SecurityNUAN / Nuance Communications, Inc. (67020Y100)
Institutional Owners500 (137 N-Q Owners)
Institutional Shares259,978,823 - 88.00% (ex. N-Q)
Common Shares Outstanding295,432,178 shares (as of 2018-03-31)
Institutional Value$ 11,399,489,000 USD (ex. N-Q)

Institutional Stock Ownership and Shareholders

NUAN / Nuance Communications, Inc. Institutional Ownership

Nuance Communications, Inc. (NASDAQ:NUAN) has 500 institutional investors and shareholders that have filed 13D/G or 13F forms with the Securities Exchange Commission (SEC). These institutions hold a total of 259,978,823 shares. Largest shareholders include Vanguard Group Inc, Ameriprise Financial Inc, Clearbridge Investments, LLC, Bank of New York Mellon Corp, BlackRock Inc., Primecap Management Co/ca/, Victory Capital Management Inc, Fairpointe Capital LLC, FMR LLC / Fidelity, and Pictet Asset Management Ltd.
Nuance Communications, Inc. (NASDAQ:NUAN) ownership structure shows current positions in the company by institutions and funds, as well as latest changes in position size. Major shareholders can include individual investors, mutual funds, hedge funds, or institutions. The Schedule 13D indicates that the investor holds more than 5% of the company and intends to actively pursue a change in business strategy. Schedule 13G indicates a passive investment of over 5%. Green rows indicate new positions. Red rows indicate closed positions. Click the link icon to see the full transaction history.

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File DateFormInvestor Opt Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-05-15 13F-HR METROPOLITAN LIFE INSURANCE CO/NY 8,291 8,480 2.28 136 133,560 98,105.88
2018-03-30 N-Q Fidelity Summer Street Trust (see advisory)
2018-02-14 13F-HR Cloverdale Capital Management, LLC Call 360,000 5,886
2018-02-09 13F-HR NORDEA INVESTMENT MANAGEMENT AB 4,004 0 -100.00 63 0 -100.00
2018-03-08 N-Q Calamos Investment Trust/il (see advisory)
2017-12-22 N-Q Blackrock Funds (see advisory)
2018-05-02 13F-HR DREMAN VALUE MANAGEMENT, L L C 25,171 25,171 0.00 412 396 -3.88
2018-02-28 N-Q Morgan Stanley Institutional Fund Trust (see advisory)
2018-05-09 13F-HR IFP Advisors, Inc 1,351 4,008 196.67 22 63 186.36
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC Call 31,500 496
2018-05-10 13F-HR NEW YORK STATE COMMON RETIREMENT FUND 1,031,854 702,431 -31.93 16,871 11,063 -34.43
2018-03-29 N-Q Aim Investment Funds (invesco Investment Funds) (see advisory)
2018-05-08 13F-HR Willingdon Wealth Management 100 100 0.00 2 2 0.00
2018-03-27 N-Q Transamerica Funds (see advisory)
2018-05-15 13F-HR TWO SIGMA INVESTMENTS LLC Put 15,200 0 -100.00 249 0 -100.00
2018-05-15 13F-HR PECONIC PARTNERS LLC Call 10,000 0 -100.00 164 0 -100.00
2018-04-25 13F-HR Sumitomo Mitsui Asset Management Company, LTD 3,393,145 3,047,405 -10.19 55,477 47,996 -13.48
2018-02-12 13F-HR Adirondack Research & Management Inc. 43,025 703
2018-04-23 13F-HR Kiley Juergens Wealth Management, Llc 582 0 -100.00 9 0 -100.00
2018-03-27 N-Q Dreyfus Bny Mellon Funds, Inc. (see advisory)
2018-05-15 13F-HR GEODE CAPITAL MANAGEMENT, LLC 2,420,797 2,592,092 7.08 39,580 40,825 3.15
2018-05-15 13F-HR/A Caption Management, Llc 64,000 0 -100.00 1,047 0 -100.00
2018-05-15 13F-HR PEAK6 Investments, L.P. Put 28,700 17,700 -38.33 469 279 -40.51
2018-05-15 13F-HR CAPSTONE INVESTMENT ADVISORS, LLC 40,000 45,000 12.50 654 709 8.41
2018-04-24 13F-HR Rehmann Capital Advisory Group 0 78 0 1
2018-02-14 13F-HR Natixis Asset Management 6,024 0 -100.00 95 0 -100.00
2018-03-05 13F-HR/A NORGES BANK 2,434,770 1,840,489 -24.41 42,146 30,092 -28.60
2018-03-29 N-Q Russell Investment Co (see advisory)
2018-05-03 13F-HR Trexquant Investment LP 81,445 0 -100.00 1,332 0 -100.00
2018-01-26 N-Q Valic Co Ii (see advisory)
2018-05-15 13F-HR HONKAMP KRUEGER FINANCIAL SERVICES INC /ADV Call 200 0
2018-05-14 13F-HR PRINCIPAL FINANCIAL GROUP INC 29,752 26,644 -10.45 486 420 -13.58
2018-04-25 N-Q Vanguard Convertible Securities Fund (see advisory)
2018-05-14 13F-HR/A CITADEL ADVISORS LLC 1,254,302 639,705 -49.00 20,508 10,076 -50.87
2018-05-15 13F-HR PUBLIC EMPLOYEES RETIREMENT SYSTEM OF OHIO 131,858 124,354 -5.69 2,156 1,959 -9.14
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. Put 20,800 0 -100.00 340 0 -100.00
2018-02-12 13F-HR Quadrature Capital LTD 23,164 0 -100.00 364 0 -100.00
2018-02-20 13F-HR BRITISH COLUMBIA INVESTMENT MANAGEMENT CORP 133,528 0 -100.00 2,099 0 -100.00
2018-02-12 13F-HR BROWN ADVISORY INC 133,727 128,249 -4.10 2,103 2,097 -0.29
2018-03-29 N-Q Powershares Exchange Traded Fund Trust (see advisory)
2018-05-14 13F-HR UNITED SERVICES AUTOMOBILE ASSOCIATION 0 40,375 0 636
2018-02-12 13F-HR Skandinaviska Enskilda Banken AB (publ) 14,993 0 -100.00 236 0 -100.00
2018-04-30 13F-HR New Jersey Better Educational Savings Trust 20,000 15,000 -25.00 327 236 -27.83
2018-05-15 13F-HR Advisor Group, Inc. 18,648 16,655 -10.69 304 262 -13.82
2018-05-10 13F-HR NGAM ADVISORS, L.P. 187,015 197,777 5.75 3,057 3,115 1.90
2018-05-07 13F-HR BNP Paribas Investment Partners S.A. 25,000 121,600 386.40 410 1,915 367.07
2018-04-19 13F-HR Cribstone Capital Management, LLC 1,166 0 -100.00 19 0 -100.00
2018-03-29 N-Q Mainstay Funds Trust (see advisory)
2018-05-15 13F-HR PIONEER INVESTMENT MANAGEMENT INC 484,559 1,002,769 106.94 7,923 15,794 99.34
2018-05-09 13F-HR ENVESTNET ASSET MANAGEMENT INC 40,504 33,641 -16.94 662 525 -20.69
2018-05-11 13F-HR Covington Capital Management 1,490 825 -44.63 24 13 -45.83
2018-05-15 13F-HR SEGALL BRYANT & HAMILL, LLC 465,632 499,145 7.20 7,613 7,862 3.27
2018-04-19 13F-HR State of Alaska, Department of Revenue 17,000 23,150 36.18 277 364 31.41
2018-04-12 13F-HR Valeo Financial Advisors, Llc 130 793 510.00 2 12 500.00
2018-02-28 N-Q Vanguard Quantitative Funds / (see advisory)
2018-02-08 13F-HR Artemis Investment Management LLP 1,483,705 0 -100.00 23,302 0 -100.00
2018-01-26 N-Q Fidelity Income Fund /ma/ (see advisory)
2018-03-29 N-Q Goldman Sachs Trust Ii (see advisory)
2018-05-09 13F-HR KBC Group NV 45,509 14,725 -67.64 744 232 -68.82
2018-05-15 13F-HR Man Group plc 508,701 8,012
2018-03-27 N-Q Indexiq Etf Trust (see advisory)
2018-05-04 13F-HR D'Orazio & Associates, Inc. 700 0 -100.00 11 0 -100.00
2018-01-29 13F-HR PGGM Investments 103,496 0 -100.00 1,627 0 -100.00
2018-04-27 N-Q Fidelity Commonwealth Trust (see advisory)
2018-04-12 13F-HR Sicart Associates LLC 101,025 111,095 9.97 1,652 1,750 5.93
2018-02-14 13F-HR ProShare Advisors LLC 0 11,306 0 185
2018-01-10 13F-HR DnB Asset Management AS 18,618 0 -100.00 292,675 0 -100.00
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC 15,861 20,248 27.66 259 319 23.17
2018-02-27 N-Q Massmutual Premier Funds (see advisory)
2018-05-02 13F-HR Trellus Management Company, LLC 90,000 80,000 -11.11 1,472 1,260 -14.40
2018-02-14 13F-HR AMP Capital Investors Ltd 80,284 0 -100.00 1,262 0 -100.00
2018-03-28 N-Q Neuberger Berman Income Funds (see advisory)
2018-02-28 N-Q Pacific Funds Series Trust (see advisory)
2018-05-08 13F-HR SIGNATUREFD, LLC 0 442 0 7
2018-05-10 13F-HR GREAT WEST LIFE ASSURANCE CO /CAN/ 604,703 611,520 1.13 9,865 9,603 -2.66
2018-05-11 13F-HR PINNACLE ASSOCIATES LTD 19,510 72,750 272.89 319 1,146 259.25
2018-03-28 N-Q Prudential Investment Portfolios 16 (see advisory)
2018-01-30 13F-HR Elite Wealth Management, LLC 378 0 -100.00 5 0 -100.00
2018-05-10 13F-HR Stockman Asset Management 12,050 11,050 -8.30 197 174 -11.68
2018-03-28 N-Q Hartford Funds Master Fund (see advisory)
2018-04-16 13F-HR Perkins Coie Trust Co 300 300 0.00 5 5 0.00
2017-12-28 N-Q Prudential Global Short Duration High Yield Fund, Inc. (see advisory)
2018-05-14 13F-HR CONTINENTAL ADVISORS LLC 175,800 175,800 0.00 2,874 2,769 -3.65
2018-02-27 N-Q Blackstone Alternative Investment Funds (see advisory)
2018-04-27 N-Q Fidelity Concord Street Trust (see advisory)
2018-02-14 13F-HR BOOTHBAY FUND MANAGEMENT, LLC 0 25,349 0 414
2018-04-26 N-Q Columbia Funds Series Trust Ii (see advisory)
2018-05-15 13F-HR NN Investment Partners Holdings N.V. 149,088 0 -100.00 2,438 0 -100.00
2018-02-14 13F-HR Strategic Global Advisors, LLC 66,500 66,500 0.00 1,045 1,087 4.02
2018-01-24 N-Q Legg Mason Partners Equity Trust (see advisory)
2018-02-28 N-Q Seasons Series Trust (see advisory)
2018-04-26 13F-HR Winslow, Evans & Crocker, Inc. 1,500 0 -100.00 24,526 0 -100.00
2018-05-01 13F-HR WEDGE CAPITAL MANAGEMENT L L P/NC 35,574 32,736 -7.98 582 516 -11.34
2018-05-15 13F-HR BANK OF NOVA SCOTIA 57,596 0 -100.00 942 0 -100.00
2018-05-15 13F-HR PECONIC PARTNERS LLC 0 700,000 0 11,025
2018-01-29 13F-HR IFM Investors Pty Ltd 21,626 0 -100.00 340 0 -100.00
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Put 14,500 11,400 -21.38 237 180 -24.05
2018-05-15 13F-HR LAKEWOOD CAPITAL MANAGEMENT, LP 100,000 1,575
2018-05-11 13F-HR MACQUARIE GROUP LTD 125,528 122,542 -2.38 2,052 1,931 -5.90
2018-03-08 N-Q Calamos Global Dynamic Income Fund (see advisory)
2018-05-15 13F-HR MANUFACTURERS LIFE INSURANCE COMPANY, THE 9,212 8,644 -6.17 151 136 -9.93
2018-05-15 13F-HR CALIFORNIA STATE TEACHERS RETIREMENT SYSTEM 482,629 477,303 -1.10 7,891 7,518 -4.73
2018-03-29 N-Q Jpmorgan Trust I (see advisory)
2018-05-03 13F-HR MACKAY SHIELDS LLC 884,176 13,926
2018-05-10 13F-HR Avestar Capital, Llc 1,402 1,620 15.55 5 6 20.00
2018-03-08 N-Q Calamos Convertible & High Income Fund (see advisory)
2018-05-15 13F-HR Point72 Asset Management, L.P. 1,453,650 1,881,741 29.45 23,767 29,637 24.70
2018-05-11 13F-HR TD Capital Management LLC 473 473 0.00 8 7 -12.50
2018-03-30 N-Q Exchange Traded Concepts Trust (see advisory)
2017-12-26 N-Q John Hancock Funds Ii (see advisory)
2018-05-15 13F-HR Crestline Management, LP 40,000 630
2018-02-13 13F-HR TOCQUEVILLE ASSET MANAGEMENT L.P. 10,225 0 -100.00 161 0 -100.00
2018-03-22 N-Q Mfs Special Value Trust (see advisory)
2018-04-18 13F-HR Cornerstone Advisors, Inc. 178 178 0.00 3 3 0.00
2018-04-20 13F-HR Seacrest Wealth Management, Llc 1,879 2,212 17.72 31 35 12.90
2018-05-04 13F-HR WADE G W & INC 266,263 209,888 -21.17 4,353 3,306 -24.05
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN Call 99,300 154,300 55.39 142 265 86.62
2018-02-28 N-Q Rydex Series Funds (see advisory)
2018-05-15 13F-HR Holocene Advisors, Lp 66,305 35,748 -46.09 1,084 563 -48.06
2018-05-09 13F-HR FEDERATED INVESTORS INC /PA/ 403,727 359,679 -10.91 6,602 5,665 -14.19
2018-04-02 N-Q Pioneer High Yield Fund (see advisory)
2018-05-09 13F-HR/A TradeLink Capital LLC 10,298 0 -100.00 149 0 -100.00
2018-05-11 13F-HR STIFEL FINANCIAL CORP 127,902 134,740 5.35 2,073 2,114 1.98
2018-05-15 13F-HR Polar Asset Management Partners Inc. 949,200 14,950
2018-03-01 N-Q Aqr Funds (see advisory)
2018-04-20 13F-HR FIRST MANHATTAN CO 538 0 -100.00 8 0 -100.00
2018-05-03 13F-HR Canal Insurance CO 194,800 194,800 0.00 3,185 3,068 -3.67
2018-05-15 13F-HR Bank of New York Mellon Corp 13,385,237 14,113,044 5.44 218,848 222,280 1.57
2018-01-25 N-Q Columbia Funds Series Trust (see advisory)
2018-05-15 13F-HR DZ BANK AG Deutsche Zentral Genossenschafts Bank, Frankfurt am Main 7,300 327,790 4,390.27 119 5,163 4,238.66
2018-02-09 13F-HR Virtu Financial LLC 61,839 21,561 -65.13 972 353 -63.68
2018-04-16 13F-HR Westside Investment Management, Inc. 1,650 1,650 0.00 28,229 25,243 -10.58
2018-02-13 13F-HR Simmons Bank 12,500 12,500 0.00 197 204 3.55
2018-03-27 N-Q Schwab Investments (see advisory)
2018-05-15 13F-HR UBS Group AG Put 0 200 0 3
2018-04-16 13F-HR PEREGRINE CAPITAL MANAGEMENT LLC 1,610,972 1,536,621 -4.62 26,339 24,202 -8.11
2018-05-14 13F-HR Renaissance Technologies LLC 1,632,755 1,124,955 -31.10 26,696 17,718 -33.63
2018-03-29 N-Q Ishares Inc (see advisory)
2018-05-15 13F-HR Hudson Way Capital Management LLC 80,000 490,200 512.75 1,308 7,721 490.29
2018-05-15 13F-HR YorkBridge Wealth Partners, LLC 1,259 1,209 -3.97 21 18 -14.29
2018-05-01 13F-HR Handelsinvest Investeringsforvaltning 350,000 396,000 13.14 5,723 6,237 8.98
2018-05-02 13F-HR RHUMBLINE ADVISERS 267,679 271,825 1.55 4,377 4,281 -2.19
2018-04-12 13F-HR OREGON PUBLIC EMPLOYEES RETIREMENT FUND 39,045 0 -100.00 614 0 -100.00
2018-04-18 13F-HR Independence Bank Of Kentucky 234 4
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Call 154,100 86,300 -44.00 2,520 1,359 -46.07
2018-02-27 N-Q Massmutual Select Funds (see advisory)
2018-05-15 13F-HR Walleye Trading LLC 167,251 56,323 -66.32 2,735 887 -67.57
2018-02-13 13F-HR GLOBEFLEX CAPITAL L P 72,865 68,865 -5.49 1,145 1,126 -1.66
2018-04-06 13F-HR Cerebellum Gp, Llc 4,916 10,791 119.51 80 170 112.50
2018-05-04 13F-HR PRUDENTIAL FINANCIAL INC 18,380 18,380 0.00 301 289 -3.99
2018-05-07 13F-HR Manchester Capital Management LLC 0 3,000 0 47
2018-05-15 13F-HR WOLVERINE TRADING, LLC Put 70,000 82,800 18.29 1,145 1,304 13.89
2018-04-12 13F-HR GATEWAY INVESTMENT ADVISERS LLC 375,551 375,551 0.00 6,140 5,915 -3.66
2018-02-23 N-Q Sterling Capital Funds (see advisory)
2018-04-27 N-Q Ab Global Risk Allocation Fund, Inc. (see advisory)
2018-05-10 13F-HR BESSEMER GROUP INC 254 254 0.00 4 4 0.00
2018-02-12 13F-HR FIL Ltd 3,665,960 4,365,489 19.08 57,629 71,375 23.85
2018-05-02 13F-HR THOMPSON DAVIS & CO., INC. 0 1,875 0 30
2018-05-15 13F-HR Capital Bank & Trust Co 46 46 0.00 1 1 0.00
2018-05-15 13F-HR Greenhouse Funds LLLP Call 150,400 2,369
2018-03-28 N-Q Victory Portfolios (see advisory)
2018-05-07 13F-HR Sawtooth Asset Management, Inc. 34,203 32,890 -3.84 559 518 -7.33
2018-02-09 13F-HR Tower Research Capital LLC (TRC) 714 0 -100.00 11 0 -100.00
2018-05-11 13F-HR Cutler Group LP Put 7,200 13,600 88.89 2 7 250.00
2018-05-03 13F-HR Jacobi Capital Management LLC 100 100 0.00 2 2 0.00
2018-05-04 13F-HR Quantitative Systematic Strategies LLC 0 25,965 0 409
2018-02-09 13F-HR Alexandria Capital, LLC 20 0 -100.00 0 0
2018-03-01 N-Q First Investors Income Funds (see advisory)
2018-05-15 13F-HR IVORY INVESTMENT MANAGEMENT, LLC 4,494,640 1,814,138 -59.64 73,487 28,573 -61.12
2018-02-14 13F-HR Dynamic Capital Management Ltd 46,052 15,267 -66.85 724 250 -65.47
2018-03-01 N-Q Sei Institutional Managed Trust (see advisory)
2018-01-18 13F-HR Livforsakringsbolaget Skandia, Omsesidigt 5,207 0 -100.00 82 0 -100.00
2018-05-15 13F-HR Verition Fund Management LLC 107,947 166,746 54.47 1,765 2,626 48.78
2018-04-18 N-Q Mfs Intermediate High Income Fund (see advisory)
2018-05-15 13F-HR Schonfeld Strategic Advisors LLC 78,447 0 -100.00 1,283 0 -100.00
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC Call 356,700 2,200 -99.38 5,832 35 -99.40
2018-05-15 13F-HR Fairpointe Capital LLC 5,219,722 5,905,041 13.13 85,343 93,004 8.98
2018-02-09 13F-HR Shell Asset Management Co 18,024 0 -100.00 283 0 -100.00
2018-02-27 N-Q Northern Funds (see advisory)
2018-02-28 N-Q Fundvantage Trust (see advisory)
2018-05-03 13F-HR SG Americas Securities, LLC 9,329 0 -100.00 153 0 -100.00
2018-05-15 13F-HR LPL Financial LLC 65,457 62,631 -4.32 1,070 986 -7.85
2018-05-15 13F-HR Jefferies Group LLC Call 14,400 50,000 247.22 235 788 235.32
2018-05-14 13F-HR IHT Wealth Management, LLC 91 0 -100.00 2 0 -100.00
2018-05-14 13F-HR RAYMOND JAMES & ASSOCIATES Call 30,000 30,000 0.00 48 30 -37.50
2018-01-19 13F-HR TRUE Private Wealth Advisors 15,357 0 -100.00 241 0 -100.00
2018-02-14 13F-HR Pacer Advisors, Inc. 58,231 0 -100.00 915 0 -100.00
2018-02-26 N-Q Blackrock Funds Ii (see advisory)
2018-05-15 13F-HR Quantitative Investment Management, LLC 0 27,600 0 434
2018-05-04 13F-HR D.A. DAVIDSON & CO. 52,677 54,334 3.15 861 856 -0.58
2018-05-08 13F-HR TEACHER RETIREMENT SYSTEM OF TEXAS 102,516 64,241 -37.34 1,676 1,012 -39.62
2018-03-26 N-Q Goldman Sachs Trust (see advisory)
2018-05-14 13F-HR SIRIOS CAPITAL MANAGEMENT L P 2,403,203 364,919 -84.82 39,292 5,748 -85.37
2018-03-29 N-Q Mainstay Funds (see advisory)
2018-05-14 13F-HR AMERIPRISE FINANCIAL INC Call 195,800 3,084
2018-04-13 13F-HR BANK OF MONTREAL /CAN/ 823,538 831,438 0.96 13,465 13,095 -2.75
2018-04-17 13F-HR BENJAMIN F. EDWARDS & COMPANY, INC. 1,600 1,600 0.00 26 25 -3.85
2018-05-15 13F-HR Squarepoint Ops LLC 725,231 164,824 -77.27 11,858 2,596 -78.11
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC Put 4,400 1,900 -56.82 72 30 -58.33
2018-05-02 13F-HR FTB Advisors, Inc. 639 656 2.66 10 9 -10.00
2018-04-30 13F-HR HUNTINGTON NATIONAL BANK 0 268 0 4
2018-05-04 13F-HR Swiss National Bank 491,500 502,800 2.30 8,036 7,919 -1.46
2018-05-15 13F-HR CREDIT SUISSE AG/ 1,224,051 2,659,027 117.23 20,012 41,881 109.28
2018-04-30 13F-HR CRITERION CAPITAL MANAGEMENT LLC 2,679,896 42,208
2018-04-26 13F-HR SIMPLEX TRADING, LLC Put 21 433 1,961.90 1 56 5,500.00
2018-05-14 13F-HR WOODMONT INVESTMENT COUNSEL LLC 0 4,494 0 222
2018-03-26 N-Q 1290 Funds (see advisory)
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN 2,131,822 2,413,291 13.20 34,855 38,010 9.05
2018-05-15 13F-HR BARCLAYS PLC Call 16,600 330,800 1,892.77 271 5,210 1,822.51
2018-04-16 13F-HR Ledyard National Bank 8,600 10,230 18.95 141 161 14.18
2018-05-07 13F-HR AMERICAN INTERNATIONAL GROUP INC 6,003 6,133 2.17 98 97 -1.02
2018-05-11 13F-HR BRISTOL JOHN W & CO INC /NY/ 8,750 138
2018-05-15 13F-HR GMT Capital Corp 2,177,200 2,322,100 6.66 35,597 36,573 2.74
2018-05-01 13F-HR Lapides Asset Management, LLC 406,800 406,800 0.00 6,651 6,407 -3.67
2018-05-18 13F-HR Xact Kapitalforvaltning AB 27,800 43,400 56.12 455 684 50.33
2018-02-14 13F-HR Sentinel Asset Management, Inc. 794,353 0 -100.00 12,487 0 -100.00
2018-05-14 13F-HR SEVEN EIGHT CAPITAL, LLC 253,700 0 -100.00 4,148 0 -100.00
2018-05-10 13F-HR Hanson & Doremus Investment Management 2,127 2,977 39.96 35 47 34.29
2018-04-17 13F-HR FOX RUN MANAGEMENT, L.L.C. 0 84,324 0 1,328
2018-05-14 13F-HR/A CITADEL ADVISORS LLC Put 61,100 131,600 115.38 999 2,073 107.51
2018-02-13 13F-HR KOCH INDUSTRIES INC 12,761 0 -100.00 201 0 -100.00
2018-05-15 13F-HR Gotham Asset Management, LLC 38,551 0 -100.00 630 0 -100.00
2018-05-10 13F-HR Mirae Asset Global Investments Co., Ltd. 33,410 526
2018-05-14 13F-HR CANADA PENSION PLAN INVESTMENT BOARD 1,212,186 1,059,686 -12.58 19,819 16,690 -15.79
2018-05-11 13F-HR CITIGROUP INC 145,489 150,951 3.75 2,378 2,379 0.04
2018-02-14 13F-HR AHL Partners LLP 552,466 167,960 -69.60 8,684 2,746 -68.38
2018-05-15 13F-HR Ionic Capital Management LLC 518,963 562,263 8.34 8,485 8,856 4.37
2018-03-29 N-Q Powershares Exchange-traded Fund Trust Ii (see advisory)
2018-02-09 13F-HR UBS ASSET MANAGEMENT AMERICAS INC 836,263 264,447 -68.38 13,146,054 4,323,709 -67.11
2018-05-15 13F-HR WOLVERINE ASSET MANAGEMENT LLC Put 16,500 0 -100.00 269 0 -100.00
2018-05-15 13F-HR D. E. Shaw & Co., Inc. 3,769,234 2,308,111 -38.76 61,627 36,352 -41.01
2018-05-21 13F-HR/A Handelsbanken Fonder AB 1,400,000 1,800,000 28.57 22,890 28,350 23.85
2018-05-18 13F-HR LEVIN CAPITAL STRATEGIES, L.P. 0 27,500 0 433
2018-05-01 13F-HR Plante Moran Financial Advisors, LLC 0 17 0 0
2018-03-08 N-Q Calamos Dynamic Convertible & Income Fund (see advisory)
2018-02-02 13F-HR Mn Services Vermogensbeheer B.V. 47,335 0 -100.00 744 0 -100.00
2018-05-15 13F-HR Invesco Ltd. 2,682,889 2,621,623 -2.28 43,866 41,290 -5.87
2018-01-22 N-Q Blackrock Debt Strategies Fund, Inc. (see advisory)
2018-05-14 13F-HR Laurion Capital Management LP 459,197 0 -100.00 7,507 0 -100.00
2018-05-15 13F-HR VANGUARD GROUP INC 23,515,168 24,420,701 3.85 384,474 384,626 0.04
2018-04-16 13F-HR Raymond James Financial Services Advisors, Inc. 219,459 217,159 -1.05 3,588 3,420 -4.68
2018-05-15 13F-HR JANE STREET GROUP, LLC Put 364,400 0 -100.00 5,958 0 -100.00
2018-05-14 13F-HR NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 1,809 1,500 -17.08 30 24 -20.00
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. Call 74,800 87,400 16.84 1,223 1,377 12.59
2018-05-15 13F-HR Diametric Capital, Lp 47,860 0 -100.00 783 0 -100.00
2018-04-27 13F-HR Cedar Capital, LLC 12,993 13,806 6.26 212 217 2.36
2018-01-29 N-Q Ultimus Managers Trust (see advisory)
2018-02-12 13F-HR Hutchin Hill Capital, LP 24,100 0 -100.00 379 0 -100.00
2018-04-02 N-Q Investment Managers Series Trust (see advisory)
2018-05-15 13F-HR GLENMEDE TRUST CO NA 44,086 44,086 0.00 720 720 0.00
2018-03-08 N-Q Calamos Convertible Opportunities & Income Fund (see advisory)
2018-04-12 13F-HR Integrated Investment Consultants, LLC 394 394 0.00 6 6 0.00
2018-04-17 13F-HR FARMERS & MERCHANTS INVESTMENTS INC 167,701 170,060 1.41 2,742 2,678 -2.33
2018-05-02 13F-HR Migdal Insurance & Financial Holdings Ltd. 51,634 813
2018-05-15 13F-HR Natixis 0 125,224 0 1,972
2018-05-15 13F-HR Sciencast Management LP 0 21,657 0 334
2018-05-01 13F-HR Hanson McClain, Inc. 141 141 0.00 2 2 0.00
2018-05-04 13F-HR VICTORY CAPITAL MANAGEMENT INC 6,737,164 10,267,513 52.40 110,153 161,714 46.81
2018-02-14 13F-HR CORNERSTONE CAPITAL MANAGEMENT HOLDINGS LLC. 504,773 755,826 49.74 7,934 12,356 55.73
2018-02-23 N-Q Legg Mason Etf Investment Trust (see advisory)
2018-01-26 N-Q Fidelity Central Investment Portfolios Llc (see advisory)
2018-02-14 13F-HR VOLORIDGE INVESTMENT MANAGEMENT, LLC 235,839 0 -100.00 3,707 0 -100.00
2018-05-17 13F-HR Atlantic Trust Group, LLC 1,825 1,825 0.00 30 29 -3.33
2018-02-27 N-Q Buffalo Funds (see advisory)
2018-05-14 13F-HR GREEN SQUARE CAPITAL LLC 69,484 61,850 -10.99 1,136 974 -14.26
2018-04-19 13F-HR Versant Capital Management, Inc 65 65 0.00 1 1 0.00
2018-03-27 N-Q Federated Institutional Trust (see advisory)
2018-05-10 13F-HR FIRST REPUBLIC INVESTMENT MANAGEMENT, INC. 52,865 54,106 2.35 864 852 -1.39
2018-04-26 13F-HR SIMPLEX TRADING, LLC 0 10,887 0 171
2018-02-14 13F-HR PRICE T ROWE ASSOCIATES INC /MD/ 127,724 119,384 -6.53 2,008 1,952 -2.79
2018-02-02 13F-HR AMERICAN CENTURY COMPANIES INC 2,034,146 0 -100.00 31,977 0 -100.00
2018-02-14 13F-HR Vident Investment Advisory, LLC 785,592 1,177,563 49.89 12,350 19,253 55.89
2018-05-15 13F-HR Nelson, Van Denburg & Campbell Wealth Management Group, LLC 8,067 8,682 7.62 132 137 3.79
2018-05-15 13F-HR STATE STREET CORP 3,841,049 3,797,891 -1.12 62,801 59,813 -4.76
2018-03-01 N-Q Optimum Fund Trust (see advisory)
2018-05-14 13F-HR RAYMOND JAMES & ASSOCIATES 1,111,861 1,048,315 -5.72 18,179 16,511 -9.18
2018-05-15 13F-HR Oribel Capital Management, LP 133,900 0 -100.00 2,189 0 -100.00
2018-02-07 13F-HR LS Investment Advisors, LLC 6,855 0 -100.00 108 0 -100.00
2018-05-09 13F-HR HAVERFORD TRUST CO 20,000 20,000 0.00 327 315 -3.67
2018-05-14 13F-HR BROWN BROTHERS HARRIMAN & CO 2,366 2,077 -12.21 39 33 -15.38
2018-02-13 13F-HR CAISSE DE DEPOT ET PLACEMENT DU QUEBEC 114,000 0 -100.00 1,800 0 -100.00
2018-05-14 13F-HR AMERIPRISE FINANCIAL INC 21,841,942 22,523,942 3.12 357,115 354,744 -0.66
2018-05-15 13F-HR A.R.T. Advisors, LLC 0 11,700 0 184
2018-02-13 13F-HR CREDIT AGRICOLE S A 387,087 0 -100.00 6,085 0 -100.00
2018-02-12 13F-HR Cipher Capital LP 67,173 50,140 -25.36 1,056 819 -22.44
2018-03-01 N-Q Mutual Fund Series Trust (see advisory)
2018-02-14 13F-HR LUMINUS MANAGEMENT LLC 100,000 0 -100.00 1,572 0 -100.00
2018-04-18 13F-HR/A FNY Partners Fund LP Call 185 0 -100.00 3 0 -100.00
2018-02-13 13F-HR Axa 804,979 540,689 -32.83 12,654 8,839 -30.15
2018-05-10 13F-HR First Personal Financial Services 4,975 5,197 4.46 81 82 1.23
2018-05-18 13F-HR/A ROYAL BANK OF CANADA 140,123 149,212 6.49 2,291 2,349 2.53
2018-04-10 13F-HR/A Massey, Quick & Co., LLC 465 0 -100.00 7 0 -100.00
2018-05-07 13F-HR 12th Street Asset Management Company, LLC 1,934,188 2,391,602 23.65 31,624 37,668 19.11
2018-03-30 N-Q Amg Funds I (see advisory)
2018-04-26 13F-HR ESSEX INVESTMENT MANAGEMENT CO LLC 101,033 101,033 0.00 1,652 1,591 -3.69
2018-05-15 13F-HR BROWN CAPITAL MANAGEMENT LLC 441,455 424,170 -3.92 7,218 6,681 -7.44
2018-05-15 13F-HR FORMULA GROWTH LTD 1,293,000 1,391,000 7.58 21,141 21,908 3.63
2018-04-26 N-Q Columbia Funds Series Trust I (see advisory)
2018-02-28 N-Q Advisors Series Trust (see advisory)
2018-04-25 13F-HR FIRST INTERSTATE BANK 5,000 5,000 0.00 82 79 -3.66
2018-05-15 13F-HR BlueCrest Capital Management Ltd 89,966 0 -100.00 1,471 0 -100.00
2018-02-14 13F-HR TIAA CREF INVESTMENT MANAGEMENT LLC 741,567 677,303 -8.67 11,657 11,074 -5.00
2018-05-15 13F-HR AQR CAPITAL MANAGEMENT LLC 955,844 1,006,086 5.26 15,628 15,846 1.39
2018-02-28 N-Q VANGUARD HORIZON FUNDS (see advisory)
2018-04-27 N-Q Proshares Trust (see advisory)
2018-05-15 13F-HR Voya Investment Management LLC 454,295 241,865 -46.76 7,428 3,809 -48.72
2018-02-15 13F-HR Bb&t Investment Services, Inc. 304 368 21.05 3 4 33.33
2018-03-29 N-Q Aim International Mutual Funds (invesco International Mutual Funds) (see advisory)
2018-05-15 13F-HR OXFORD ASSET MANAGEMENT 222,247 146,108 -34.26 3,644 2,301 -36.86
2018-05-10 13F-HR Tortoise Investment Management, LLC 543 543 0.00 9 9 0.00
2018-02-14 13F-HR SOROS FUND MANAGEMENT LLC 150,000 0 -100.00 2,358 0 -100.00
2018-05-14 13F-HR CASTLEARK MANAGEMENT LLC 0 603,380 0 9,503
2018-05-14 13F-HR MONETA GROUP INVESTMENT ADVISORS LLC 3,380 53
2018-04-19 13F-HR WOODSTOCK CORP 22,127 22,127 0.00 362 349 -3.59
2018-05-15 13F-HR TLP GROUP LLC 416 14,067 3,281.49 7 222 3,071.43
2018-04-16 13F-HR/A WEALTHSOURCE PARTNERS, LLC 17,973 0 -100.00 294 0 -100.00
2018-05-15 13F-HR Jefferies Group LLC 104,875 176,381 68.18 1,715 2,778 61.98
2018-02-28 N-Q Brown Capital Management Mutual Funds (see advisory)
2018-02-14 13F-HR BlueMountain Capital Management, LLC 103,255 98,054 -5.04 1,623 1,603 -1.23
2018-03-15 N-Q Tcw Funds Inc (see advisory)
2018-02-09 13F-HR Baird Financial Group, Inc. 64,602 58,259 -9.82 1,016 953 -6.20
2018-04-18 13F-HR Sonora Investment Management, LLC 0 600 0 9,450
2018-05-11 13F-HR PNC FINANCIAL SERVICES GROUP, INC. 4,111 5,121 24.57 67 80 19.40
2018-05-11 13F-HR Patten Group, Inc. 1,100 1,100 0.00 18 17 -5.56
2018-02-08 13F-HR Granite Point Capital Management, L.P. 34,400 0 -100.00 541 0 -100.00
2018-05-15 13F-HR Verition Fund Management LLC Call 41,000 646
2018-02-14 13F-HR Integral Derivatives, LLC Call 10,700 0 -100.00 168 0 -100.00
2018-05-07 13F-HR Zweig-DiMenna Associates LLC 196,846 0 -100.00 3,218 0 -100.00
2018-01-29 N-Q Consulting Group Capital Markets Funds (see advisory)
2018-05-07 13F-HR STATE OF WISCONSIN INVESTMENT BOARD 60,309 60,192 -0.19 986 948 -3.85
2018-04-30 13F-HR James Hambro & Partners 17,030 17,030 0.00 276 269 -2.54
2018-04-27 N-Q Wells Fargo Master Trust (see advisory)
2018-05-01 13F-HR COMERICA BANK 13,664 13,699 0.26 247 208 -15.79
2018-05-14 13F-HR Hudson Bay Capital Management LP 240,199 427,315 77.90 3,927 6,730 71.38
2018-05-15 13F-HR JANE STREET GROUP, LLC Call 64,100 12,200 -80.97 1,048 192 -81.68
2018-05-15 13F-HR Legg Mason Asset Management (Japan) Co., Ltd. 49,200 48,100 -2.24 805 758 -5.84
2018-05-15 13F-HR JACOBS LEVY EQUITY MANAGEMENT, INC 212,269 214,920 1.25 3,471 3,385 -2.48
2018-01-24 N-Q Deutsche Institutional Funds (see advisory)
2018-05-04 13F-HR Trustcore Financial Services, Llc 290 290 0.00 5 5 0.00
2018-04-30 13F-HR FRONTIER CAPITAL MANAGEMENT CO LLC 1,797,438 1,787,615 -0.55 29,388 28,155 -4.20
2018-04-26 13F-HR CWM, LLC 202,350 231,485 14.40 3,308 3,646 10.22
2018-05-15 13F-HR TWO SIGMA ADVISERS, LP 2,278,465 732,027 -67.87 37,253 11,529 -69.05
2018-02-14 13F-HR MENTA CAPITAL LLC 61,300 0 -100.00 964 0 -100.00
2018-05-14 13F-HR BB&T SECURITIES, LLC 26,339 21,966 -16.60 430 345 -19.77
2018-02-09 13F-HR FDx Advisors, Inc. 11,677 0 -100.00 184 0 -100.00
2018-02-14 13F-HR Andra AP-fonden 41,300 0 -100.00 649 0 -100.00
2018-05-15 13F-HR CAPTRUST FINANCIAL ADVISORS 77 0 -100.00 1 0 -100.00
2018-02-08 13F-HR LORING WOLCOTT & COOLIDGE FIDUCIARY ADVISORS LLP/MA 290 0 -100.00 5 0 -100.00
2018-03-01 N-Q Nuveen Investment Trust Iii (see advisory)
2018-05-11 13F-HR Cutler Group LP 9,239 10,776 16.64 151 169 11.92
2018-05-15 13F-HR JANE STREET GROUP, LLC 147,463 0 -100.00 2,411 0 -100.00
2018-05-08 13F-HR COUNTRY TRUST BANK 963,530 764,830 -20.62 15,754 12,046 -23.54
2018-05-10 13F-HR Myda Advisors Llc 24,000 0 -100.00 392 0 -100.00
2018-05-15 13F-HR TWO SIGMA SECURITIES, LLC Put 19,600 309
2018-05-14 13F-HR ARROWSTREET CAPITAL, LIMITED PARTNERSHIP 567,600 452,475 -20.28 9,280 7,126 -23.21
2018-04-20 13F-HR EVERETT HARRIS & CO /CA/ 37,000 37,000 0.00 605 583 -3.64
2018-02-14 13F-HR DIAM Co., Ltd. 437,877 0 -100.00 6,878 0 -100.00
2018-05-07 13F-HR Robeco Institutional Asset Management B.V. 925 925 0.00 15 15 0.00
2018-05-14 13F-HR Itau Unibanco Holding S.A. 0 2,024 0 32
2018-05-14 13F-HR CLINTON GROUP INC 0 63,919 0 1,007
2018-04-30 N-Q Claymore Exchange-traded Fund Trust (see advisory)
2018-05-15 13F-HR Utah Retirement Systems 53,281 54,481 2.25 871 858 -1.49
2018-05-14 13F-HR AVIVA PLC 159,836 146,577 -8.30 2,613 2,309 -11.63
2018-05-15 13F-HR EARNEST PARTNERS LLC 68 68 0.00 1 1 0.00
2018-05-03 13F-HR Canal Insurance CO Call 33,600 93,600 178.57 22 29 31.82
2018-05-11 13F-HR BNP PARIBAS ARBITRAGE, SA 3,236 87,173 2,593.85 52,909 1,372,975 2,494.97
2018-05-03 13F-HR MEEDER ASSET MANAGEMENT INC 601 757 25.96 10 12 20.00
2018-05-11 13F-HR SEI INVESTMENTS CO 450,418 369,031 -18.07 7,364 5,813 -21.06
2018-05-08 13F-HR Aperio Group, LLC 23,486 21,061 -10.33 384 332 -13.54
2018-02-14 13F-HR QS Investors, LLC 2,700 0 -100.00 42 0 -100.00
2018-05-10 13F-HR/A Fisher Asset Management, LLC 971,662 1,098,427 13.05 15,887 17,300 8.89
2018-01-29 13F-HR EXANE DERIVATIVES 8,274 0 -100.00 130,040 0 -100.00
2018-05-18 13F-HR CIBC World Markets Inc. 10,744 10,744 0.00 176 169 -3.98
2018-05-11 N-Q Neuberger Berman Advisers Management Trust (see advisory)
2018-05-15 13F-HR Gargoyle Investment Advisor L.L.C. 39,386 30,386 -22.85 644 479 -25.62
2018-05-15 13F-HR BLAIR WILLIAM & CO/IL 64,581 66,171 2.46 1,056 1,042 -1.33
2018-05-15 13F-HR GOLDEN GATE PRIVATE EQUITY, INC. 151,000 2,378
2018-05-08 13F-HR Advisornet Financial, Inc 100 0 -100.00 2 0 -100.00
2018-04-18 13F-HR FNY Managed Accounts LLC Call 250 3
2018-05-14 13F-HR Mosaic Family Wealth, LLC 1,023 523 -48.88 17 8 -52.94
2018-02-28 N-Q Gps Funds I (see advisory)
2018-04-20 13F-HR FIRST QUADRANT L P/CA 582,233 0 -100.00 9,520 0 -100.00
2018-04-24 13F-HR ZWJ INVESTMENT COUNSEL INC 27,565 0 -100.00 451 0 -100.00
2018-05-14 13F-HR HENDERSON GROUP PLC 40,464 40,464 0.00 662 637 -3.78
2018-05-14 13F-HR S&T BANK/PA 488,809 477,821 -2.25 7,992 7,526 -5.83
2018-02-13 13F-HR COMMONWEALTH BANK OF AUSTRALIA 600 0 -100.00 9 0 -100.00
2018-05-11 13F-HR CIBC WORLD MARKETS CORP 286,600 4,514
2018-02-28 N-Q Morgan Stanley Income Securities Inc (see advisory)
2018-05-09 13F-HR STALEY CAPITAL ADVISERS INC 1,197,500 1,272,500 6.26 19,579 20,042 2.36
2018-05-11 13F-HR LOOMIS SAYLES & CO L P 0 1,047 0 16
2018-05-15 13F-HR PEAK6 Investments, L.P. 80,159 106,688 33.10 1,311 1,680 28.15
2018-04-30 13F-HR REILLY FINANCIAL ADVISORS, LLC 1,548 1,548 0.00 25 24 -4.00
2018-05-15 N-Q Bridge Builder Trust (see advisory)
2018-01-31 13F-HR QUADRANT CAPITAL GROUP LLC 93 0 -100.00 1 0 -100.00
2018-05-14 13F-HR ALLIANCEBERNSTEIN L.P. 149,509 147,569 -1.30 2,444 2,324 -4.91
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Call 444,400 778,800 75.25 7,266 12,266 68.81
2018-05-15 13F-HR Ameritas Investment Partners, Inc. 1,305 347 -73.41 41 5 -87.80
2018-05-11 13F-HR GSA CAPITAL PARTNERS LLP 0 45,723 0 720
2018-05-16 13F-HR/A GROUP ONE TRADING, L.P. 16,732 0 -100.00 274 0 -100.00
2018-05-15 13F-HR WOLVERINE TRADING, LLC 71,861 71,861 0.00 1,175 1,132 -3.66
2018-05-15 13F-HR Pacific View Asset Management, Llc 30,398 49,196 61.84 497 728 46.48
2018-04-18 N-Q Mfs Charter Income Trust (see advisory)
2018-05-15 13F-HR Jericho Capital Asset Management L.P. 3,211,341 50,579
2018-05-08 13F-HR State of New Jersey Common Pension Fund D 1,200,000 1,265,000 5.42 19,620 19,924 1.55
2018-05-15 13F-HR Walleye Trading LLC Put 38,300 67,800 77.02 626 1,068 70.61
2018-05-15 13F-HR FIFTH THIRD BANCORP 710 6,565 824.65 12 103 758.33
2018-04-17 13F-HR RELIANCE TRUST CO OF DELAWARE 23,539 23,480 -0.25 385 370 -3.90
2018-03-23 N-Q Blackrock Multi-sector Income Trust (see advisory)
2018-04-20 13F-HR TEALWOOD ASSET MANAGEMENT INC 127,430 128,665 0.97 2,083 2,026 -2.74
2018-02-02 13F-HR LOS ANGELES CAPITAL MANAGEMENT & EQUITY RESEARCH INC 562,308 0 -100.00 8,839 0 -100.00
2018-05-02 13F-HR NJ State Employees Deferred Compensation Plan 48,000 46,000 -4.17 785 725 -7.64
2018-05-08 13F-HR FIRST MERCANTILE TRUST CO 14,774 28,561 93.32 242 450 85.95
2018-05-11 13F-HR AMG Funds LLC 69,723 78,539 12.64 1,140 1,237 8.51
2018-05-14 13F-HR Dynamic Technology Lab Private Ltd 24,518 105,445 330.07 401 1,661 314.21
2018-04-27 13F-HR Penbrook Management LLC 0 42,200 0 664
2018-04-02 N-Q John Hancock Exchange-traded Fund Trust (see advisory)
2018-01-22 N-Q Blackrock Corporate High Yield Fund, Inc. (see advisory)
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ Call 0 40,000 0 630
2018-05-07 13F-HR MUFG Americas Holdings Corp 2,425 2,425 0.00 40 38 -5.00
2018-05-09 13F-HR NORTHERN TRUST CORP 1,268,224 1,306,440 3.01 20,735 20,577 -0.76
2018-03-27 N-Q Harbor Funds (see advisory)
2018-03-29 N-Q Flexshares Trust (see advisory)
2018-04-06 13F-HR Carroll Financial Associates, Inc. 134 134 0.00 2 2 0.00
2018-05-15 13F-HR Verition Fund Management LLC Put 10,000 0 -100.00 164 0 -100.00
2018-05-09 13F-HR BlackRock Inc. 13,137,934 13,192,833 0.42 214,805 207,788 -3.27
2018-02-06 13F-HR Daiwa Securities Group Inc. 8,400 0 -100.00 132 0 -100.00
2018-05-09 13F-HR Investors Research Corp 28,850 28,150 -2.43 472 443 -6.14
2018-05-08 13F-HR ROTHSCHILD ASSET MANAGEMENT INC 779,850 781,072 0.16 12,751 12,302 -3.52
2018-05-22 13F-HR AMALGAMATED BANK 55,060 55,694 1.15 900 877 -2.56
2018-02-28 N-Q Wells Fargo Funds Trust (see advisory)
2018-04-17 13F-HR KIRR MARBACH & CO LLC /IN/ 500,395 7,881
2018-02-13 13F-HR KENNEDY CAPITAL MANAGEMENT, INC. 245,813 369,598 50.36 3,864 6,043 56.39
2018-05-15 13F-HR GOLDMAN SACHS GROUP INC 927,702 1,513,403 63.13 15,168 23,836 57.15
2018-05-02 13F-HR Intrinsic Edge Capital Management LLC 60,000 0 -100.00 981 0 -100.00
2018-04-23 N-Q Touchstone Strategic Trust (see advisory)
2018-05-17 13F-HR Phocas Financial Corp. 330,456 312,747 -5.36 5,403 5 -99.91
2018-05-15 13F-HR PEAK6 Investments, L.P. Call 14,900 9,600 -35.57 244 151 -38.11
2018-05-08 13F-HR Neuberger Berman Group LLC 4,526,033 4,404,537 -2.68 74,001 69,358 -6.27
2018-03-08 N-Q Calamos Global Total Return Fund (see advisory)
2018-02-02 13F-HR/A PICTON MAHONEY ASSET MANAGEMENT 1,078,200 0 -100.00 16,950 0 -100.00
2018-05-01 13F-HR COMMERZBANK AKTIENGESELLSCHAFT /FI 50,096 74,357 48.43 819 1,171 42.98
2018-05-15 13F-HR DEUTSCHE BANK AG\ 885,749 674,431 -23.86 14,479 10,621 -26.65
2018-02-14 13F-HR CNH PARTNERS LLC 140,451 0 -100.00 2,208 0 -100.00
2018-04-24 N-Q Voya Equity Trust (see advisory)
2018-03-27 N-Q Nationwide Mutual Funds (see advisory)
2018-05-08 13F-HR Alambic Investment Management, L.P. 0 134,300 0 2,115
2018-05-15 13F-HR WOLVERINE ASSET MANAGEMENT LLC 780 7,338 840.77 12 115 858.33
2018-05-07 13F-HR EATON VANCE MANAGEMENT 65,725 1,035
2018-04-19 13F-HR Endurance Wealth Management, Inc. 550 550 0.00 9 9 0.00
2018-05-15 13F-HR HighTower Advisors, LLC 96,657 97,075 0.43 1,579 1,539 -2.53
2018-05-15 13F-HR Pomelo Capital LLC Put 1,592,400 0 -100.00 25,033 0 -100.00
2018-05-15 13F-HR DIKER MANAGEMENT LLC 58,000 0 -100.00 948 0 -100.00
2018-05-22 13F-HR/A Summit Trail Advisors, Llc 17,164 25,436 48.19 303 233 -23.10
2018-01-25 N-Q Prudential Investment Portfolios, Inc. 15 (see advisory)
2018-02-26 N-Q Allianz Funds Multi-strategy Trust (see advisory)
2018-02-14 13F-HR BOARDMAN BAY CAPITAL MANAGEMENT LLC 35,000 0 -100.00 550 0 -100.00
2018-02-12 13F-HR MARTINGALE ASSET MANAGEMENT L P 24,377 0 -100.00 384 0 -100.00
2018-03-19 N-Q TIAA-CREF FUNDS (see advisory)
2018-05-15 13F-HR Marshall Wace North America L.P. 1,727,760 297,853 -82.76 28,249 4,691 -83.39
2018-03-22 N-Q Mfs Multimarket Income Trust (see advisory)
2018-04-20 13F-HR Steward Partners Investment Advisory, Llc 4,672 4,162 -10.92 76 65 -14.47
2018-05-11 13F-HR Quantbot Technologies LP 1,270 28,519 2,145.59 20 449 2,145.00
2018-01-24 N-Q Capitol Series Trust (see advisory)
2018-05-08 13F-HR MESIROW FINANCIAL INVESTMENT MANAGEMENT US VALUE EQUITY 87,375 847,790 870.29 1,429 13,352 834.36
2018-04-09 13F-HR Aurora Investment Counsel 104,690 107,903 3.07 1,712 1,699 -0.76
2018-01-16 13F-HR NEXT Financial Group, Inc 20 0 -100.00 0 0
2018-02-14 13F-HR NUMERIC INVESTORS LLC 0 15,600 0 255
2018-04-10 13F-HR NISA INVESTMENT ADVISORS L.L.C. 20,730 20,730 0.00 339 326 -3.83
2018-05-09 13F-HR Twin Tree Management, LP 0 20,215 0 318
2018-05-09 13F-HR OPPENHEIMER ASSET MANAGEMENT INC. 284,553 444,083 56.06 4,473 6,995 56.38
2018-05-15 13F-HR Wellington Management Group LLP 390,449 599,066 53.43 6,384 9,435 47.79
2018-05-15 13F-HR Shannon River Fund Management LLC 309,886 0 -100.00 5,066 0 -100.00
2018-05-15 13F-HR GUGGENHEIM CAPITAL LLC 186,735 24,649 -86.80 3,051 389 -87.25
2018-04-23 13F-HR Capital Advisors, Ltd. LLC 199 199 0.00 3 3 0.00
2018-02-12 13F-HR Pacad Investment Ltd. 5,300 0 -100.00 83 0 -100.00
2018-02-13 13F-HR PRIMECAP MANAGEMENT CO/CA/ 10,834,299 10,695,249 -1.28 170,315 174,867 2.67
2018-05-07 13F-HR SCHWAB CHARLES INVESTMENT MANAGEMENT INC 1,199,394 1,239,818 3.37 19,611 19,528 -0.42
2018-05-15 13F-HR LEUCADIA NATIONAL CORP 46,500 0 -100.00 760 0 -100.00
2018-05-15 13F-HR GAM Holding AG 4,861 0 -100.00 79 0 -100.00
2018-02-13 13F-HR LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 31,784 0 -100.00 500 0 -100.00
2018-03-01 N-Q Loomis Sayles Funds I (see advisory)
2018-05-04 13F-HR First Eagle Investment Management, LLC 700 0 -100.00 11 0 -100.00
2018-05-07 13F-HR Johnson Financial Group, Inc. 72 0 -100.00 1 0 -100.00
2018-05-04 13F-HR LMR Partners LLP 279,698 279,698 0.00 4,573 4,573 0.00
2018-05-04 13F-HR FFCM LLC 288 0 -100.00 5 0 -100.00
2018-02-14 13F-HR JANA PARTNERS LLC 230,427 0 -100.00 3,622 0 -100.00
2018-05-15 13F-HR Point72 Asia (Hong Kong) Ltd 580 1,361 134.66 9 21 133.33
2018-03-29 N-Q Ishares Trust (see advisory)
2018-02-14 13F-HR TEACHERS ADVISORS INC 1,195,980 1,209,260 1.11 18,801 19,771 5.16
2018-05-11 13F-HR Cutler Group LP Call 1,100 7,400 572.73 1 33 3,200.00
2018-04-20 13F-HR Cable Hill Partners, LLC 97 97 0.00 2 1 -50.00
2018-05-15 13F-HR MILLENNIUM MANAGEMENT LLC 1,902,239 1,893,340 -0.47 31,102 29,820 -4.12
2018-03-30 N-Q Fidelity Advisor Series I (see advisory)
2018-04-18 13F-HR Creative Planning 15,445 14,719 -4.70 253 232 -8.30
2018-04-27 13F-HR STONERIDGE INVESTMENT PARTNERS LLC 12,049 12,049 0.00 197 190 -3.55
2018-03-08 N-Q Calamos Strategic Total Return Fund (see advisory)
2018-05-11 13F-HR Teza Capital Management LLC 46,454 732
2018-02-14 13F-HR Hunt Lane Capital LP 1,500,000 0 -100.00 23,580 0 -100.00
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP 251,262 177,637 -29.30 4,108 2,798 -31.89
2018-04-25 N-Q Strategic Funds, Inc. (see advisory)
2018-02-14 13F-HR PARAMETRIC PORTFOLIO ASSOCIATES LLC 167,000 200,636 20.14 2,625 3,280 24.95
2018-03-29 N-Q Vanguard International Equity Index Funds (see advisory)
2018-03-28 N-Q Hartford Funds Nextshares Trust (see advisory)
2018-02-14 13F-HR MORGAN STANLEY 777,322 820,215 5.52 12,220 13,409 9.73
2018-03-01 N-Q Loomis Sayles Funds Ii (see advisory)
2018-05-02 13F-HR WELLS FARGO & COMPANY/MN Put 98,300 113
2018-02-16 13F-HR/A Commonwealth Equity Services, Inc 793,100 789,189 -0.49 13,808 12,406 -10.15
2018-05-15 13F-HR Balentine LLC 2,250 0 -100.00 37 0 -100.00
2018-02-08 13F-HR TORONTO DOMINION BANK 12,149 0 -100.00 191 0 -100.00
2018-05-15 13F-HR Walleye Trading LLC Call 10,500 8,700 -17.14 173 137 -20.81
2018-05-02 13F-HR FORT WASHINGTON INVESTMENT ADVISORS INC /OH/ 794,343 794,343 0.00 12,988 12,511 -3.67
2018-05-18 13F-HR Moors & Cabot, Inc. 12,465 11,615 -6.82 202 183 -9.41
2018-05-15 13F-HR Intellectus Partners, LLC 90,587 85,854 -5.22 1,481 1,352 -8.71
2018-04-23 13F-HR FIRST TRUST ADVISORS LP 0 28,873 0 455
2018-03-26 N-Q Tcw Alternative Funds (see advisory)
2018-05-15 13F-HR BARCLAYS PLC Put 12,200 2,400 -80.33 199 38 -80.90
2018-02-02 13F-HR C M BIDWELL & ASSOCIATES LTD 477,130 0 -100.00 8,307 0 -100.00
2018-03-27 N-Q PRINCIPAL FUNDS INC (see advisory)
2018-04-25 N-Q Vanguard Wellington Fund (see advisory)
2018-04-16 13F-HR STONEBRIDGE CAPITAL MANAGEMENT INC 16,700 17,300 3.59 286 257 -10.14
2018-05-09 13F-HR Tredje AP-fonden 61,360 32,330 -47.31 1,003 509 -49.25
2018-05-15 13F-HR BASSO CAPITAL MANAGEMENT, L.P. Call 50,000 0 -100.00 818 0 -100.00
2018-05-15 13F-HR WOLVERINE TRADING, LLC Call 149,200 109,100 -26.88 2,439 1,718 -29.56
2018-04-23 13F-HR Financial Architects, Inc 250 50 -80.00 4 1 -75.00
2018-02-06 13F-HR Sumitomo Mitsui Trust Holdings, Inc. 784,684 0 -100.00 12,335 0 -100.00
2018-04-02 N-Q Northern Lights Fund Trust (see advisory)
2018-05-11 13F-HR HSBC HOLDINGS PLC 133,418 133,943 0.39 2,181 2,110 -3.26
2018-04-30 13F-HR Assenagon Asset Management S.A. 664,005 0 -100.00 10,856 0 -100.00
2018-05-15 13F-HR SPRINGBOK CAPITAL MANAGEMENT, LLC 23,210 7,200 -68.98 379 113 -70.18
2018-03-27 N-Q Schwab Capital Trust (see advisory)
2018-04-27 13F-HR Chicago Partners Investment Group LLC 1,177 1,177 0.00 19 19 0.00
2018-02-14 13F-HR Campbell & CO Investment Adviser LLC 19,937 0 -100.00 313 0 -100.00
2018-05-15 13F-HR Cubist Systematic Strategies, LLC 15,419 269,134 1,645.47 252 4,239 1,582.14
2018-04-26 N-Q Prudential Short Duration High Yield Fund, Inc. (see advisory)
2018-04-02 N-Q Primecap Odyssey Funds (see advisory)
2018-05-02 13F-HR ALGERT GLOBAL LLC 156,208 0 -100.00 2,554 0 -100.00
2018-05-10 13F-HR TCW GROUP INC 1,456,883 1,770,316 21.51 23,820 27,882 17.05
2018-05-15 13F-HR PANAGORA ASSET MANAGEMENT INC 8,019 8,019 0.00 131 126 -3.82
2018-02-09 13F-HR Proficio Capital Partners LLC 178 106 -40.45 3 2 -33.33
2018-05-08 13F-HR US BANCORP \DE\ 147 1,312 792.52 2 21 950.00
2018-05-16 13F-HR ASSETMARK, INC 185,116 363 -99.80 3,027 6 -99.80
2018-05-15 13F-HR Birch Grove Capital LP Put 50,000 155,000 210.00 24 78 225.00
2018-05-10 13F-HR Stratos Wealth Partners, LTD. 3,237 2,690 -16.90 53 42 -20.75
2018-05-15 13F-HR TWO SIGMA INVESTMENTS LLC 2,272,250 0 -100.00 37,151 0 -100.00
2018-02-13 13F-HR Oz Management LP Call 150,000 0 -100.00 2,358 0 -100.00
2018-04-27 N-Q Fidelity Salem Street Trust (see advisory)
2018-04-23 13F-HR Advisory Services Network, LLC 2,832 2,604 -8.05 46 41 -10.87
2018-02-01 13F-HR WESBANCO BANK INC 43,691 0 -100.00 687 0 -100.00
2018-05-07 13F-HR Marathon Capital Management 61,700 971
2018-01-24 13F-HR APG Asset Management N.V. 210,044 0 -100.00 3,302 0 -100.00
2018-04-02 N-Q Chartwell Funds (see advisory)
2018-02-14 13F-HR Portolan Capital Management, LLC 67,914 228,153 235.94 1,068 3,730 249.25
2018-05-15 13F-HR Bridgewater Associates, LP 0 216,830 0 3,415
2018-05-15 13F-HR Greenhouse Funds LLLP 739,543 783,332 5.92 12,092 12,337 2.03
2018-05-10 13F-HR Vantage Investment Advisors, LLC 625 625 0.00 10 10 0.00
2018-01-23 13F-HR STRS OHIO 3,952 0 -100.00 62 0 -100.00
2018-05-01 13F-HR OPPENHEIMER & CO INC 17,899 16,249 -9.22 293 256 -12.63
2018-03-01 N-Q Calvert Responsible Index Series, Inc. (see advisory)
2018-04-09 13F-HR CONTRAVISORY INVESTMENT MANAGEMENT, INC. 60 0 -100.00 1 0 -100.00
2018-02-09 13F-HR Mountain Capital Investment Advisors, Inc 116 0 -100.00 2 0 -100.00
2018-01-22 N-Q Blackrock Core Bond Trust (see advisory)
2018-05-14 13F-HR Commonwealth Equity Services, Llc. 898,365 897,221 -0.13 14,688 14,131 -3.79
2018-01-23 13F-HR Concorde Asset Management, LLC 10,139 0 -100.00 159 0 -100.00
2018-05-10 13F-HR JP Morgan Chase & Co 286,500 276,343 -3.55 4,685 4,352 -7.11
2018-04-02 N-Q Northern Lights Fund Trust Ii (see advisory)
2018-03-29 N-Q Winton Diversified Opportunities Fund (see advisory)
2018-04-25 13F-HR PICTET ASSET MANAGEMENT LTD 5,372,035 5,370,677 -0.03 87,833 84,588 -3.69
2018-05-15 13F-HR Harvest Capital Strategies LLC 888,300 800,000 -9.94 14,524 12,600 -13.25
2018-05-11 13F-HR Russell Investments Group, Ltd. 124,774 142,600 14.29 2,043 2,246 9.94
2018-02-06 13F-HR Mitsubishi UFJ Asset Management Co., Ltd. 38,603 0 -100.00 607 0 -100.00
2018-05-03 13F-HR BRONFMAN E.L. ROTHSCHILD, L.P. 1,535 903 -41.17 25 14 -44.00
2018-02-13 13F-HR LEVEL FOUR ADVISORY SERVICES, LLC 10,929 11,906 8.94 172 195 13.37
2018-05-15 13F-HR TUDOR INVESTMENT CORP ET AL 0 47,558 0 749
2018-05-04 13F-HR Sandy Spring Bank 127 127 0.00 2 2 0.00
2018-05-15 13F-HR PUTNAM INVESTMENTS LLC 0 181,300 0 2,855
2018-04-18 13F-HR WealthTrust-Arizona, LLC 750 750 0.00 12 12 0.00
2018-03-30 N-Q Amg Funds Iv (see advisory)
2018-04-30 13F-HR CIBC Asset Management Inc 16,972 16,651 -1.89 277 262 -5.42
2018-04-30 13F-HR ATRIA INVESTMENTS LLC 28,153 34,540 22.69 460 544 18.26
2018-05-04 13F-HR Boston Partners 154,300 154,300 0.00 2,523 2,430 -3.69
2018-05-15 13F-HR Marino, Stram & Associates Llc 1,000 1,000 0.00 16 16 0.00
2018-05-14 13F-HR Evercore Wealth Management, LLC 2,485 0 -100.00 41 0 -100.00
2018-05-14 13F-HR Icon Wealth Partners, Llc 4,910 0 -100.00 80 0 -100.00
2018-05-15 13F-HR MILLENNIUM MANAGEMENT LLC Call 0 600,000 0 9,450
2018-02-09 13F-HR Mitsubishi UFJ Trust & Banking Corp 574,189 0 -100.00 9,026 0 -100.00
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. 14,481 0 -100.00 237 0 -100.00
2018-02-13 13F-HR MACKENZIE FINANCIAL CORP 35,847 586
2018-05-17 13F-HR/A BARROW HANLEY MEWHINNEY & STRAUSS LLC 1,415 0 -100.00 23 0 -100.00
2018-03-01 N-Q City National Rochdale Funds (see advisory)
2018-05-03 13F-HR WRAPMANAGER INC 15,342 16,397 6.88 251 258 2.79
2018-05-15 13F-HR HIGHBRIDGE CAPITAL MANAGEMENT LLC 0 327,064 0 5,151
2018-03-28 N-Q Neuberger Berman High Yield Strategies Fund Inc. (see advisory)
2018-05-07 13F-HR ETRADE Capital Management LLC 11,208 11,675 4.17 183 184 0.55
2018-02-13 13F-HR Intellectus Partners, LLC Call 5,000 0 -100.00 0 0
2018-05-11 13F-HR First Allied Advisory Services, Inc. 41,842 41,227 -1.47 686 647 -5.69
2018-03-27 N-Q American Century Capital Portfolios Inc (see advisory)
2018-05-15 13F-HR BANK OF AMERICA CORP /DE/ 1,367,868 1,544,413 12.91 22,364 24,326 8.77
2018-05-11 13F-HR SYMPHONY ASSET MANAGEMENT LLC 45,100 710
2018-05-15 13F-HR BARCLAYS PLC 466,282 864,007 85.30 7,625 13,609 78.48
2018-05-03 13F-HR ARGENT CAPITAL MANAGEMENT LLC 25,095 25,275 0.72 447 398 -10.96
2018-03-23 N-Q Blackrock Credit Allocation Income Trust (see advisory)
2018-05-15 13F-HR CAPITAL FUND MANAGEMENT S.A. 129,934 0 -100.00 2,124 0 -100.00
2018-05-14 13F-HR/A NOMURA HOLDINGS INC 103,764 56,274 -45.77 1,697 892 -47.44
2018-02-12 13F-HR FMR LLC / Fidelity 4,787,795 5,589,795 16.75 75,264 91,393 21.43
2018-05-03 13F-HR Coyle Financial Counsel, Inc. 136,854 142,938 4.45 2,238 2,251 0.58
2018-03-29 N-Q Advisors' Inner Circle Fund (see advisory)
2018-04-18 13F-HR REGIONS FINANCIAL CORP 11,004 2,258 -79.48 180 35 -80.56
2018-01-22 N-Q Blackrock Ltd Duration Income Trust (see advisory)
2018-05-15 13F-HR Homrich & Berg 12,063 12,063 0.00 197 190 -3.55
2018-05-15 13F-HR BALYASNY ASSET MANAGEMENT LLC 0 190,185 0 2,995
2018-05-14 13F-HR BRANT POINT INVESTMENT MANAGEMENT LLC 523,879 534,120 1.95 8,565 8,412 -1.79
2018-02-27 N-Q Federated High Income Bond Fund Inc (see advisory)
2018-02-14 13F-HR NOMURA ASSET MANAGEMENT CO LTD 36,700 0 -100.00 577 0 -100.00
2018-04-23 13F-HR SG Capital Management LLC 887,302 790,399 -10.92 14,507 12,449 -14.19
2018-05-15 13F-HR Carnegie Capital Asset Management, LLC 14,342 11,192 -21.96 246 145 -41.06
2018-05-15 13F-HR SUSQUEHANNA INTERNATIONAL GROUP, LLP Put 268,600 281,200 4.69 4,392 4,429 0.84
2018-05-14 13F-HR Gryphon Financial Partners Llc 559 159 -71.56 10 3 -70.00
2018-05-17 13F-HR Legal & General Group Plc 1,085,803 1,806,420 66.37 17,753 28,451 60.26
2018-05-15 13F-HR Paloma Partners Management Co 348,121 19,617 -94.36 5,691 309 -94.57
2018-05-04 13F-HR STATE BOARD OF ADMINISTRATION OF FLORIDA RETIREMENT SYSTEM 370,929 374,439 0.95 6,065 5,897 -2.77
2018-04-27 N-Q Fidelity Financial Trust (see advisory)
2018-05-15 13F-HR Jabre Capital Partners S.A. 0 22,000 0 347
2018-01-17 13F-HR Gulf International Bank (UK) Ltd 92,268 0 -100.00 1,450 0 -100.00
2018-02-01 13F-HR Nationwide Fund Advisors 22,359 0 -100.00 351 0 -100.00
2018-05-14 13F-HR Allianz Asset Management AG 3,623,129 3,663,723 1.12 59,238 57,704 -2.59
2018-02-02 13F-HR TD ASSET MANAGEMENT INC 18,394 0 -100.00 289 0 -100.00
2018-01-18 13F-HR Westpac Banking Corp 16,463 0 -100.00 258,798 0 -100.00
2018-05-11 13F-HR CITIGROUP INC Call 67,000 46,800 -30.15 1,095 737 -32.69
2018-05-15 13F-HR UBS Group AG 272,495 155,653 -42.88 4,455 2,451 -44.98
2018-05-09 13F-HR MCRAE CAPITAL MANAGEMENT INC 347,900 363,100 4.37 5,688 5,719 0.55
2018-05-15 13F-HR Millrace Asset Group, Inc. 89,500 1,410
2018-04-17 13F-HR Calton & Associates, Inc. 2,275 0 -100.00 41 0 -100.00
2018-05-15 13F-HR Parallax Volatility Advisers, L.P. Call 700 40,000 5,614.29 11 630 5,627.27
2018-05-14 13F-HR ASCEND CAPITAL, LLC 797,561 598,669 -24.94 13,041 9,429 -27.70
2018-05-14 13F-HR Bayesian Capital Management, LP 82,300 0 -100.00 1,346 0 -100.00
2018-03-23 N-Q Morgan Stanley Global Fixed Income Opportunities Fund (see advisory)
2018-05-15 13F-HR Circle Road Advisors Lp 193,199 262,516 35.88 3,159 4,135 30.90
2018-05-15 13F-HR HBK INVESTMENTS L P 465,470 100,400 -78.43 7,610 1,581 -79.22
2018-04-26 13F-HR SIMPLEX TRADING, LLC Call 204 810 297.06 32 56 75.00
2018-03-28 N-Q HARTFORD MUTUAL FUNDS INC/CT (see advisory)
2018-01-25 N-Q Federated High Yield Trust (see advisory)
2018-05-10 13F-HR CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 521,440 753,394 44.48 8,526 11,866 39.17
2018-03-27 N-Q Advantage Funds, Inc. (see advisory)
2018-05-15 13F-HR Institute for Wealth Management, LLC. 76,575 0 -100.00 1,253 0 -100.00
2018-05-03 13F-HR Zurcher Kantonalbank (Zurich Cantonalbank) 13,408 18,366 36.98 219 289 31.96
2018-02-09 13F-HR THOMPSON SIEGEL & WALMSLEY LLC 35,150 0 -100.00 553 0 -100.00
2018-05-08 13F-HR STEVENS CAPITAL MANAGEMENT LP 187,124 162,316 -13.26 3,059 2,556 -16.44
2018-05-03 13F-HR DekaBank Deutsche Girozentrale 172,167 753,000 337.37 2,817 11,513 308.70
2018-03-28 N-Q J.p. Morgan Exchange-traded Fund Trust (see advisory)
2018-05-14 13F-HR UBS OCONNOR LLC 617,287 91,040 -85.25 10,093,000 1,434,000 -85.79
2018-03-28 N-Q Old Westbury Funds Inc (see advisory)
2018-04-10 13F-HR Gradient Investments LLC 400 6
2018-02-14 13F-HR Cloverdale Capital Management, LLC 907,900 1,145,560 26.18 14,272 18,730 31.24
2018-03-28 N-Q Prudential Investment Portfolios, Inc. 17 (see advisory)
2018-01-26 N-Q Fidelity Rutland Square Trust Ii (see advisory)
2018-05-01 13F-HR PUBLIC EMPLOYEES RETIREMENT ASSOCIATION OF COLORADO 56,395 55,940 -0.81 922 881 -4.45
2018-04-18 13F-HR/A FNY Partners Fund LP 34,250 0 -100.00 559 0 -100.00
2018-03-29 N-Q Advent Claymore Convertible Securities & Income Fund (see advisory)
2018-02-12 13F-HR Standard Life Aberdeen Plc 18,877 0 -100.00 297 0 -100.00
2018-05-11 13F-HR CITIGROUP INC Put 129,300 115,100 -10.98 2,114 1,813 -14.24
2018-05-04 13F-HR M&T BANK CORP 24,249 28,177 16.20 396 443 11.87
2018-05-15 13F-HR Clearbridge Investments, LLC 21,391,876 21,530,401 0.65 349,757 339,104 -3.05
2018-04-19 13F-HR Janney Montgomery Scott LLC 54,109 59,393 9.77 885 935 5.65
2018-02-12 13F-HR FJARDE AP-FONDEN /FOURTH SWEDISH NATIONAL PENSION FUND 90,381 0 -100.00 1,421 0 -100.00
2018-05-11 13F-HR DIMENSIONAL FUND ADVISORS LP 2,383,721 2,383,481 -0.01 38,975 37,540 -3.68
2018-04-10 13F-HR Daiwa SB Investments Ltd. 74,655 184,455 147.08 1,221 2,905 137.92
2018-05-10 13F-HR JP Morgan Chase & Co Call 0 182,100 0 2,868
2018-05-04 13F-HR A.R. Schmeidler & Co., Inc. 44,000 49,000 11.36 719 772 7.37
2018-05-15 13F-HR LADENBURG THALMANN FINANCIAL SERVICES INC 15,921 23,992 50.69 260 377 45.00

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

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

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