13F-HR filed by Crow Point Partners, LLC
Crow Point Partners, LLC filed this 13F-HR for the quarter ended 2016-09-30, filed 2016-11-16, with 326 holding rows worth $638,741,000.
- Accession
- 0000891092-16-018914
- Filer
- CIK 1384305
- Filed
- 2016-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2016
A holdings report, 326 entries on the cover page, a total value of $638,741,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $638,741,000 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 |
|---|---|---|---|---|---|---|
| NextEra Energy,Inc. | 65339F101 | COM | 235,000 | $28,745,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 515,000 | $27,903,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 385,000 | $27,816,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 940,000 | $25,577,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 775,000 | $25,358,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 600,000 | $25,206,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 1,250,610 | $24,074,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 219,900 | $23,571,000 | thousands by filing date | |
| SYNTEL INC | 87162H103 | COM | 557,482 | $23,364,000 | thousands by filing date | |
| ALLIANT ENERGY CORP | 18802108 | COM | 588,000 | $22,526,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Visa Inc | 92826C839 | COM | 270,000 | $22,329,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 574,346 | $20,119,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 260,300 | $19,332,000 | thousands by filing date | |
| AMERICAN WATER WORKS CO INC | 30420103 | COM | 250,000 | $18,710,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SPARK ENERGY INC | 846511103 | CL A COM | 611,869 | $17,824,000 | thousands by filing date | |
| AMERICAN ELECTRIC POWER | 25537101 | COM | 248,765 | $15,973,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Comcast Corp | 20030N101 | COM | 225,462 | $14,957,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 473,876 | $12,998,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 248,268 | $12,905,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 255,565 | $10,701,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 325,400 | $9,616,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 910,000 | $8,882,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 317,049 | $8,652,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 80,000 | $8,142,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 100,000 | $7,828,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 345,000 | $7,431,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 302,930 | $7,037,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 158,639 | $6,442,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 450,000 | $6,080,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 102,411 | $5,892,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C114 | PREFERR | 223,707 | $5,664,000 | thousands by filing date | |
| Seaspan Corp | 81254U205 | PFD | 213,600 | $5,425,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 66,500 | $5,386,000 | thousands by filing date | |
| DTE ENERGY CO PFD J | 233331800 | PFDs, REITs, | 206,603 | $5,326,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 397,833 | $5,235,000 | thousands by filing date | |
| Crow Point Alternative Income Fund | 66538B610 | EQUITY | 597,649 | $5,050,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 1,056,067 | $4,393,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 58,600 | $4,256,000 | thousands by filing date | |
| SOUTHERN CO PFD JR SUB NOTES | 842587305 | Preferred Securities (MIDS, QIDS, TOPRS...) | 164,000 | $4,148,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 160,000 | $4,080,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 50,000 | $3,618,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746u844 | CV PFD | 131,800 | $3,356,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 77,321 | $3,305,000 | thousands by filing date | |
| Diana Shipping Inc 8 1/2 Notes 2015-15.5.20 Sr | Y2066G120 | EQUITY | 150,000 | $3,240,000 | thousands by filing date | |
| INDIANAPOLIS PWR + LT CO PFD PCT | 455434878 | EQUITY | 28,811 | $2,946,000 | thousands by filing date | |
| BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 | 106777AB1 | BOND | 5,680,000 | $2,925,000 | thousands by filing date | |
| US CELLULAR COR PFD | 911684603 | PFDs, REITs, | 95,000 | $2,569,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 30,514 | $2,442,000 | thousands by filing date | |
| Arlington Asset Investment Corp 6 5/8 % Notes 2013-1.5.23 Sr | 41356304 | EQUITY | 100,040 | $2,358,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SCORPIO BULKERS | Y7546A114 | COM | 105,000 | $2,226,000 | thousands by filing date | |
| Ashford Hospitality Trust PFD 7 3/8% | 44103604 | EQUITY | 80,000 | $2,075,000 | thousands by filing date | The CUSIP as filed is malformed. |
| QWest Corp., 6.500per, due 09/01/2056 | 74913G881 | Preferred | 70,000 | $1,810,000 | thousands by filing date | |
| Seaspan 8.25 Perp CUM QDI Cal | y75638133 | PFD | 68,255 | $1,706,000 | thousands by filing date | |
| ASPEN INSU | G05384162 | Preferred Stock | 53,000 | $1,383,000 | thousands by filing date | |
| Crow Point Global Dividend Plus Fund | 22784H108 | EQUITY | 127,450 | $1,248,000 | thousands by filing date | |
| CTY OFC REIT 6 625 CUM RDM SRS A PRF | 178587200 | COM | 50,000 | $1,245,000 | thousands by filing date | |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 54,247 | $1,202,000 | thousands by filing date | |
| NEXTERA EN | 65339K100 | Preferred Stock | 43,826 | $1,126,000 | thousands by filing date | |
| Alabama Power Company Non Cumulative Pfd Shs | 10392488 | EQUITY | 41,284 | $1,084,000 | thousands by filing date | The CUSIP as filed is malformed. |
| QWEST CORP - CALLABLE | 74913G709 | Pref | 40,000 | $1,047,000 | thousands by filing date | |
| Citigroup Commercial Mortgage Trust 2008-C7 AMA 6.19141 10-DEC-2049 | 17313KAJ0 | BOND | 1,000,000 | $1,031,000 | thousands by filing date | principal |
| Energy & Exploration Partners Inc. 8.0 01-JUL-2019 | 29270RAA0 | EQUITY | 10,000,000 | $1,000,000 | thousands by filing date | |
| Blue Hill CLO D 4.52178 15-JAN-2026 | 095560AN8 | BOND | 1,000,000 | $970,000 | thousands by filing date | principal |
| Scorpio Tankers Inc. 6.75 15-MAY-2020 | 80918T109 | EQUITY | 40,000 | $964,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 68,750 | $905,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 117,500 | $895,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 26,348 | $877,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 2,427 | $874,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 62,500 | $808,000 | thousands by filing date | |
| SAFE BULKERS, IN PFDPFD | Y7388L137 | PFD | 50,000 | $806,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE | 51508J207 | Equities | 25,000 | $749,000 | thousands by filing date | |
| ENTERGY LOUISIANA LLC - CALLABLE | 29364W108 | Pref | 30,000 | $748,000 | thousands by filing date | |
| Halcyon Loan Advisors Funding 2014-3 C1 4.04122 22-OCT-2025 | 40538FAJ2 | BOND | 750,000 | $728,000 | thousands by filing date | principal |
| JP Morgan Chase Commercial Mortgage Securities Trust 2012-CIBX A3 3.1388 15-JUN-2045 | 46637WAC7 | BOND | 703,950 | $721,000 | thousands by filing date | principal |
| Ashford Hospitality Prime Inc. | 44102101 | EQUITY | 49,117 | $693,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Integrys Holding, 6PFD Due 08/01/73 | 45822P204 | PFD | 25,050 | $685,000 | thousands by filing date | |
| Gastar Exploration Inc Cum Pfd Shs Series B | 36729P306 | EQUITY | 56,900 | $649,000 | thousands by filing date | |
| EAGLE PT CR CO INC REDEMPTION $25/SH 5/24/18 | 269809208 | REDEMPTION $25/SH 5/24/18 | 25,000 | $638,000 | thousands by filing date | |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 25,000 | $631,000 | thousands by filing date | |
| CONNECTICUT LIGHT | 207597774 | Common Stock | 12,000 | $626,000 | thousands by filing date | |
| THE CONNECTICUT LIGHT & POWER CO | 207597782 | Preferred Share | 12,000 | $623,000 | thousands by filing date | |
| AHP SERIES B 5.5% PFD | 44102507 | EQUITY | 25,580 | $603,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ALLETE INC | 18522300 | COM | 10,000 | $596,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 18,000 | $528,000 | thousands by filing date | |
| Bear Stearns Commercial Mortgage Securities Trust 2005-TOP20 D 5.114834 12-OCT-2042 | 07387BCR2 | BOND | 500,000 | $498,000 | thousands by filing date | principal |
| MEDLEY LLC - CALLABLE | 58503Y105 | Pref | 20,000 | $491,000 | thousands by filing date | |
| Credit Suisse Commercial Mortgage Trust Series 2007-C2 A3 5.542% 15-JAN-2049 | 22545YAD3 | BOND | 443,295 | $446,000 | thousands by filing date | principal |
| Crow Point Defined Risk Global Equity Income Fund CL I | 66538A562 | EQUITY | 51,707 | $427,000 | thousands by filing date | |
| LUKOIL PJSC | 69343P105 | COM | 8,705 | $421,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 5,177 | $397,000 | thousands by filing date | |
| JP Morgan Chase Commercial Mortgage Securities Trust 2006-LDP9 A3 5.336% 15-MAY-2047 | 46629PAC2 | BOND | 371,773 | $373,000 | thousands by filing date | principal |
| Structured Asset Securities Corporation Mortgage Loan Trust 2006-WF1 M2 1.6675 25-FEB-2036 | 863576FJ8 | BOND | 400,000 | $365,000 | thousands by filing date | principal |
| EXXON MOBIL CORP | 30231G102 | COM | 4,154 | $359,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 6,061 | $348,000 | thousands by filing date | |
| BEST BUY CO INC | 86516101 | OPTION | 9,242 | $346,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 2,786 | $344,000 | thousands by filing date | |
| Bank of America Corp Deposit Shs Repr 1/1.000th Non-Cum Pfd Shs Series -EE- | 60505260 | EQUITY | 12,596 | $332,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Johnson & Johnson | 478160104 | COM | 2,814 | $330,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 5,606 | $322,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 2,798 | $322,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 59,000 | $316,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 5,053 | $313,000 | thousands by filing date | |
| Bear Stearns Commercial Mortgage Securities Trust 2007-PWR18 AMA 6.087 11-JUN-2021 | 07401DAG6 | BOND | 300,000 | $311,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 11,080 | $306,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 6,767 | $294,000 | thousands by filing date | |
| BB&T Corporation 5.625% | 54937875 | EQUITY | 11,021 | $292,000 | thousands by filing date | The CUSIP as filed is malformed. |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 6,149 | $291,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 4,289 | $290,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 16,043 | $288,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 5,877 | $285,000 | thousands by filing date | |
| Credit Suisse Commercial Mortgage Trust Series 2007-C1 A3 5.383% 15-FEB-2040 | 22545XAD5 | BOND | 282,951 | $284,000 | thousands by filing date | principal |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 7,704 | $282,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 16,656 | $278,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 8,020 | $277,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 12,172 | $275,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 2,707 | $274,000 | thousands by filing date | |
| Carlyle High Yield Partners X A2A 1.37344 19-APR-2022 | 14309DAB6 | BOND | 283,855 | $274,000 | thousands by filing date | principal |
| MFA FINL INC | 55272X102 | COM | 36,334 | $271,000 | thousands by filing date | |
| Wachovia Bank Commercial Mortgage Trust Series 2006-C29 A4 5.308% 15-NOV-2048 | 92978PAE9 | BOND | 269,377 | $270,000 | thousands by filing date | principal |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 10,589 | $267,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 13,101 | $267,000 | thousands by filing date | |
| NATIONAL GENERAL HOLDINGS CORP | 636220857 | COM | 10,000 | $260,000 | thousands by filing date | |
| American Eagle Outfitters Inc. | 2553E106 | EQUITY | 14,565 | $258,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LANDMARK INFRA | 51508J306 | PFDs, REITs, | 10,000 | $257,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 3,166 | $255,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 17,854 | $255,000 | thousands by filing date | |
| WESTERN REFNG INC | 959319104 | COM | 10,059 | $255,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 8,010 | $251,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 22,916 | $251,000 | thousands by filing date | |
| CROSBY US ACQUISITION CORP TERM LOAN 11/22/20 | 22739PAC0 | BOND | 250,000 | $250,000 | thousands by filing date | principal |
| Booz Allen 8/13 TLB 31-Jul-2019 | 09950EAJ9 | BOND | 250,000 | $250,000 | thousands by filing date | principal |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,100 | $248,000 | thousands by filing date | |
| CD 2007-CD4 Commercial Mortgage Trust A4 5.322% 11-DEC-2049 | 12513YAF7 | BOND | 247,049 | $248,000 | thousands by filing date | principal |
| Grifols 2/14 (USD) TLB 27-Feb-2021 | G4123EAC0 | BOND | 250,000 | $247,000 | thousands by filing date | principal |
| CUMMINS INC COM | 231021106 | Stock | 1,957 | $243,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 3,213 | $242,000 | thousands by filing date | |
| PROSHARES VIX SHORT-TERM FUTURES ETF | 74347W262 | ETF | 8,201 | $242,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 8,065 | $238,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 6,408 | $238,000 | thousands by filing date | |
| Hilton Hotels 10/13 Cov-Lite TL 26-Oct-2020 | 43289DAC7 | BOND | 237,500 | $238,000 | thousands by filing date | principal |
| Morgan Stanley Capital I Trust 2006-IQ11 AJ 6.247027 15-MAY-2016 | 617453AV7 | BOND | 235,100 | $235,000 | thousands by filing date | principal |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 7,675 | $233,000 | thousands by filing date | |
| DEL MONTE FOODS CONSUMER PRODUCTS TERM LOAN 2/18/21 | 24521TAB2 | BOND | 250,000 | $233,000 | thousands by filing date | principal |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 8,439 | $232,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 14,613 | $228,000 | thousands by filing date | |
| TORCHMARK CORP 6 125 1 531 PFD | 891027401 | PREFERRED | 8,338 | $228,000 | thousands by filing date | |
| SASC 2006-AM1 A4 Mtge | 86359XAD5 | BOND | 240,672 | $228,000 | thousands by filing date | principal |
| Gilead Sciences,Inc. | 375558103 | COM | 2,884 | $225,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,421 | $225,000 | thousands by filing date | |
| AMGEN INC. | 31162100 | COM | 1,342 | $222,000 | thousands by filing date | The CUSIP as filed is malformed. |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 8,400 | $211,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP | 587200106 | COM | 8,520 | $210,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 2,720 | $204,000 | thousands by filing date | |
| Gardner Denver 7/13 (USD) TL 30-Jul-2020 | 365556AK5 | BOND | 248,747 | $204,000 | thousands by filing date | principal |
| Bladex, Inc. Class E | P16994132 | COM | 7,135 | $199,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 4,299 | $199,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,275 | $198,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 18,587 | $197,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 16,255 | $195,000 | thousands by filing date | |
| UNUM GROUP COM | 91529Y106 | Stock | 5,564 | $193,000 | thousands by filing date | |
| Big Lots Inc | 89302103 | Equities | 4,034 | $193,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CA INC COM | 12673P105 | COM | 5,854 | $192,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 4,671 | $189,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 3,715 | $182,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 6,176 | $180,000 | thousands by filing date | |
| TELEKOMUNIKASI IND SPONSORED ADR | 715684106 | ADR | 2,669 | $175,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 11,150 | $174,000 | thousands by filing date | |
| ENDURANCE SPECIALTY HLDGS LT | G30397106 | SHS | 2,649 | $174,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 3,646 | $169,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 14,834 | $169,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 3,248 | $168,000 | thousands by filing date | |
| NEWCASTLE INVT CORP - PFD B | 65105M207 | EQPFD | 6,375 | $166,000 | thousands by filing date | |
| JPMORGAN CHASE & CO DEPOSITARY | 481246700 | PFD | 5,973 | $166,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 4,835 | $165,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 3,171 | $163,000 | thousands by filing date | |
| Aspen Insurance 7.25% Call07/2 | g05384147 | PFD | 6,080 | $157,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 730 | $156,000 | thousands by filing date | |
| NEW MEDIA INVT GROUP INC | 64704V106 | COM | 9,950 | $156,000 | thousands by filing date | |
| RYDER SYS INC COM | 783549108 | Stock | 2,406 | $155,000 | thousands by filing date | |
| WELLS FARGO CO NEW PFD SER X CL A | 94988U672 | Preferred | 6,000 | $154,000 | thousands by filing date | |
| Morgan Stanley Capital I Trust 2007-HQ12 AM 5.773654 12-JUN-2025 | 61755BAG9 | BOND | 150,000 | $151,000 | thousands by filing date | principal |
| Keycorp New Dep Shs PFD | 493267AK4 | Common Stock | 1,500 | $150,000 | thousands by filing date | |
| MORGAN STANLEY 1 656 PFD | 61762V507 | PREFERRED | 5,311 | $148,000 | thousands by filing date | |
| QWEST CORP | 74913G501 | PFD | 5,578 | $147,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 5,880 | $146,000 | thousands by filing date | |
| STEPAN CO | 858586100 | COM | 1,956 | $142,000 | thousands by filing date | |
| SANMINA CORP COM | 801056102 | Stock | 5,081 | $141,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 6,802 | $139,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 2,790 | $137,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 10,000 | $134,000 | thousands by filing date | |
| LG DISPLAY CO LTD SPONS ADR REP | 50186V102 | ADR | 10,196 | $131,000 | thousands by filing date | |
| APPLE INC | 37833100 | COM | 1,168 | $131,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Walmart Inc. | 931142103 | COM | 1,793 | $127,000 | thousands by filing date | |
| CAPITAL ONE FINANCIAL CO PFD | 14040H865 | Preferred Stock | 5,000 | $127,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 7,995 | $126,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 1,491 | $124,000 | thousands by filing date | |
| ARCHER-DANIELS-MIDLAND | 39483102 | COM | 2,944 | $122,000 | thousands by filing date | The CUSIP as filed is malformed. |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 8,448 | $121,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 2,000 | $119,000 | thousands by filing date | |
| INC RESH HLDGS INC | 45329R109 | CL A | 2,634 | $116,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 5,722 | $113,000 | thousands by filing date | |
| Countrywide Home Loans Asset-Backed Certificates Series 2002-S4 A5 5.216 25-OCT-2017 | 126671UD6 | BOND | 111,614 | $111,000 | thousands by filing date | principal |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 3,705 | $110,000 | thousands by filing date | |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 1,260 | $109,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 1,644 | $106,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 2,720 | $106,000 | thousands by filing date | |
| LEGG MASON INCORPORATED JR SUB NT 56 | 524901600 | Preferred Securities (MIDS, QIDS, TOPRS...) | 4,000 | $100,000 | thousands by filing date | |
| Qwest Corp Nt 7 2056 | 74913G808 | Preferred Stock | 3,670 | $100,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 2,527 | $96,000 | thousands by filing date | |
| Fremont Home Loan Trust 2005-B M4 2.03362 25-APR-2035 | 35729PJY7 | BOND | 100,000 | $94,000 | thousands by filing date | principal |
| NUCOR CORP COM | 670346105 | Stock | 1,910 | $93,000 | thousands by filing date | |
| #N/A | 44103406 | EQUITY | 3,666 | $93,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 1,769 | $91,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 635 | $88,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 1,034 | $88,000 | thousands by filing date | |
| APOLLO GLOBAL MGMT LLC CL | 37612306 | EQUITY | 4,925 | $88,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Intel Corp | 458140100 | COM | 2,334 | $87,000 | thousands by filing date | |
| GSAMP Trust 2005-SEA2 A1 1.6775 25-JAN-2045 | 362341TM1 | BOND | 87,347 | $87,000 | thousands by filing date | principal |
| DUPONT FABROS PFD C | 26613Q403 | Preferred | 3,118 | $87,000 | thousands by filing date | |
| BOEING CO. | 97023105 | COM | 650 | $85,000 | thousands by filing date | The CUSIP as filed is malformed. |
| AG Mortgage Investment Trust Inc 8 % Cum Red Pfd Shs Series B | 1228303 | EQUITY | 3,372 | $84,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Pfizer Inc. | 717081103 | COM | 2,432 | $81,000 | thousands by filing date | |
| ENEL AMERICAS S.A. (ADR) | 29274F104 | SPONSORED ADR | 9,767 | $81,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 4,938 | $80,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 956 | $76,000 | thousands by filing date | |
| Banc of America Commercial Mortgage Inc. Series 2005-3 AM 4.727 10-JUL-2043 | 05947UR91 | BOND | 76,198 | $76,000 | thousands by filing date | principal |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 1,069 | $75,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 7,258 | $74,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 583 | $73,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 886 | $72,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 1,522 | $72,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 1,500 | $71,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 1,017 | $69,000 | thousands by filing date | |
| TravelCenters SnNotes 8. 10/20 | 894174408 | PFD | 2,745 | $69,000 | thousands by filing date | |
| Arlington Asset Investment Corp 6 3/4 % Notes 2015-15.3.25 Sr | 41356502 | EQUITY | 3,000 | $69,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Annaly Capital Management Inc 7.50% Cum Red Pfd Shs Series D | 35710805 | EQUITY | 2,746 | $69,000 | thousands by filing date | The CUSIP as filed is malformed. |
| LEGG MASON INC-CALLABLE | 524901501 | Pref | 2,400 | $64,000 | thousands by filing date | |
| ANNALY MORTGAGE MANAGEMENT | 35710409 | COM | 5,756 | $60,000 | thousands by filing date | The CUSIP as filed is malformed. |
| KNOLL INC | 498904200 | COM NEW | 2,573 | $59,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 1,507 | $54,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 1,451 | $54,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 2,275 | $54,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 3,336 | $53,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 6,323 | $53,000 | thousands by filing date | |
| Bank of America Corp Deposit Shs Repr 1/1000th Non-Cum Pfd Shs Series -CC- | 60505286 | EQUITY | 1,900 | $52,000 | thousands by filing date | The CUSIP as filed is malformed. |
| KLA CORP | 482480100 | COM | 738 | $51,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 5,881 | $51,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 1,324 | $50,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 699 | $50,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 1,838 | $50,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 1,317 | $47,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 810 | $47,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 1,163 | $46,000 | thousands by filing date | |
| RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 | 76110WRQ1 | BOND | 44,826 | $46,000 | thousands by filing date | principal |
| McDonalds Corporation | 580135101 | COM | 376 | $43,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 974 | $43,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 4,345 | $42,000 | thousands by filing date | |
| AVANGRID INC | 05351W103 | COM | 999 | $42,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 500 | $40,000 | thousands by filing date | |
| MAPS1 2013-1A C | 89253UAE0 | BOND | 40,000 | $40,000 | thousands by filing date | principal |
| SOUTHERN C | 842587206 | Preferred Stock | 1,426 | $39,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 173 | $38,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 466 | $36,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 1,444 | $33,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 4,712 | $33,000 | thousands by filing date | |
| PPL Corp. 5.9% | 69352P202 | PRD | 1,255 | $33,000 | thousands by filing date | |
| Equity One Mortgage Pass Through Trust 2003-4 M1 5.869 25-OCT-2034 | 294751DF6 | BOND | 33,918 | $33,000 | thousands by filing date | principal |
| Banc of America Commercial Mortgage Trust 2006-3 A4 5.889 10-JUL-2044 | 059500AD0 | BOND | 31,066 | $31,000 | thousands by filing date | principal |
| ENTERGY ARKANSAS | 29364D761 | PFD | 1,074 | $28,000 | thousands by filing date | |
| NASPERS LTD ADR N SHS | 631512100 | ADR | 1,611 | $28,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 626 | $27,000 | thousands by filing date | |
| Au Optronics Corp. Sponsored ADR | 2255107 | EQUITY | 7,333 | $27,000 | thousands by filing date | The CUSIP as filed is malformed. |
| WBCMT 2007 C32 A2 | 92978YAB6 | BOND | 26,127 | $26,000 | thousands by filing date | principal |
| Option One Mortgage Loan Trust 2005-1 A4 2.1275 25-FEB-2035 | 68389FGJ7 | BOND | 25,272 | $25,000 | thousands by filing date | principal |
| MAIDEN HOLDINGS | 56029Q408 | PFD | 875 | $24,000 | thousands by filing date | |
| Washington Mutual Mortgage Pass-Through Certificates WMALT Series 2006-7 A1A 6.086 25-SEP-2036 | 93935HAA5 | BOND | 39,851 | $23,000 | thousands by filing date | principal |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 2,112 | $19,000 | thousands by filing date | |
| Banc of America Funding 2006-2 Trust 2A18 5.75 25-MAR-2036 | 05949QAZ8 | BOND | 20,154 | $19,000 | thousands by filing date | principal |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 300 | $18,000 | thousands by filing date | |
| IMPERIAL BRANDS PLC SPON ADR | 45262P102 | ADUS | 350 | $18,000 | thousands by filing date | |
| RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 | 76112BHY9 | BOND | 17,415 | $18,000 | thousands by filing date | principal |
| SPARK NEW ZEALAND ADR | 84652A102 | COM | 1,226 | $16,000 | thousands by filing date | |
| Micro Focus Intl Ord | g6117l178 | COM | 588 | $16,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 169 | $15,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 223 | $15,000 | thousands by filing date | |
| SIEMENS A G - ADR | 826197501 | COM | 128 | $15,000 | thousands by filing date | |
| Iberdrola SA | E6165F166 | ADR | 2,225 | $15,000 | thousands by filing date | |
| Takeda Pharma sedol B01DRX9 US | j8129e108 | COM | 321 | $15,000 | thousands by filing date | |
| POWSZECHNY ZAKLAD UBEZPIEC ADR | 739379105 | COM | 2,065 | $15,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 415 | $14,000 | thousands by filing date | |
| NISSAN MOTOR CO LTD SPONSORED ADR | 654744408 | USD | 737 | $14,000 | thousands by filing date | |
| FREENET AG | D3689Q134 | COMMON STOCK | 481 | $14,000 | thousands by filing date | |
| RASC Series 2006-EMX2 Trust A2 0.97111 25-JUN-2035 | 75406AAB5 | BOND | 14,500 | $14,000 | thousands by filing date | principal |
| NEW JERSEY RES CORP | 646025106 | COM | 400 | $13,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 500 | $13,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 341 | $13,000 | thousands by filing date | |
| SCHWEITZER-MAUDUIT INTL INC | 808541106 | COM | 310 | $12,000 | thousands by filing date | |
| ITOCHU CORP | J2501P104 | FOREIGN | 941 | $12,000 | thousands by filing date | |
| Bayerische Motoren Werke Aktiengesellschaft Sponsored ADR | 72743305 | EQUITY | 458 | $12,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 2,257 | $11,000 | thousands by filing date | |
| ROCHE HLDG LTD SPONS ADR (ISIN #US7711951043 SEDOL #B014J8) | 771195104 | ADR | 340 | $11,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 53774105 | COM | 321 | $11,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 261 | $10,000 | thousands by filing date | |
| TURKCELL ILETISIM SPON ADR NEW | 900111204 | ADR | 1,098 | $9,000 | thousands by filing date | |
| Washington Mutual Mortgage Pass-Through Certificates Series 2003-S12 2A 4.75 25-NOV-2018 | 92922FHP6 | BOND | 8,668 | $9,000 | thousands by filing date | principal |
| GreenHunter Resources Inc 10 Cum Pfd Shs Series C | 39530A203 | EQUITY | 61,786 | $9,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 162 | $8,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 512,000 | $8,000 | thousands by filing date | |
| Nomura Asset Acceptance Corporation Alternative Loan Trust Series 2005-AR2 2A2 3.673352 25-MAY-2035 | 65535VKD9 | BOND | 8,326 | $8,000 | thousands by filing date | principal |
| RASC Series 2004-KS2 Trust AI6 4.3 25-MAR-2034 | 76110WWG7 | BOND | 7,663 | $8,000 | thousands by filing date | principal |
| SATURN CLO PINEBRIDGE INV | 804075AA7 | BOND | 8,193 | $8,000 | thousands by filing date | principal |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 57 | $7,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 976 | $7,000 | thousands by filing date | |
| BAYV 2004-A A | 073249BT0 | BOND | 6,832 | $7,000 | thousands by filing date | principal |
| Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 | 03072SLU7 | BOND | 6,122 | $6,000 | thousands by filing date | principal |
| Dell 9/13 (USD) Cov-Lite TLB 29-Apr-2020 | 24702NAB6 | BOND | 6,092 | $6,000 | thousands by filing date | principal |
| GE CAPITAL MTG SERVICES INC. | 36157RD85 | BOND | 3,587 | $4,000 | thousands by filing date | principal |
| RMR GROUP INC | 74967R106 | CL A | 49 | $2,000 | thousands by filing date | |
| Genpact 8/12 TLB 30-Aug-2019 | 37244NAC1 | BOND | 2,177 | $2,000 | thousands by filing date | principal |
| LB-UBS Commercial Mortgage Trust Series 2004-C1 4.568 15-JAN-2031 | 52108HYK4 | BOND | 1,024 | $1,000 | thousands by filing date | principal |
| CINEMARK USA TERM LOAN 12/18/19 TRANCHE B | 172442AM7 | BOND | 1,263 | $1,000 | thousands by filing date | principal |
| Safeway PDC, LLC Contingent Va | 786CVR308 | COM | 750,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SAFEWAY RTS CASA LEY CVR | 786CVR209 | COM | 750,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Dash II A1L 1.81 15-SEP-2035 | 25513TAA1 | BOND | 431,867 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
| GREENHUNTER WATER WARRANTS | ACI06TGH1 | EQUITY | 96,112 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FFML 2004-FF7 A5 | 32027NKZ3 | BOND | 1 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000891092-16-018914 | this filing | 2016-11-16 | acceptance time not in the bulk data set |