13F-HR filed by Crow Point Partners, LLC
Crow Point Partners, LLC filed this 13F-HR for the quarter ended 2015-06-30, filed 2015-09-24, with 298 holding rows worth $680,065,000.
- Accession
- 0000891092-15-008348
- Filer
- CIK 1384305
- Filed
- 2015-09-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2015
A holdings report, 302 entries on the cover page, a total value of $680,065,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $680,079,000 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 |
|---|---|---|---|---|---|---|
| CHATHAM LODGING TR | 16208T102 | COM | 1,250,000 | $33,088,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 260,000 | $25,488,000 | thousands by filing date | |
| HILTON WORLDWIDE FIN TERM LOAN 10/25/2020 BBG0058KTHW1 | BBG0058KT | BankDebt | 237,500 | $23,676,000 | thousands by filing date | principal |
| EDISON INTL COM | 281020107 | Stock | 410,000 | $22,788,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 644,999 | $22,078,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 219,900 | $21,757,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 370,000 | $21,234,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 630,000 | $20,059,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 425,000 | $19,299,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 775,000 | $19,065,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 275,000 | $18,466,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 304,000 | $17,547,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 287,520 | $15,230,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 250,000 | $14,723,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 225,825 | $13,581,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 250,000 | $12,158,000 | thousands by filing date | |
| MONTPELIER RE HLDGS LTD SH | G62185106 | COM | 300,000 | $11,850,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 175,300 | $11,722,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 241,395 | $11,251,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 1,260,000 | $10,660,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 267,890 | $10,523,000 | thousands by filing date | |
| WHEELER REIT | 963025101 | COM | 5,000,000 | $10,150,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 1,000,000 | $9,950,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 268,434 | $9,784,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 401,787 | $9,707,000 | thousands by filing date | |
| CONVERGYS CORP | 212485106 | COM | 331,730 | $8,456,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 100,000 | $8,154,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 400,000 | $8,128,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 664,279 | $8,051,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 80,000 | $7,478,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 150,000 | $7,019,000 | thousands by filing date | |
| Entergy La Llc 1st Mtg Bd | 29364W603 | Preferred Stock | 295,483 | $6,852,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 200,000 | $6,436,000 | thousands by filing date | |
| SOTHERLY HOTELS 8 % PFD SOHOL-USA | 83600E208 | Equity Preference | 245,000 | $6,407,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 400,000 | $6,144,000 | thousands by filing date | |
| ARRAY DIGITAL INFRASTRUCTURE | 911684108 | COM | 160,712 | $6,054,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 73,600 | $5,987,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 300,000 | $5,709,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C114 | PREFERR | 223,707 | $5,658,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 100,000 | $5,614,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 150,000 | $5,328,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 397,833 | $5,176,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 102,411 | $4,993,000 | thousands by filing date | |
| BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 | 106777AB1 | BOND | 5,680,000 | $4,845,000 | thousands by filing date | principal |
| ASHFORD HOSPITALITY PRIME IN | 044102101 | COM | 302,100 | $4,538,000 | thousands by filing date | |
| NN INC | 629337106 | COM | 175,000 | $4,466,000 | thousands by filing date | |
| ENTERGY ARKANSAS | 29364D761 | PFD | 165,335 | $3,948,000 | thousands by filing date | |
| BREITBURN ENERGY PARTNERS, L.P | 106776115 | PFD | 185,000 | $3,909,000 | thousands by filing date | |
| Diana Shipping Inc 8 1/2 Notes 2015-15.5.20 Sr | Y2066G120 | EQUITY | 150,000 | $3,750,000 | thousands by filing date | |
| VANGUARD NAT RES LLC RED PFD S | 92205F304 | PFD | 150,000 | $3,726,000 | thousands by filing date | |
| Energy & Exploration Partners Inc. 8.0 01-JUL-2019 | 29270RAA0 | EQUITY | 10,000,000 | $3,648,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 35,600 | $3,549,000 | thousands by filing date | |
| TRAVELCENTERS AMERLLC SR | 894174200 | EQUITIES | 125,000 | $3,261,000 | thousands by filing date | |
| INDIANAPOLIS PWR + LT CO PFD PCT | 455434878 | EQUITY | 29,345 | $2,979,000 | thousands by filing date | |
| UNITED STATES CELLULAR SR NT 120163 | 911684504 | Preferred | 115,000 | $2,912,000 | thousands by filing date | |
| VANGUARD NATURAL RESOURCES LLC 7.75% Series C VNRCP | 92205F403 | Equity Preference | 121,484 | $2,900,000 | thousands by filing date | |
| ARLINGTON ASSET | 041356304 | STOCK | 110,000 | $2,736,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 55,000 | $2,701,000 | thousands by filing date | |
| NEXTERA ENERGY | 65339K803 | PFD | 114,000 | $2,575,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 50,000 | $2,533,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 75,000 | $2,445,000 | thousands by filing date | |
| Valley National Bancorp | 919794206 | VLYPP | 90,000 | $2,241,000 | thousands by filing date | |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 137,500 | $2,239,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 30,514 | $2,155,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 126,000 | $1,986,000 | thousands by filing date | |
| SOTHERLY HOTELS LP 7.00% SENIOR NOTES DUE 2019 83600E109 | 83600E109 | Equity Preference | 75,000 | $1,950,000 | thousands by filing date | |
| LEGACY RESERVES PFD | 524707502 | COM | 100,000 | $1,943,000 | thousands by filing date | |
| Seaspan 8.25 Perp CUM QDI Cal | y75638133 | PFD | 75,000 | $1,891,000 | thousands by filing date | |
| NEXTERA ENERGY 5.00% SER J | 65339K886 | PUBLIC | 70,000 | $1,588,000 | thousands by filing date | |
| Seaspan Corp | 81254U205 | PFD | 63,600 | $1,587,000 | thousands by filing date | |
| Entergy Ark Inc 1ST | 29364D753 | Equity | 65,000 | $1,525,000 | thousands by filing date | |
| PPL Corp. 5.9% | 69352P202 | PRD | 61,170 | $1,515,000 | thousands by filing date | |
| LIBR 2005-1A A1C 0.4876% 11/01/17 530361AE4 | 530361AE4 | Corporate Bond | 1,500,000 | $1,499,000 | thousands by filing date | principal |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 59,000 | $1,427,000 | thousands by filing date | |
| Gastar Exploration Inc Cum Pfd Shs Series B | 36729P306 | EQUITY | 56,900 | $1,416,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 512,000 | $1,382,000 | thousands by filing date | |
| ComEd Financing III 6.35% 15-MAR-2033 EXC.IU-OTC | 20035AAA2 | Corporate Bond | 1,340,000 | $1,377,000 | thousands by filing date | principal |
| AMERESCO INC | 02361E108 | CL A | 175,000 | $1,339,000 | thousands by filing date | |
| ALABAMA PWR CO NON CUM PFD | 010392488 | PFD | 50,000 | $1,320,000 | thousands by filing date | |
| JPMorgan Chase preferred | 48127X542 | PFD | 50,000 | $1,237,000 | thousands by filing date | |
| GreenHunter Resources Inc 10 Cum Pfd Shs Series C | 39530A203 | EQUITY | 61,786 | $1,196,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 62,500 | $1,156,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 13,000 | $1,135,000 | thousands by filing date | |
| Magnum Hunter Ser E PFD MHR.PRE-USA | 55973B409 | Equity Preference | 75,000 | $1,125,000 | thousands by filing date | |
| Blue Hill CLO D 4.52178 15-JAN-2026 | 095560AN8 | BOND | 1,000,000 | $975,000 | thousands by filing date | principal |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 40,000 | $964,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096862 | PFD | 35,000 | $884,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 50,000 | $883,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 6,331 | $807,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 8,700 | $726,000 | thousands by filing date | |
| CALL MORGAN STANLEY $17 EXP 01 | 123456789 | CALL | 2,877 | $726,000 | thousands by filing date | put |
| ALTEVA | 02153V102 | COMM STK | 100,000 | $718,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 16,000 | $680,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 9,463 | $667,000 | thousands by filing date | |
| Dash II A1L 1.81 15-SEP-2035 | 25513TAA1 | BOND | 668,853 | $664,000 | thousands by filing date | principal |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 25,000 | $640,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 128,665 | $637,000 | thousands by filing date | |
| AMTRUST FINL SE 7.25PFD DUE 06/15/55SUBJ TO XTRO REDEMPTION | 032359861 | Equity | 25,000 | $620,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 7,075 | $619,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 9,718 | $608,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 3,667 | $602,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 25,568 | $600,000 | thousands by filing date | |
| Arlington Asset Investment Corp 6 3/4 Notes 2015-15.3.25 Sr | 041356502 | EQUITY | 24,000 | $600,000 | thousands by filing date | |
| Legacy Reserves LP Cum Red Perp Pfd Units Series A LGCYP-USA | 524707403 | Equity Preference | 29,500 | $595,000 | thousands by filing date | |
| CNC CNC | 2807061 | Equity | 7,110 | $572,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 90,000 | $569,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 3,672 | $564,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 5,250 | $551,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 25,020 | $540,000 | thousands by filing date | |
| SUMITOMO MITSUI FIN GRP INC | 86562M209 | SPONSORED ADR | 60,500 | $538,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 2,950 | $537,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 6,500 | $531,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 3,312 | $525,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 11,909 | $519,000 | thousands by filing date | |
| ENDURANCE SPECIALTY HLDGS LT | G30397106 | SHS | 7,690 | $505,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 9,330 | $504,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 4,000 | $504,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 16,000 | $503,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 11,664 | $497,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 3,514 | $487,000 | thousands by filing date | |
| SHACK 2014-5A C1 2.9296% 05/07/26 81881VAJ4 | 81881VAJ4 | Corporate Bond | 500,000 | $485,000 | thousands by filing date | principal |
| Bladex, Inc. Class E | P16994132 | COM | 14,914 | $480,000 | thousands by filing date | |
| Carlyle High Yield Partners X A2A 1.37344 19-APR-2022 | 14309DAB6 | BOND | 485,792 | $479,000 | thousands by filing date | principal |
| Mallinckrodt Plc | G5785G107 | SHS | 4,058 | $478,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 4,549 | $474,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 13,697 | $474,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 10,000 | $464,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 5,443 | $453,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 22,028 | $448,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 3,490 | $438,000 | thousands by filing date | |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 6,551 | $436,000 | thousands by filing date | |
| Ellington Financial EFC | B503CB8 | Equity | 23,163 | $429,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CSG SYSTEMS | 126349109 | COM | 13,510 | $428,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 57,865 | $428,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 18,541 | $421,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 29,450 | $419,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 64,000 | $412,000 | thousands by filing date | |
| MKS INC. COM | 55306N104 | Stock | 10,830 | $411,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 19,706 | $408,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 10,170 | $408,000 | thousands by filing date | |
| QUAD / GRAPHICS INC | 747301109 | COM CL A | 21,875 | $405,000 | thousands by filing date | |
| Crow Point Defined Risk Global Equity Income Fund CL I | 66538A562 | EQUITY | 41,290 | $400,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 8,780 | $387,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 12,872 | $386,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 2,900 | $385,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 16,755 | $380,000 | thousands by filing date | |
| MATSON INC COM | 57686G105 | Stock | 9,000 | $378,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 9,170 | $378,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 11,380 | $377,000 | thousands by filing date | |
| CATO CORP NEW | 149205106 | CL A | 9,693 | $376,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,788 | $369,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 5,400 | $362,000 | thousands by filing date | |
| AG MTG INVT TR INC | 001228105 | COM | 20,000 | $346,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 19,265 | $345,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 11,535 | $339,000 | thousands by filing date | |
| RESOURCE CAPITAL CORP | 76120W609 | PFD | 15,000 | $335,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 9,716 | $334,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 11,923 | $328,000 | thousands by filing date | |
| DOMTAR CORP | 257559203 | COM NEW | 7,908 | $327,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 5,900 | $311,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 13,078 | $289,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 24,313 | $271,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 3,596 | $268,000 | thousands by filing date | |
| COPA HOLDINGS SA | P31076105 | CL A | 3,200 | $264,000 | thousands by filing date | |
| BOOZ ALLEN & HAMILTON TERM LOAN 7/31/2019 BBG004Y8C912 | BBG004Y8C | BankDebt | 250,000 | $251,000 | thousands by filing date | principal |
| DEL MONTE FOODS CONSUMER PRODUCTS TERM LOAN 2/18/21 | 24521TAB2 | BOND | 250,000 | $250,000 | thousands by filing date | principal |
| CROSBY US ACQUISITION CORP TERM LOAN 11/22/20 | 22739PAC0 | BOND | 250,000 | $250,000 | thousands by filing date | principal |
| DELL INTERNATIONAL TERM LOAN 4/29/2020 BBG0043R5K08 | BBG0043R5 | BankDebt | 250,000 | $250,000 | thousands by filing date | principal |
| ENDO LUXEMBOURG FINANCE TERM LOAN 12/12/2020 BBG005K2ZCY9 | BBG005K2Z | BankDebt | 250,000 | $250,000 | thousands by filing date | principal |
| CHS/COMMUNITY HEALTH SYS IN 1/25/17 BBG005VLVZ32 | BBG005VLV | BankDebt | 250,000 | $250,000 | thousands by filing date | principal |
| GRIFIOL WORLDWIDE OPERATIONS TERM LOAN 4/1/21 BBG00635YML2 | BBG00635Y | BankDebt | 250,000 | $250,000 | thousands by filing date | principal |
| GARDNER DENVER TERM LOAN 7/30/2020 BBG00475SMF7 | BBG00475S | BankDebt | 248,747 | $249,000 | thousands by filing date | principal |
| GENPACT INTERNATIONAL TERM LOAN 08/30/19 BBG004MP5Q26 | BBG004MP5 | BankDebt | 249,372 | $249,000 | thousands by filing date | principal |
| Valeant Pharmaceuticals Term Loan 2/13/19 BBG0058046R2 | BBG005804 | BankDebt | 217,714 | $218,000 | thousands by filing date | principal |
| TELEFONICA BRASIL SA FSPONSORED ADR 1 ADR REPS 2 ORD SHS | 87936R106 | COM | 15,540 | $216,000 | thousands by filing date | |
| PACWEST BANCORP DEL | 695263103 | COM | 200,000 | $200,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,005 | $197,000 | thousands by filing date | |
| #N/A | 44103406 | EQUITY | 7,555 | $194,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NEWCASTLE INVT CORP - PFD B | 65105M207 | EQPFD | 7,085 | $185,000 | thousands by filing date | |
| Aspen Insurance 7.25% Call07/2 | g05384147 | PFD | 6,665 | $177,000 | thousands by filing date | |
| AG Mortgage Inv Tr 8 Pfd Ser B | 001228303 | PRD | 7,210 | $176,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 21,000 | $170,000 | thousands by filing date | |
| MAIDEN HOLDINGS LTD | G5753U112 | SHS | 9,830 | $155,000 | thousands by filing date | |
| SAFEWAY RTS CASA LEY CVR | 786CVR209 | COM | 750,000 | $150,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 7,880 | $142,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 5,690 | $141,000 | thousands by filing date | |
| GREENHUNTER ENERGY INC-REDH | 39530A104 | COM | 201,376 | $139,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 5,370 | $138,000 | thousands by filing date | |
| SCORPIO BULKERS | Y7546A114 | COM | 106,680 | $138,000 | thousands by filing date | |
| MORGAN STANLEY 1 656 PFD | 61762V507 | PREFERRED | 5,100 | $132,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 1,580 | $131,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 695 | $129,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,560 | $128,000 | thousands by filing date | |
| ANNALY CAP MGMT INC PFDSER D % | 035710805 | PFD | 5,230 | $125,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 6,832 | $119,000 | thousands by filing date | |
| SCOTTS MIRACLE-GRO CO | 810186106 | CL A | 1,854 | $110,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,125 | $109,000 | thousands by filing date | |
| CONSOLIDATED COMMUNICATIONS | 209034107 | COM | 4,900 | $103,000 | thousands by filing date | |
| WINTRUST FINANCIAL CORP-CALLABLE | 97650W405 | Pref | 100,000 | $100,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 13,410 | $95,000 | thousands by filing date | |
| GSAMP Trust 2005-SEA2 A1 1.6775 25-JAN-2045 | 362341TM1 | BOND | 93,806 | $90,000 | thousands by filing date | principal |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 2,820 | $81,000 | thousands by filing date | |
| DTE ENERGY CO $1.313 PFD | 233331701 | PREFERRED | 3,265 | $81,000 | thousands by filing date | |
| GREENHUNTER WATER WARRANTS | ACI06TGH1 | EQUITY | 96,112 | $79,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 2,515 | $78,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 9,500 | $77,000 | thousands by filing date | |
| CINCINNATI BELL INC NEW | 171871106 | COM | 19,500 | $74,000 | thousands by filing date | |
| NTELOS HLDGS CORP COM | 67020Q107 | COM | 15,000 | $69,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 4,518 | $68,000 | thousands by filing date | |
| SANDRIDGE MISSISSIPPIAN TRUST I | 80007T101 | COMMON STOCK | 15,752 | $68,000 | thousands by filing date | |
| RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 | 76110WRQ1 | BOND | 66,823 | $68,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP | 958102105 | COM | 850 | $67,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 5,000 | $67,000 | thousands by filing date | |
| VNR 7.875 12/31/49 | 92205F205 | STOCK | 2,520 | $63,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 5,000 | $59,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 3,000 | $58,000 | thousands by filing date | |
| MAN TECH INTERNATIONAL CORP | 564563104 | CL A | 2,000 | $58,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 15,000 | $57,000 | thousands by filing date | |
| Safeway PDC, LLC Contingent Va | 786CVR308 | COM | 750,000 | $53,000 | thousands by filing date | |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 5,000 | $51,000 | thousands by filing date | |
| SAFE BULKERS, IN PFDPFD | Y7388L137 | PFD | 50,000 | $50,000 | thousands by filing date | |
| DTE Energy 6.5% Jr Sub Call 12 | 233331602 | PFD | 1,900 | $49,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 1,000 | $44,000 | thousands by filing date | |
| FREENET AG | D3689Q134 | COMMON STOCK | 1,320 | $44,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 1,685 | $39,000 | thousands by filing date | |
| Micro Focus Intl Ord | g6117l178 | COM | 1,945 | $39,000 | thousands by filing date | |
| KT CORP SPONSORED ADR | 48268K101 | ADR | 3,000 | $38,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 540 | $38,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 1,500 | $37,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 860 | $36,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 1,010 | $35,000 | thousands by filing date | |
| Sonic Healthcare Ltd | q8563c107 | COM | 2,045 | $34,000 | thousands by filing date | |
| Eutelsat Communications SA Unsponsored ADR EUTLY | 29888Q108 | Equity ADR | 3,960 | $34,000 | thousands by filing date | |
| ADTRAN INC | 00738A106 | COMMON STOCK | 2,000 | $33,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 330 | $32,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 430 | $32,000 | thousands by filing date | |
| Takeda Pharma sedol B01DRX9 US | j8129e108 | COM | 660 | $32,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS PFD | y8565j127 | PFD | 1,270 | $32,000 | thousands by filing date | |
| MAIDEN HOLDINGS | 56029Q408 | PFD | 1,155 | $31,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 2,770 | $31,000 | thousands by filing date | |
| Ind & Comm BK of China | Y3990B112 | COM | 37,915 | $30,000 | thousands by filing date | |
| KING DIGITAL ENTMT PLC | G5258J109 | ORD SHS | 2,000 | $29,000 | thousands by filing date | |
| MERCK &COINC | 589331107 | COM | 490 | $28,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 825 | $27,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 165 | $27,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 3,960 | $27,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 460 | $26,000 | thousands by filing date | |
| DFCS 1998-I A2 (Deutsche Financial Capital Securitization LL 251547AL9 | 251547AL9 | Corporate Bond | 2,000,000 | $25,000 | thousands by filing date | principal |
| AMKOR TECHNOLOGY INC COM | 031652100 | Stock | 4,000 | $24,000 | thousands by filing date | |
| Terna - Rete Elettrica Nazionale | T9471R100 | COM | 5,313 | $24,000 | thousands by filing date | |
| NORTHSTAR RLTY FINCORP | 66704R308 | EQUITIES | 970 | $24,000 | thousands by filing date | |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 2,450 | $23,000 | thousands by filing date | |
| Annaly Cap Mgmt Inc PFD STK C | 035710706 | PRD | 890 | $21,000 | thousands by filing date | |
| ITOCHU CORP | J2501P104 | FOREIGN | 1,375 | $19,000 | thousands by filing date | |
| CALL MORGAN STANLEY $17 EXP 01 | 123456789 | CALL | 100 | $19,000 | thousands by filing date | call |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 390 | $18,000 | thousands by filing date | |
| Iberdrola SA | E6165F166 | ADR | 2,518 | $17,000 | thousands by filing date | |
| National Australia Bank Ltd | Q65336119 | Com | 660 | $17,000 | thousands by filing date | |
| HASC 2005-NC1 2A3 MTGE 40430HAE8 | 40430HAE8 | Corporate Bond | 1,700,000 | $17,000 | thousands by filing date | principal |
| Rallye SA RLYNF | F43743107 | Equity | 560 | $17,000 | thousands by filing date | |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 300 | $16,000 | thousands by filing date | |
| XL GROUP PLC | G98290102 | SHS | 429 | $16,000 | thousands by filing date | |
| Sun Hung Kai & Co Ltd ADR SHGKF | Y82415103 | Equity | 21,000 | $16,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G308 | Equities | 450 | $12,000 | thousands by filing date | |
| GE CAPITAL MTG SERVICES INC. | 36157RD85 | BOND | 11,592 | $12,000 | thousands by filing date | principal |
| Halcyon Loan Advisors Funding 2014-3 C1 4.04122 22-OCT-2025 | 40538FAJ2 | BOND | 750,000 | $12,000 | thousands by filing date | principal |
| NEW JERSEY RES CORP | 646025106 | COM | 400 | $11,000 | thousands by filing date | |
| GDF Suez | F42768105 | COM | 600 | $11,000 | thousands by filing date | |
| KUMBA IRON ORE LTD-ADR | 50125N104 | COM | 2,760 | $11,000 | thousands by filing date | |
| Electricity Generating Public Co. Ltd. NVDR EYUUF | Y22834124 | Equity | 2,200 | $11,000 | thousands by filing date | |
| Rallye SA Unsponsored ADR RALEY | 751202102 | Equity | 526 | $11,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 500 | $10,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 400 | $10,000 | thousands by filing date | |
| RASC Series 2006-EMX2 Trust A2 0.97111 25-JUN-2035 | 75406AAB5 | BOND | 1,000,000 | $10,000 | thousands by filing date | principal |
| SEADRILL ORD | G7945E105 | COM | 820 | $8,000 | thousands by filing date | |
| SATURN CLO PINEBRIDGE INV | 804075AA7 | BOND | 8,192 | $8,000 | thousands by filing date | principal |
| Southern Cross Media Group Limited SOUTF | Q8571C107 | Equity | 10,110 | $8,000 | thousands by filing date | |
| PTT Global Chemical Plc NVDR PGCPF | Y7150W121 | Equity | 3,200 | $6,000 | thousands by filing date | |
| BSABS 2005-SD2 2A1 Mtge 073877BQ4 | 073877BQ4 | Corporate Bond | 540,000 | $5,000 | thousands by filing date | principal |
| GSAMP 2006-HE8 A2B 3622M8AC0 | 3622M8AC0 | Corporate Bond | 500,000 | $5,000 | thousands by filing date | principal |
| RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 | 76112BHY9 | BOND | 350,000 | $4,000 | thousands by filing date | principal |
| SVHE 2005-3 M2 MTGE 83611MFN3 | 83611MFN3 | Corporate Bond | 400,000 | $4,000 | thousands by filing date | principal |
| HOLOGIC TERM LOAN TRANCHE B 8/1/19 BBG0607NYM6 | BBG0607NY | BankDebt | 4,067 | $4,000 | thousands by filing date | principal |
| DLH HLDGS CORP | 23335Q100 | COM | 1,000 | $3,000 | thousands by filing date | |
| BANK OF CHINA-UNSPN ADR | 06426M104 | COM | 2,785 | $3,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 100 | $3,000 | thousands by filing date | |
| GSMS 2006-GC6AAB 36228CWW9 | 36228CWW9 | Corporate Bond | 200,000 | $3,000 | thousands by filing date | principal |
| SASC 2006- GEL1 A2 MTGE 863576EF7 | 863576EF7 | Corporate Bond | 300,000 | $3,000 | thousands by filing date | principal |
| PTT Exploration & Production Plc NVDR PEXUF | Y7145P140 | Equity | 2,500 | $3,000 | thousands by filing date | |
| MAGNUM HUNTER RESOURCES WARRANTS MHRWW-OTC | 55973B896 | Warrant | 140,000 | $2,000 | thousands by filing date | |
| ENGIE SA ADR | 29286D105 | ADR | 650 | $1,000 | thousands by filing date | |
| HOME LOAN SERVICING SOLUTIONS LTD | B731MH9 | COMMON STOCK | 736 | $1,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 | 03072SLU7 | BOND | 75,000 | $1,000 | thousands by filing date | principal |
| Fremont Home Loan Trust 2005-B M4 2.03362 25-APR-2035 | 35729PJY7 | BOND | 100,000 | $1,000 | thousands by filing date | principal |
| LBUBS 2006-C6 AAB 50179MAD3 | 50179MAD3 | Corporate Bond | 50,000 | $1,000 | thousands by filing date | principal |
| LB-UBS Commercial Mortgage Trust Series 2004-C1 4.568 15-JAN-2031 | 52108HYK4 | BOND | 19,000 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| CINEMARK USA TERM LOAN 12/18/19 TRANCHE B | 172442AM7 | BOND | 1,263 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| NAA 2005-AR2 2A2 65535VKDP | 65535VKDP | Corporate Bond | 1,483 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000891092-15-008348 | this filing | 2015-09-24 | acceptance time not in the bulk data set |