13F-HR filed by Crow Point Partners, LLC
Crow Point Partners, LLC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-27, with 240 holding rows worth $771,636,000.
- Accession
- 0000891092-14-004109
- Filer
- CIK 1384305
- Filed
- 2014-05-27
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 244 entries on the cover page, a total value of $771,636,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $771,636,000 with VALUE read as thousands by filing date, 13F file number 028-12447. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| EDISON INTL COM | 281020107 | Stock | 595,000 | $33,683,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 780,000 | $29,133,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 300,050 | $28,691,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 540,000 | $24,570,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 249,900 | $24,180,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 458,000 | $21,320,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 90,000 | $19,427,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 402,712 | $19,157,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 590,000 | $19,051,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 650,000 | $19,032,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 250,000 | $17,510,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 472,271 | $17,384,000 | thousands by filing date | |
| ROGERS COMMUNICATIONS INC CL B | 775109200 | Stock | 400,000 | $16,576,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 580,280 | $15,691,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 370,000 | $15,015,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 285,170 | $14,447,000 | thousands by filing date | |
| ENERGEN CORP | 29265N108 | COM | 170,000 | $13,738,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 353,350 | $13,477,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 250,000 | $12,830,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 175,300 | $12,445,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 600,000 | $12,132,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 1,400,000 | $11,900,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 232,280 | $11,623,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 250,000 | $11,350,000 | thousands by filing date | |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 530,580 | $11,270,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 335,577 | $10,903,000 | thousands by filing date | |
| EXCEL TR INC | 30068C109 | COM | 800,000 | $10,144,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 885,500 | $9,980,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 900,000 | $9,171,000 | thousands by filing date | |
| PPL Corp. 5.9% | 69352P202 | PRD | 374,300 | $8,721,000 | thousands by filing date | |
| DTE ENERGY CO $1.313 PFD | 233331701 | PREFERRED | 369,996 | $8,110,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 239,290 | $7,858,000 | thousands by filing date | |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 295,000 | $7,437,000 | thousands by filing date | |
| SOTHERLY HOTELS 8 % PFD SOHOL-USA | 83600E208 | Equity Preference | 284,000 | $7,412,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 73,600 | $7,137,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 300,000 | $7,107,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 200,000 | $7,014,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 150,000 | $6,827,000 | thousands by filing date | |
| QR ENERGY LP | 74734R108 | UNIT LTD PRTNS | 365,483 | $6,535,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 80,000 | $5,976,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 100,000 | $5,547,000 | thousands by filing date | |
| SCE TRUST II 5 5.1 PFDPFD | 78407R204 | STOK | 268,200 | $5,514,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 586,500 | $5,443,000 | thousands by filing date | |
| NEXTERA ENERGY 5.00% SER J | 65339K886 | PUBLIC | 263,000 | $5,426,000 | thousands by filing date | |
| NEXTERA ENERGY | 65339K803 | PFD | 243,000 | $5,137,000 | thousands by filing date | |
| SCE TR I TR PREF SECS $1.40625 PFD | 78406T201 | PREFERRED | 223,000 | $5,071,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 550,000 | $4,967,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 102,411 | $4,857,000 | thousands by filing date | |
| GABELLI ENTR MRG+ACQ Y | 29372K583 | Mutual Fund | 355,133 | $4,766,000 | thousands by filing date | |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 302,100 | $4,568,000 | thousands by filing date | |
| DTE Energy 6.5% Jr Sub Call 12 | 233331602 | PFD | 176,900 | $4,511,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 300,000 | $4,176,000 | thousands by filing date | |
| Dupont Fabros Tech 7.875% Pfd Series A | 26613q205 | com | 161,769 | $4,085,000 | thousands by filing date | |
| CenturyLink Quest 6.125%Nts Cl | 74913g600 | PFD | 185,000 | $4,076,000 | thousands by filing date | |
| INDIANAPOLIS PWR + LT CO PFD PCT | 455434878 | EQUITY | 42,000 | $4,032,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G308 | Equities | 150,000 | $3,921,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 480,000 | $3,864,000 | thousands by filing date | |
| SELECTIVE INS GROUP- CALLABLE | 816300404 | Pref | 170,000 | $3,798,000 | thousands by filing date | |
| VANGUARD NAT RES LLC RED PFD S | 92205F304 | PFD | 150,000 | $3,677,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 150,000 | $3,287,000 | thousands by filing date | |
| UNITIL CORP COM | 913259107 | Stock | 100,000 | $3,284,000 | thousands by filing date | |
| VNR 7.875 12/31/49 | 92205F205 | STOCK | 120,700 | $3,086,000 | thousands by filing date | |
| DUKE ENERGY CORP $1.281 PFD | 26441C303 | PREFERRED | 130,000 | $3,016,000 | thousands by filing date | |
| Nextera Energy Ser H 5.625% du | 65339K704 | PRD | 125,000 | $2,881,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 75,000 | $2,771,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 200,000 | $2,754,000 | thousands by filing date | |
| MONTPELIER RE HOLDINGS 8.875% $2.219 PFD | G62185114 | PREFERRED | 97,293 | $2,619,000 | thousands by filing date | |
| ARLINGTON ASSET | 041356304 | STOCK | 110,000 | $2,564,000 | thousands by filing date | |
| Allstate 6.625 | 020002879 | PFD | 100,000 | $2,516,000 | thousands by filing date | |
| MAIDEN HOLDINGS | 56029Q408 | PFD | 100,200 | $2,504,000 | thousands by filing date | |
| Miller Energy 10.5% PFD MILL.PRD-USA | 600527303 | Preferred stock | 100,000 | $2,422,000 | thousands by filing date | |
| Magyar Telekom Telecommunicati | X5187V109 | COM | 4,000 | $2,409,000 | thousands by filing date | |
| Atlas Pipeline 8.25% Called 2/ | 049392301 | PFD | 95,000 | $2,395,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 55,000 | $2,376,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 90,000 | $2,269,000 | thousands by filing date | |
| ENTERGY ARKANSAS | 29364D761 | PFD | 100,000 | $2,182,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 30,514 | $2,173,000 | thousands by filing date | |
| Magnum Hunter Ser E PFD MHR.PRE-USA | 55973B409 | Equity Preference | 75,000 | $2,130,000 | thousands by filing date | |
| Gulf Power Co Non-Cum Pfd Shs Series -2007A- | 402479752 | EQUITY | 21,000 | $2,076,000 | thousands by filing date | |
| Seaspan 8.25 Perp CUM QDI Cal | y75638133 | PFD | 80,000 | $2,043,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 150,000 | $2,042,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 125,000 | $2,018,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 75,000 | $2,003,000 | thousands by filing date | |
| Gastar Exploration Inc Cum Pfd Shs Series B | 36729P306 | EQUITY | 75,000 | $1,965,000 | thousands by filing date | |
| Zions Bancorp Non-Cum Perp Pfd Shs Series I | 989701BD8 | PREFERRED STOCK | 2,000 | $1,875,000 | thousands by filing date | principal |
| DYNEX CAPITAL 8.5% PFD | 26817Q704 | ps | 75,000 | $1,833,000 | thousands by filing date | |
| FIRST REPUBLIC BANK 5.625 PREF | 33616C605 | PRD | 80,500 | $1,783,000 | thousands by filing date | |
| Hanover Insurance 6.35% Cl 3/1 | 410867204 | PFD | 77,100 | $1,779,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 200,000 | $1,648,000 | thousands by filing date | |
| AG Mortgage Inv Tr 8 Pfd Ser B | 001228303 | PRD | 70,650 | $1,639,000 | thousands by filing date | |
| Entergy La Llc 1st Mtg Bd | 29364W603 | Preferred Stock | 70,483 | $1,434,000 | thousands by filing date | |
| TRIANGLE CAP 6.375% E | 895848307 | PREFERR | 55,000 | $1,359,000 | thousands by filing date | |
| Entergy Ark Inc 1ST | 29364D753 | Equity | 65,000 | $1,337,000 | thousands by filing date | |
| ALABAMA PWR CO PFD 5.625% | 010392512 | PFD | 55,000 | $1,333,000 | thousands by filing date | |
| AMERESCO INC | 02361E108 | CL A | 175,000 | $1,323,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP | 74251V300 | PFD | 50,000 | $1,244,000 | thousands by filing date | |
| Hercules Tech Growth Capital, | 427096888 | NOTE 6.000% 4/1 | 45,000 | $1,164,000 | thousands by filing date | |
| GOLDMAN SACHS 5.95% PFD SER I | 38145G209 | PRD | 50,000 | $1,153,000 | thousands by filing date | |
| ENDURANCE SPECIATY HLDG 7.75% $1.9375 PFD | 29267H208 | PREFERRED | 44,000 | $1,152,000 | thousands by filing date | |
| INTERSTATE POWER & LIGHT COMPAY PERP PFD SER D | 461070856 | Preferred Stock | 50,000 | $1,149,000 | thousands by filing date | |
| ENTERGY LA LLC $1.3125 PFD | 29364W504 | PREFERRED | 45,000 | $1,077,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 47,000 | $981,000 | thousands by filing date | |
| ASTORIA FINANCIAL | 046265401 | PFD | 40,000 | $950,000 | thousands by filing date | |
| HATTERAS FINL CORP | 41902R103 | COM | 50,000 | $943,000 | thousands by filing date | |
| MAGICJACK VOCALTEC LTD | M6787E101 | SHS | 43,050 | $914,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 512,000 | $901,000 | thousands by filing date | |
| WHITESTONE REIT | 966084204 | COM | 60,000 | $866,000 | thousands by filing date | |
| TCF FINANCIAL 6.45% PFD (TCBPR | 872277405 | PFD | 35,000 | $846,000 | thousands by filing date | |
| BANK AMERICA CORP | 060505583 | Common Stock | 40,000 | $828,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 16,000 | $690,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 25,000 | $681,000 | thousands by filing date | |
| Argo Group 6.5% Sr Notes Call | 040130205 | PFD | 29,000 | $667,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 90,000 | $608,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38145G308 | PRF | 25,000 | $596,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 103,720 | $592,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 10,810 | $577,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 3,510 | $573,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 5,510 | $549,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 5,600 | $547,000 | thousands by filing date | |
| FIRST REPUBLIC BANK | 33616c886 | PREFERRED | 25,000 | $539,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 5,510 | $535,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 10,000 | $524,000 | thousands by filing date | |
| MS 6 7/8 PERP | 61763E207 | PUBLIC | 20,000 | $518,000 | thousands by filing date | |
| DIGITAL RLTY TR INC PFD SER H | 253868871 | REIT | 20,000 | $498,000 | thousands by filing date | |
| First Republic Bank 6.2% Cl 6/ | 33616c407 | PFD | 20,000 | $493,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 5,720 | $486,000 | thousands by filing date | |
| WISCONSIN PUB SVC CORP PFD 5.08PCT WIPSL-USA | 976843409 | Preferred stock | 4,804 | $478,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 15,345 | $475,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 5,340 | $452,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 32,130 | $442,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 7,500 | $441,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 8,080 | $432,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 13,320 | $431,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 4,970 | $416,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 23,300 | $415,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 6,950 | $412,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 46,715 | $404,000 | thousands by filing date | |
| AVERY DENNISON CORP COM | 053611109 | Stock | 7,950 | $403,000 | thousands by filing date | |
| NTT DOCOMO INC | 62942M201 | SPONS ADR | 25,000 | $394,000 | thousands by filing date | |
| ARES CAPTIAL CORP | 04010L608 | PFD | 15,000 | $380,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 12,500 | $375,000 | thousands by filing date | |
| Bladex, Inc. Class E | P16994132 | COM | 14,110 | $373,000 | thousands by filing date | |
| BGC Partners 8.125% 2042 Call | 05541t408 | PFD | 13,585 | $364,000 | thousands by filing date | |
| LUKOIL-SPON ADR | 677862104 | ADR | 6,460 | $361,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 15,150 | $357,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 20,000 | $350,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 8,800 | $340,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 6,130 | $324,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 8,180 | $313,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 16,300 | $285,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 16,430 | $276,000 | thousands by filing date | |
| Crow Point Defined Risk Global Equity Income Fund CL I | 66538A562 | EQUITY | 25,781 | $268,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 13,350 | $267,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 7,755 | $209,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 50,000 | $194,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 51,200 | $189,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 7,850 | $157,000 | thousands by filing date | |
| NEWCASTLE INVT CORP - PFD B | 65105M207 | EQPFD | 5,800 | $150,000 | thousands by filing date | |
| AMERICAN EAGLE ENERGY | 02554F300 | COM | 20,000 | $141,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 4,770 | $138,000 | thousands by filing date | |
| ASHFORD 8.45% D AHT-P | 044103406 | PREFERR | 5,430 | $137,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 1,680 | $124,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 2,240 | $121,000 | thousands by filing date | |
| Aspen Insurance 7.25% Call07/2 | g05384147 | PFD | 4,590 | $120,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,000 | $119,000 | thousands by filing date | |
| ING GROUP N V PERP HYB CAP | 456837608 | PRD | 4,750 | $119,000 | thousands by filing date | |
| NORTHSTAR REALTY FINANCE PREF | 66704R506 | PFD | 4,700 | $119,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC $1.438 PFD | 854502705 | PREFERRED | 4,860 | $116,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS PFD | y8565j127 | PFD | 4,550 | $116,000 | thousands by filing date | |
| Santander 10.5% Pfd Series 10 | E8683R144 | Preferred Stock | 4,410 | $115,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V302 | Equities | 115,000 | $115,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 13,330 | $111,000 | thousands by filing date | |
| HSBC USA 6.50% Perp/Call 7/11 | 40428h862 | PFD | 4,430 | $111,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,550 | $109,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 14,020 | $109,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 3,100 | $109,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 1,400 | $105,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 3,720 | $105,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 4,300 | $102,000 | thousands by filing date | |
| Miller Energy Resources 10.75% | 600527204 | PREFERRED STOCKS | 4,000 | $100,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 1,090 | $99,000 | thousands by filing date | |
| Regions Financial 6.375% Cl 12 | 7591ep308 | PFD | 4,020 | $97,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 2,200 | $95,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 2,790 | $94,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 3,860 | $91,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 5,600 | $87,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 7,000 | $87,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 2,600 | $86,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 7,900 | $85,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 4,560 | $82,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 1,310 | $81,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 3,220 | $70,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 1,000 | $67,000 | thousands by filing date | |
| GreenHunter Resources Inc 10 Cum Pfd Shs Series C | 39530A203 | EQUITY | 157,898 | $55,000 | thousands by filing date | |
| Seaspan Corp | 81254U205 | PFD | 40,000 | $40,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 500 | $17,000 | thousands by filing date | |
| GDF Suez | F42768105 | COM | 600 | $16,000 | thousands by filing date | |
| Neopost SA NPACF | F65196119 | Common stock | 200 | $16,000 | thousands by filing date | |
| Deutsche Post AG | D19225107 | COM | 400 | $15,000 | thousands by filing date | |
| STARWOOD WAYPOINT RESIDENTL | 85571W109 | COM SHS | 520 | $15,000 | thousands by filing date | |
| BANK OF CHINA LTD COM | Y0698A107 | COM | 32,000 | $15,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 200 | $13,000 | thousands by filing date | |
| CANADIAN OIL SANDS LTD | 13643E105 | COMMON | 600 | $13,000 | thousands by filing date | |
| National Australia Bank Ltd | Q65336119 | Com | 400 | $13,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 1,000 | $12,000 | thousands by filing date | |
| SUEZ Environnement Co. SA SZEVF | F4984P118 | Common stock | 600 | $12,000 | thousands by filing date | |
| NCC AB Class B NCCBF | W5691F104 | Common stock | 400 | $12,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 200 | $11,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 360 | $11,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 1,400 | $10,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 200 | $10,000 | thousands by filing date | |
| Iberdrola SA | E6165F166 | ADR | 1,400 | $10,000 | thousands by filing date | |
| Sonic Healthcare Ltd | q8563c107 | COM | 600 | $10,000 | thousands by filing date | |
| AXA SA | F06106102 | COM | 400 | $10,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 280 | $10,000 | thousands by filing date | |
| Takeda Pharma sedol B01DRX9 US | j8129e108 | COM | 200 | $10,000 | thousands by filing date | |
| GAZPROM PJSC SPON ADR | 368287207 | ADR | 1,200 | $9,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 200 | $8,000 | thousands by filing date | |
| BAE SYSTEMS PLC ORD | G06940103 | Stock | 1,200 | $8,000 | thousands by filing date | |
| Terna - Rete Elettrica Nazionale | T9471R100 | COM | 1,800 | $8,000 | thousands by filing date | |
| Electricity Generating Public Co. Ltd. NVDR EYUUF | Y22834124 | Equity | 2,000 | $8,000 | thousands by filing date | |
| Micro Focus International plc MCFUF | G6117L160 | Common stock | 600 | $8,000 | thousands by filing date | |
| Lagardere SCA | F5485U100 | ADR | 200 | $8,000 | thousands by filing date | |
| ITOCHU CORP | J2501P104 | FOREIGN | 600 | $7,000 | thousands by filing date | |
| FREENET AG | D3689Q134 | COMMON STOCK | 200 | $7,000 | thousands by filing date | |
| Ind & Comm BK of China | Y3990B112 | COM | 9,400 | $6,000 | thousands by filing date | |
| CHINA RAILWAY CONS | Y1508P110 | COM | 8,000 | $6,000 | thousands by filing date | |
| PTT Global Chemical Plc NVDR PGCPF | Y7150W121 | Equity | 3,000 | $6,000 | thousands by filing date | |
| Southern Cross Media Group Limited SOUTF | Q8571C107 | Equity | 4,200 | $5,000 | thousands by filing date | |
| ***SEASPAN CORPORATION | Y75638125 | PRD | 150 | $4,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 100 | $2,000 | thousands by filing date | |
| MAGNUM HUNTER RES 13WTS | 55973G119 | wt | 140,000 | $2,000 | thousands by filing date | |
| RENREN INC | 759892102 | SPONSORED ADR | 50,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| IShares MSCI EAFE Index Fund | 46428746 | COM | 125 | $0 | thousands by filing date | putValue filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| IShares MSCI Emerging Markets | 46428723 | COM | 150 | $0 | thousands by filing date | putValue filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| SPDR S&P 500 ETF TR | 78462F10 | TR UNIT | 205 | $0 | thousands by filing date | putValue filed as zero, left out of ratios.The CUSIP as filed is malformed. |
| INVESCO CONVERT SEC-Y | 00888W700 | FD | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| AQR MANAGD FUTURE STR | 00203H859 | MUTUAL | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| THORN DEV WRLD I | 885216606 | MUTUAL | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ComEd Financing III 6.35% 15-MAR-2033 EXC.IU-OTC | 20035AAA2 | Corporate Bond | 13 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000891092-14-004109 | this filing | 2014-05-27 | acceptance time not in the bulk data set |