057 0.28 2,437 2,611 7.14
2018-02-14 13F-HR LOOMIS SAYLES & CO L P 18,475 18,475 0.00 309 330 6.80
2018-04-18 13F-HR Creative Planning 86,387 85,052 -1.55 1,545 1,399 -9.45
2017-11-01 13F-HR/A-1 RFG Advisory Group, LLC 18,719 0 -100.00 251 0 -100.00
2018-04-18 13F-HR REGIONS FINANCIAL CORP 2,500 2,500 0.00 45 41 -8.89
2018-02-28 13F-HR Paulson Wealth Management Inc. 1,222 22
2018-01-10 13F-HR SIMPLEX TRADING, LLC Put 152 103 -32.24 5 3 -40.00
2018-04-12 13F-HR Advocacy Wealth Management Services, LLC 500 500 0.00 9 8 -11.11
2018-04-16 13F-HR NWAM LLC 223,717 218,462 -2.35 4,000 3,594 -10.15
2018-02-03 13F-HR BALASA DINVERNO & FOLTZ LLC 11,261 21,808 93.66 188 390 107.45
2018-01-16 13F-HR NEXT Financial Group, Inc 8,083 0 -100.00 139 0 -100.00
2018-02-01 13F-HR TCI Wealth Advisors, Inc. 6,060 6,930 14.36 101 124 22.77
2018-02-08 13F-HR Trust Investment Advisors 81,725 81,725 0.00 1,367 1,461 6.88
2018-02-14 13F-HR PEAK6 Investments, L.P. Call 241,400 58,700 -75.68 4,039 1,050 -74.00
2018-04-18 13F-HR GARNET EQUITY CAPITAL HOLDINGS, INC. 129,500 0 -100.00 2,315 0 -100.00
2018-02-14 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 6,840 6,375 -6.80 114 114 0.00
2018-02-14 13F-HR Rafferty Asset Management, LLC 51,248 67,001 30.74 857 1,198 39.79
2018-02-02 13F-HR Cedar Capital, LLC 396,785 333,457 -15.96 6,638 5,962 -10.18
2018-02-08 13F-HR Global Financial Private Capital, LLC 24,527 22,357 -8.85 410 400 -2.44
2018-02-14 13F-HR PEAK6 Investments, L.P. Put 107,500 29,700 -72.37 1,798 531 -70.47
2018-01-10 13F-HR SIMPLEX TRADING, LLC 7,641 30,981 305.46 127 553 335.43
2018-02-13 13F-HR ClariVest Asset Management LLC 511,877 505,067 -1.33 8,564 9,031 5.45
2018-02-14 13F-HR Capital Bank & Trust Co 1,160 0 -100.00 19 0 -100.00
2018-02-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 0 69,842 0 1,249
2018-01-30 13F-HR JNBA Financial Advisors 1,200 1,200 0.00 20 21 5.00
2018-02-14 13F-HR Bluefin Trading, LLC 28,223 0 -100.00 472 0 -100.00
2018-02-09 13F-HR Twin Tree Management, LP Call 132,700 586,200 341.75 2,220 10,481 372.12
2018-02-12 13F-HR DREMAN VALUE MANAGEMENT, L L C 24,976 24,976 0.00 418 447 6.94
2018-02-12 13F-HR BANK OF HAWAII 0 12,670 0 227
2018-02-12 13F-HR FMR LLC / Fidelity 1,317,409 1,556,190 18.13 22,040 27,825 26.25
2017-12-07 13F-HR/A-1 683 Capital Management, LLC 231,500 25,000 -89.20 3,197 393 -87.71
2017-11-14 13F-HR PEAK6 Investments, L.P. 7,023 0 -100.00 109 0 -100.00
2018-02-05 13F-HR Blue Sky Asset Management, LLC 16,275 0 -100.00 268 0 -100.00
2018-02-14 13F-HR/A-1 Robeco Institutional Asset Management B.V. 19,328 19,328 0.00 323 346 7.12
2018-02-16 N-Q Managed Portfolio Series (see advisory)
2018-04-06 13F-HR Eqis Capital Management, Inc. 10,004 165
2018-02-15 13F-HR GLENMEDE TRUST CO NA 531 231 -56.50 8 4 -50.00
2018-02-14 13F-HR MONETARY MANAGEMENT GROUP INC 23,100 38,800 67.97 386 694 79.79
2018-02-06 13F-HR M&T BANK CORP 0 15,881 0 284
2017-11-14 13F-HR Walleye Trading LLC Call 2,400 0 -100.00 37 0 -100.00
2018-02-14 13F-HR Genovese Burford & Brothers Wealth & Retirement Plan Management, LLC 200 0 -100.00 3 0 -100.00
2017-10-26 13F-HR Acrospire Investment Management LLC 697 0 -100.00 11 0 -100.00
2018-01-17 13F-HR Cutler Group LP Call 1,600 2,800 75.00 0 2
2018-02-14 13F-HR Bramshill Investments, Llc 63,321 1,132
2018-02-12 13F-HR Stansberry Asset Management, Llc 28,253 505
2018-01-30 13F-HR Private Advisory Group LLC 18,662 30,967 65.94 312 554 77.56
2018-01-31 13F-HR Sageworth Trust Co 1,000 1,000 0.00 17 18 5.88
2017-12-21 N-Q American Pension Investors Trust (see advisory)
2018-02-14 13F-HR Mana Advisors Llc 15,800 283
2018-02-09 13F-HR RHUMBLINE ADVISERS 285,390 283,872 -0.53 4,775 5,076 6.30
2018-02-14 13F-HR MORGAN STANLEY 2,399,757 2,216,483 -7.64 40,149 39,631 -1.29
2018-02-23 13F-HR/A-2 TEACHER RETIREMENT SYSTEM OF TEXAS 25,393 105,340 314.84 425 1,883 343.06
2018-02-14 13F-HR AMP Capital Investors Ltd 40,513 47,642 17.60 678 852 25.66
2018-01-19 13F-HR Winslow, Evans & Crocker, Inc. 498 498 0.00 8,316 8,888 6.88
2018-01-29 13F-HR American Assets Capital Advisers 1,091,270 1,479,504 35.58 18,257 26,453 44.89
2018-02-14 13F-HR Wealthcare Advisory Partners LLC 100 100 0.00 2 2 0.00
2018-02-05 13F-HR STEPHENS INC /AR/ 60,609 61,164 0.92 1,014 1,094 7.89
2018-02-14 13F-HR ALPINE WOODS CAPITAL INVESTORS, LLC 394,000 0 -100.00 6,592 0 -100.00
2018-01-31 13F-HR QUADRANT CAPITAL GROUP LLC 857 857 0.00 14 15 7.14
2017-12-28 N-Q Federated Mdt Series (see advisory)
2018-02-14 13F-HR Parallax Volatility Advisers, L.P. 29 0 -100.00 0 0
2018-02-12 13F-HR Nan Shan Life Insurance Co., Ltd. 10,619,145 189,870
2018-02-14 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 493,800 391,300 -20.76 8,261 6,996 -15.31
2018-02-13 13F-HR Advisors Asset Management, Inc. 1,323,677 1,089,067 -17.72 22,145 19,473 -12.07
2018-02-01 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 282,350 298,760 5.81 4,724 5,342 13.08
2018-02-16 13F-HR SALEM INVESTMENT COUNSELORS INC 500 500 0.00 8 9 12.50
2018-02-08 13F-HR Candlewood Investment Group, LP 230,000 230,000 0.00 3,848 4,112 6.86
2018-02-15 13F-HR Lido Advisors, LLC 11,112 198
2018-02-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 141,000 156,796 11.20 2,359 2,804 18.86
2018-02-14 13F-HR BANK OF AMERICA CORP /DE/ 4,617,422 4,542,420 -1.62 77,249 81,218 5.14
2018-02-02 13F-HR Checchi Capital Advisers, LLC 74,511 74,179 -0.45 1,247 1,326 6.34
2018-04-19 13F-HR Janney Montgomery Scott LLC 100,675 70,354 -30.12 1,800 1,157 -35.72
2018-02-15 13F-HR DOHENY ASSET MANAGEMENT /CA 568,100 600,800 5.76 9,504 10,742 13.03
2018-02-20 13F-HR/A-1 ALPS ADVISORS INC 28,481 28,481 0.00 476 509 6.93
2018-03-28 13F-HR Chicago Partners Investment Group LLC 2,174 1,484 -31.74 36 27 -25.00
2018-02-05 13F-HR CADENCE CAPITAL MANAGEMENT LLC 10,132 10,132 0.00 170 181 6.47
2017-11-13 13F-HR Wellington Management Group LLP 223,779 0 -100.00 3,482 0 -100.00
2018-02-14 13F-HR Krilogy Financial LLC 5,867 5,867 0.00 98 105 7.14
2018-02-14 13F-HR Neuberger Berman Group LLC 398,969 398,778 -0.05 6,675 7,170 7.42
2018-02-09 13F-HR GROUP ONE TRADING, L.P. Call 29,700 10,700 -63.97 497 191 -61.57
2018-03-05 13F-HR/A-1 NORGES BANK 2,352,238 2,589,496 10.09 36,977 46,300 25.21
2018-02-09 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 8,052 8,537 6.02 135 153 13.33
2018-02-14 13F-HR Vident Investment Advisory, LLC 12,239 21,869 78.68 205 391 90.73
2018-02-12 13F-HR PRINCIPAL FINANCIAL GROUP INC 1,053,855 1,174,704 11.47 17,631 21,004 19.13
2018-01-30 13F-HR Joel Isaacson & Co., LLC 68,603 66,916 -2.46 1,148 1,196 4.18
2018-02-12 13F-HR VAN ECK ASSOCIATES CORP 453,323 490,803 8.27 7,584 8,776 15.72
2018-02-09 13F-HR GROUP ONE TRADING, L.P. 6,444 30,107 367.21 108 538 398.15
2018-02-14 13F-HR ProShare Advisors LLC 71,814 81,146 12.99 1,201 1,451 20.82
2017-11-14 13F-HR FIFTH THIRD BANCORP 600 0 -100.00 9 0 -100.00
2018-04-18 13F-HR Sonora Investment Management, LLC 15,000 15,000 0.00 268,200 246,750 -8.00
2018-02-14 13F-HR KINGSTOWN CAPITAL MANAGEMENT L.P. 2,250,000 2,250,000 0.00 37,643 40,230 6.87
2018-02-14 13F-HR Omega Advisors Inc. 1,417,800 0 -100.00 23,720 0 -100.00
2018-02-14 13F-HR PROFUND ADVISORS LLC 15,673 11,020 -29.69 262 197 -24.81
2018-01-16 13F-HR CWM, LLC 30 30 0.00 1 1 0.00
2018-02-16 13F-HR/A-1 Commonwealth Equity Services, Inc 76,671 79,794 4.07 1,193 1,335 11.90
2018-04-16 13F-HR Capital Investment Advisors, LLC 316,909 314,223 -0.85 5,666 5,169 -8.77
2017-11-29 N-Q Amg Funds Ii (see advisory)
2018-02-13 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 670,500 682,500 1.79 11,217 12,203 8.79
2017-12-28 N-Q Fidelity Salem Street Trust (see advisory)
2017-11-20 N-Q Fqf Trust (see advisory)
2017-11-14 13F-HR Baird Financial Group, Inc. 10,337 0 -100.00 161 0 -100.00
2018-04-05 13F-HR VNBTrust, National Association 30,850 27,250 -11.67 552 448 -18.84
2018-02-02 13F-HR Aperio Group, LLC 140,973 332,375 135.77 2,358 5,943 152.04
2018-02-13 13F-HR Kaizen Advisory, Llc 62,363 1,115
2018-02-05 13F-HR SILVER CAPITAL MANAGEMENT LLC 33,705 33,705 0.00 564 604 7.09
2018-02-14 13F-HR Jefferies Group LLC 123,986 246,877 99.12 2,074 4,414 112.83
2017-11-14 13F-HR Walleye Trading LLC 15,065 3,124 -79.26 234 52 -77.78
2017-11-16 13F-HR AMERICAFIRST CAPITAL MANAGEMENT, LLC 17,235 0 -100.00 268 0 -100.00
2018-02-28 N-Q Timothy Plan (see advisory)
2018-02-14 13F-HR BALYASNY ASSET MANAGEMENT LLC 0 74,911 0 1,339
2018-02-13 13F-HR UNITED CAPITAL FINANCIAL ADVISERS, LLC 72,510 15,500 -78.62 1,213 280 -76.92
2017-11-08 13F-HR HAP Trading, LLC Put 590,100 0 -100.00 3 0 -100.00
2018-02-13 13F-HR Yorktown Management & Research Co Inc 1,250,000 1,250,000 0.00 20,913 22,350 6.87
2018-02-09 13F-HR CITADEL ADVISORS LLC 98,614 70,732 -28.27 1,650 1,265 -23.33
2018-02-13 13F-HR Investec Asset Management LTD 1,437,405 1,824,120 26.90 24,048 32,615 35.62
2018-03-12 13F-HR/A-1 HENDERSON GROUP PLC 273,908 238,871 -12.79 4,582 4,271 -6.79
2018-03-05 13F-HR/A-1 BNP PARIBAS ARBITRAGE, SA 373,459 393,536 5.38 6,247,969 7,036,424 12.62
2018-02-13 13F-HR Renaissance Technologies LLC 1,565,005 1,071,405 -31.54 26,183 19,157 -26.83
2018-02-08 13F-HR Advisory Services Network, LLC 1,572 4,473 184.54 26 80 207.69
2017-11-21 N-Q James Advantage Funds (see advisory)
2018-01-23 N-Q Schwab Strategic Trust (see advisory)
2018-04-19 13F-HR Orinda Asset Management LLC 45,000 130,400 189.78 805 2,145 166.46
2018-01-30 13F-HR Meridian Wealth Management, LLC 17,660 17,660 0.00 295 295 0.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC Put 0 51,400 0 919
2018-02-13 13F-HR AMALGAMATED BANK 55,389 58,893 6.33 927 1,053 13.59
2017-11-14 13F-HR Teewinot Capital Advisers, L.L.C. 84,400 0 -100.00 1,313 0 -100.00
2018-02-12 13F-HR Quantbot Technologies LP 31,112 0 -100.00 520 0 -100.00
2018-02-28 N-Q Northern Lights Fund Trust Iii (see advisory)
2018-02-12 13F-HR Sheaff Brock Investment Advisors, LLC 29,250 30,956 5.83 489 553 13.09
2018-02-14 13F-HR Sound Income Strategies, Llc 12 0
2018-01-12 13F-HR KAMES CAPITAL plc 328,901 410,096 24.69 5,503 7,333 33.25
2017-10-30 13F-HR AFFINITY INVESTMENT ADVISORS, LLC 17,003 0 -100.00 265 0 -100.00
2018-02-09 13F-HR Alpha Cubed Investments, LLC 29,743 532
2018-02-01 13F-HR SUMMIT SECURITIES GROUP, LLC 92,900 0 -100.00 1,554 0 -100.00
2018-02-13 13F-HR GEODE CAPITAL MANAGEMENT, LLC 2,736,060 2,881,995 5.33 45,774 51,530 12.57
2018-02-14 13F-HR TEACHERS ADVISORS INC 1,178,374 1,242,684 5.46 19,714 22,219 12.71
2018-01-24 13F-HR SG Americas Securities, LLC 44,669 0 -100.00 747 0 -100.00
2018-02-12 13F-HR Winfield Associates, Inc. 154,767 156,667 1.23 2,589 2,802 8.23
2018-02-16 13F-HR NORTHERN OAK WEALTH MANAGEMENT INC 4,075 73
2018-01-25 13F-HR Providence First Trust Co 108,352 108,352 0.00 1,813 1,937 6.84
2018-02-14 13F-HR Verition Fund Management LLC 11,727 0 -100.00 196 0 -100.00
2018-02-06 13F-HR Wellington Shields & Co., LLC 26,100 27,500 5.36 437 492 12.59
2017-11-22 N-Q Principal Exchange-traded Funds (see advisory)
2018-01-24 13F-HR Advisors Capital Management, LLC 990,154 911,058 -7.99 16,565 16,290 -1.66
2018-02-09 13F-HR Virtu Financial LLC 25,075 15,694 -37.41 420 281 -33.10
2018-02-02 13F-HR Seacrest Wealth Management, Llc 378 7
2018-02-14 13F-HR Alyeska Investment Group, L.P. 97,891 0 -100.00 1,638 0 -100.00
2018-04-18 13F-HR Stuart Chaussee & Associates, Inc. 900 0 -100.00 16 0 -100.00
2018-02-09 13F-HR CITADEL ADVISORS LLC Call 41,200 19,100 -53.64 689 342 -50.36
2018-02-13 13F-HR Financial Gravity Companies, Inc. 198 3
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 118,075 118,075 0.00 1,975 2,111 6.89
2018-02-12 13F-HR CITIGROUP INC Put 17,400 23,100 32.76 291 413 41.92
2018-02-14 13F-HR Invesco Ltd. 1,612,269 1,464,083 -9.19 26,973 26,178 -2.95
2018-02-13 13F-HR Cavalier Investments 33,200 33,200 0.00 555 594 7.03
2018-04-17 13F-HR FOX RUN MANAGEMENT, L.L.C. 20,500 0 -100.00 367 0 -100.00
2018-02-14 13F-HR DekaBank Deutsche Girozentrale 12,745 12,745 0.00 215 215 0.00
2018-02-14 13F-HR WOLVERINE TRADING, LLC 0 53,642 0 959
2018-02-08 13F-HR BABSON CAPITAL MANAGEMENT LLC 34,360 60,640 76.48 575 1,084 88.52
2018-04-13 13F-HR North Star Investment Management Corp. 100 100 0.00 2 2 0.00
2018-02-06 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 524,932 557,920 6.28 8,782 9,976 13.60
2018-02-14 13F-HR Deer Park Road Corp 510,000 9,119
2018-02-08 13F-HR SEI INVESTMENTS CO 231 433 87.45 4 8 100.00
2018-02-09 13F-HR CAPITAL FUND MANAGEMENT S.A. 1,150,701 1,087,741 -5.47 19,251 19,449 1.03
2018-02-15 13F-HR BB&T SECURITIES, LLC 482,718 454,152 -5.92 8,075 8,120 0.56
2018-01-31 13F-HR Mutual of America Capital Management LLC 3,500 3,500 0.00 59 63 6.78
2018-01-24 N-Q Deutsche Institutional Funds (see advisory)
2018-02-14 13F-HR GOLDMAN SACHS GROUP INC 2,234,672 2,349,835 5.15 37,386 42,015 12.38
2018-04-10 13F-HR CHESLEY TAFT & ASSOCIATES LLC/IL 31,550 30,750 -2.54 564 506 -10.28
2018-02-14 13F-HR NORTHERN TRUST CORP 2,432,822 2,454,106 0.87 40,701 43,879 7.81
2018-02-14 13F-HR HBK INVESTMENTS L P 109,731 0 -100.00 1,836 0 -100.00
2018-02-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 470,800 134,100 -71.52 7,876 2,398 -69.55
2017-12-28 N-Q Fidelity Securities Fund (see advisory)
2018-02-14 13F-HR BECK CAPITAL MANAGEMENT, LLC 227,361 246,292 8.33 3,804 4,404 15.77
2018-02-12 13F-HR Penn Mutual Life Insurance Co 632,000 602,000 -4.75 10,580 10,771 1.81
2018-02-14 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 513,327 516,230 0.57 8,588 9,230 7.48
2018-04-19 13F-HR State of Alaska, Department of Revenue 18,300 26,070 42.46 327 428 30.89
2018-02-02 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 206,307 75,656 -63.33 3,452 1,353 -60.81
2018-01-17 13F-HR Cutler Group LP 17,272 14,800 -14.31 288 264 -8.33
2018-02-07 13F-HR Grisanti Capital Management LLC 0 11,000 0 197
2018-01-12 13F-HR Bristol Advisors, LLC 34,800 622
2017-11-14 13F-HR Parallax Volatility Advisers, L.P. Call 2,000 0 -100.00 31 0 -100.00
2017-11-06 13F-HR Spot Trading L.l.c. Put 114,300 31,800 -72.18 1,779 532 -70.10
2018-02-13 13F-HR Intellectus Partners, LLC 1,602 1,642 2.50 28 30 7.14
2018-02-26 N-Q Allianz Funds Multi-strategy Trust (see advisory)
2017-11-24 N-Q Touchstone Strategic Trust (see advisory)
2018-02-27 N-Q Massmutual Premier Funds (see advisory)
2018-01-31 13F-HR Cypress Capital Management LLC (WY) 0 1,500 0 27
2018-01-31 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 12,322 16,876 36.96 206 302 46.60
2018-01-31 13F-HR Front Row Advisors Llc 4,000 72
2018-02-12 13F-HR Commonwealth Equity Services, Llc. 92,734 1,658
2018-02-02 13F-HR COCONUT GROVE BANK 11,910 10,001 -16.03 199 179 -10.05
2017-10-30 N-Q Starboard Investment Trust (see advisory)
2018-02-14 13F-HR Quantitative Investment Management, LLC 90,900 54,200 -40.37 1,520 969 -36.25
2017-11-14 13F-HR Mount Lucas Management LP 50,535 0 -100.00 786 0 -100.00
2018-02-08 13F-HR WELLS FARGO & COMPANY/MN 709,541 832,654 17.35 11,870 14,889 25.43
2018-02-12 13F-HR Stockman Asset Management 156,900 141,900 -9.56 2,625 2,537 -3.35
2018-03-14 13F-HR/A-1 CREDIT SUISSE AG/ 4,519,912 4,709,481 4.19 75,617 84,205 11.36
2018-02-02 13F-HR AMERICAN CENTURY COMPANIES INC 18,347 17,057 -7.03 307 305 -0.65
2017-11-08 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 169 191 13.02
2018-02-13 13F-HR Resource America, Inc. 333,700 5,966,556
2018-02-14 13F-HR STATE STREET CORP 4,255,362 4,435,943 4.24 71,193 79,313 11.41
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-02-20 13F-HR ENVESTNET ASSET MANAGEMENT INC 60,515 3,263 -94.61 1,013 58 -94.27
2018-02-12 13F-HR AMERIPRISE FINANCIAL INC 362,067 360,411 -0.46 6,110 6,445 5.48
2018-02-13 13F-HR Legal & General Group Plc 266,008 291,695 9.66 4,450 5,217 17.24
2018-02-14 13F-HR COBALT CAPITAL MANAGEMENT INC 118,961 118,961 0.00 1,990 2,127 6.88

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 ( NRZ / New Residential Investment 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!

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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: 64828T201