13F-HR filed by Crow Point Partners, LLC
Crow Point Partners, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-15, with 285 holding rows worth $614,354,000.
- Accession
- 0000891092-17-001426
- Filer
- CIK 1384305
- Filed
- 2017-02-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 285 entries on the cover page, a total value of $614,354,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $614,354,000 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 |
|---|---|---|---|---|---|---|
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 515,000 | $28,443,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 235,000 | $28,073,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 385,000 | $27,716,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 775,000 | $26,582,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 1,250,000 | $25,688,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 940,000 | $25,662,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 600,000 | $24,972,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 588,000 | $22,279,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 219,900 | $22,131,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 270,000 | $21,065,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 260,300 | $19,936,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 605,671 | $18,352,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 250,000 | $18,090,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 571,479 | $18,030,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 225,100 | $15,543,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 246,417 | $15,514,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 127,694 | $14,730,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 244,080 | $13,029,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 250,557 | $10,994,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 325,400 | $10,963,000 | thousands by filing date | |
| SOUTHERN C | 842587206 | Preferred Stock | 400,000 | $10,440,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 83,096 | $8,580,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 312,119 | $8,536,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 100,000 | $8,055,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 301,638 | $7,432,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 152,972 | $6,506,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 400,000 | $5,964,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 102,411 | $5,824,000 | thousands by filing date | |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 66,500 | $5,684,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C114 | PREFERR | 223,707 | $5,655,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 350,833 | $5,624,000 | thousands by filing date | |
| Seaspan Corp | 81254U205 | PFD | 213,600 | $5,374,000 | thousands by filing date | |
| Saratoga Investment Corp 6.75 Notes 2016-30.12.23 | 80349A406 | EQUITY | 200,000 | $5,170,000 | thousands by filing date | |
| Crow Point Alternative Income Fund | 66538B610 | EQUITY | 597,649 | $4,907,000 | thousands by filing date | |
| DOMINION ENERGY INC | 25746u844 | CV PFD | 219,195 | $4,866,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 200,000 | $4,700,000 | thousands by filing date | |
| Georgia Pwr Co. 6.50 Class A | 373334119 | PFD | 44,043 | $4,510,000 | thousands by filing date | |
| BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 | 106777AB1 | BOND | 5,680,000 | $3,905,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 58,600 | $3,832,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 200,000 | $3,792,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 50,000 | $3,664,000 | thousands by filing date | |
| Gulf Power Co Non-Cum Pfd Shs Series -2007A- | 402479752 | EQUITY | 30,000 | $3,100,000 | thousands by filing date | |
| Diana Shipping Inc 8 1/2 Notes 2015-15.5.20 Sr | Y2066G120 | EQUITY | 150,000 | $3,093,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 75,000 | $3,082,000 | thousands by filing date | |
| MEDLEY LLC - CALLABLE | 58503Y105 | Pref | 120,000 | $2,888,000 | thousands by filing date | |
| Alabama Power Company 6 1/2 Non Cum Pfd Shs | 010392470 | EQUITY | 110,240 | $2,877,000 | thousands by filing date | |
| B Riley Financial 7.50.SnNts d | 05580m207 | PFD | 100,000 | $2,562,000 | thousands by filing date | |
| US CELLULAR COR PFD | 911684603 | PFDs, REITs, | 95,000 | $2,433,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 30,514 | $2,368,000 | thousands by filing date | |
| SCORPIO BULKERS | Y7546A114 | COM | 105,000 | $2,348,000 | thousands by filing date | |
| ARLINGTON ASSET | 041356304 | STOCK | 100,040 | $2,331,000 | thousands by filing date | |
| ALABAMA PWR CO NON CUM PFD | 010392488 | PFD | 70,916 | $1,803,000 | thousands by filing date | |
| ASHFORD HOSP PFD | 044103604 | PFDs, REITs, | 74,736 | $1,784,000 | thousands by filing date | |
| QWest Corp., 6.500per, due 09/01/2056 | 74913G881 | Preferred | 70,000 | $1,600,000 | thousands by filing date | |
| Seaspan 8.25 Perp CUM QDI Cal | y75638133 | PFD | 68,255 | $1,399,000 | thousands by filing date | |
| Bluerock Residential Growth REIT, Inc., Series D, 7.13 percent | 09627J656 | STOCK | 60,000 | $1,397,000 | thousands by filing date | |
| ASPEN INSU | G05384162 | Preferred Stock | 53,000 | $1,334,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 26,400 | $1,325,000 | thousands by filing date | |
| Capital One Finl Pfd Ser H | 14040H840 | PRD | 50,000 | $1,245,000 | thousands by filing date | |
| MFRI INC | 552721102 | COMMON STOCK | 141,500 | $1,146,000 | thousands by filing date | |
| CTY OFC REIT 6 625 CUM RDM SRS A PRF | 178587200 | COM | 50,000 | $1,140,000 | thousands by filing date | |
| Gastar Exploration Inc Cum Pfd Shs Series B | 36729P306 | EQUITY | 56,900 | $1,102,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 68,750 | $1,042,000 | 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 |
| Dte Energy Co 6.000 Due 12/15/76 Callable | 233331867 | Preferred Stock | 40,000 | $1,028,000 | thousands by filing date | |
| DTE ENERGY CO PFD J | 233331800 | PFDs, REITs, | 44,173 | $996,000 | 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 |
| RECON CAP NASDAQ 100 COVERED C | 75623u102 | INDX FD | 42,811 | $957,000 | thousands by filing date | |
| QWEST CORP - CALLABLE | 74913G709 | Pref | 40,000 | $940,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 62,500 | $932,000 | thousands by filing date | |
| Scorpio Tankers Inc. 6.75 15-MAY-2020 | 80918T109 | EQUITY | 40,000 | $898,000 | thousands by filing date | |
| GLOBAL MED REIT INC | 37954A204 | COM NEW | 98,800 | $881,000 | thousands by filing date | |
| EQUINIX INC COM | 29444U700 | REIT | 2,427 | $867,000 | 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 |
| EXELON CORP COM | 30161N101 | Stock | 19,793 | $702,000 | thousands by filing date | |
| JP Morgan Chase Commercial Mortgage Securities Trust 2012-CIBX A3 3.1388 15-JUN-2045 | 46637WAC7 | BOND | 677,868 | $694,000 | thousands by filing date | principal |
| SAFE BULKERS, IN PFDPFD | Y7388L137 | PFD | 50,000 | $676,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 10,000 | $642,000 | thousands by filing date | |
| EAGLE PT CR CO INC REDEMPTION $25/SH 5/24/18 | 269809208 | REDEMPTION $25/SH 5/24/18 | 25,000 | $642,000 | thousands by filing date | |
| CONNECTICUT LIGHT | 207597774 | Common Stock | 12,000 | $637,000 | thousands by filing date | |
| ENTERGY LOUISIANA LLC - CALLABLE | 29364W108 | Pref | 30,000 | $634,000 | thousands by filing date | |
| PUBLIC STORAGE PFD | 74460W719 | PFDs, REITs, | 30,000 | $633,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 18,000 | $628,000 | thousands by filing date | |
| GASLOG LTD PFD SHS SER A | G37585117 | PREFERR | 25,000 | $628,000 | thousands by filing date | |
| CHIMERA INVESTME | 16934Q307 | PREFERRED DEBT | 25,000 | $626,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE | 51508J207 | Equities | 25,000 | $621,000 | thousands by filing date | |
| THE CONNECTICUT LIGHT & POWER CO | 207597782 | Preferred Share | 12,000 | $616,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 12,591 | $611,000 | thousands by filing date | |
| Seaspan 7.875 Perp Cum QDI Ca | 81254u304 | PFD | 30,000 | $584,000 | thousands by filing date | |
| Crow Point Global Dividend Plus Fund | 22784H108 | EQUITY | 55,516 | $556,000 | 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 |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 22,100 | $476,000 | thousands by filing date | |
| Ashford Hospitality Trust Inc. 7.375 Cum Pfd Registered Shs Series G | 044103703 | EQUITY | 20,000 | $463,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 10,610 | $433,000 | thousands by filing date | |
| AXIS CAPITAL HOLDINGS-CALLABLE | 05461T305 | Pref | 20,000 | $433,000 | thousands by filing date | |
| Crow Point Defined Risk Global Equity Income Fund CL I | 66538A562 | EQUITY | 51,706 | $427,000 | thousands by filing date | |
| NEXTERA EN | 65339K100 | Preferred Stock | 18,826 | $416,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 6,685 | $415,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 59,000 | $413,000 | thousands by filing date | |
| 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 |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 6,434 | $363,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V608 | BLACKSTONE SENR | 7,333 | $348,000 | 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 |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 22,916 | $288,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 3,767 | $280,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 3,285 | $277,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,140 | $265,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,405 | $262,000 | thousands by filing date | |
| Grifols 2/14 (USD) TLB 27-Feb-2021 | G4123EAC0 | BOND | 250,000 | $247,000 | thousands by filing date | principal |
| LANDMARK INFRA | 51508J306 | PFDs, REITs, | 10,000 | $243,000 | thousands by filing date | |
| Hilton Hotels 10/13 Cov-Lite TL 26-Oct-2020 | 43289DAC7 | BOND | 237,499 | $238,000 | thousands by filing date | principal |
| DEL MONTE FOODS CONSUMER PRODUCTS TERM LOAN 2/18/21 | 24521TAB2 | BOND | 250,000 | $233,000 | thousands by filing date | principal |
| HERSHA HOSPITALITY TRUST | 427825708 | PUBLIC | 10,000 | $225,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 3,757 | $224,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 891 | $223,000 | thousands by filing date | |
| PS BUSINESS PARKS INC. PFD | 69360J628 | Real Estate Investment Trusts - Preferred (FI) | 10,000 | $216,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 3,224 | $213,000 | thousands by filing date | |
| SILVER SPRING NETWORKS INC | 82817Q103 | COM | 15,860 | $211,000 | thousands by filing date | |
| SASC 2006-AM1 A4 Mtge | 86359XAD5 | BOND | 216,370 | $205,000 | thousands by filing date | principal |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 2,260 | $196,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 7,090 | $196,000 | thousands by filing date | |
| LUKOIL PJSC | 69343P105 | COM | 3,480 | $195,000 | thousands by filing date | |
| Carlyle High Yield Partners X A2A 1.37344 19-APR-2022 | 14309DAB6 | BOND | 200,773 | $194,000 | thousands by filing date | principal |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 2,427 | $178,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,197 | $174,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 3,489 | $172,000 | thousands by filing date | |
| COLUMBIA SPORTSWEAR CO | 198516106 | COM | 2,947 | $172,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 3,762 | $168,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 1,711 | $154,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 10,000 | $152,000 | thousands by filing date | |
| UNIVERSAL CORP VA MTNS BK ENT COM | 913456109 | Stock | 2,345 | $149,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 10,000 | $146,000 | thousands by filing date | |
| SPDR SERIES TRUST BLOOMBERG BR | 78464A417 | BLOOMBERG BRCLYS | 3,872 | $141,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 2,763 | $139,000 | thousands by filing date | |
| Keycorp New Dep Shs PFD | 493267AK4 | Common Stock | 1,500 | $139,000 | thousands by filing date | |
| Morgan Stanley Capital I Trust 2007-HQ12 AM 5.773654 12-JUN-2025 | 61755BAG9 | BOND | 138,779 | $139,000 | thousands by filing date | principal |
| QWEST CORP | 74913G501 | PFD | 5,578 | $137,000 | thousands by filing date | |
| ANIXTER INTL INC | 035290105 | COM | 1,595 | $129,000 | thousands by filing date | |
| LEIDOS HOLDINGS INC COM | 525327102 | Stock | 2,498 | $128,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 1,377 | $127,000 | thousands by filing date | |
| EAGLE PT 7.75 10/26 | 269809307 | PREFERRED STOCK | 5,000 | $127,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 1,033 | $122,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 2,858 | $122,000 | thousands by filing date | |
| WESTERN UN CO COM | 959802109 | Stock | 5,396 | $117,000 | thousands by filing date | |
| CULLEN FROST BANKERS INC COM | 229899109 | Stock | 1,308 | $115,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 14,234 | $109,000 | thousands by filing date | |
| Morgan Stanley Capital I Trust 2006-IQ11 AJ 6.247027 15-MAY-2016 | 617453AV7 | BOND | 107,495 | $107,000 | thousands by filing date | principal |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 2,006 | $106,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 2,605 | $103,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 1,185 | $102,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 818 | $101,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 2,809 | $100,000 | thousands by filing date | |
| COLONY CAP INC | 19624R106 | CL A | 4,922 | $100,000 | thousands by filing date | |
| Adjustable Rate Mortgage Trust 2005-5 6A22 1.8875 25-SEP-2035 | 007036LY0 | BOND | 104,489 | $100,000 | thousands by filing date | principal |
| Cisco Systems,Inc. | 17275R102 | COM | 3,271 | $99,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 861 | $99,000 | thousands by filing date | |
| Countrywide Home Loans Asset-Backed Certificates Series 2002-S4 A5 5.216 25-OCT-2017 | 126671UD6 | BOND | 99,178 | $99,000 | thousands by filing date | principal |
| SLR INVESTMENT CORP | 83413U100 | COM | 4,644 | $97,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 1,167 | $95,000 | 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 |
| ASSURED GUARANTY LTD COM | G0585R106 | Stock | 2,431 | $92,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 1,450 | $92,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 407 | $91,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 1,964 | $90,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 862 | $90,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 4,047 | $89,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 1,225 | $88,000 | thousands by filing date | |
| MANPOWERGROUP INC WIS COM | 56418H100 | Stock | 973 | $86,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 548 | $85,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 1,417 | $83,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 592 | $81,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 2,477 | $79,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813102 | COM | 912 | $78,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 650 | $76,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 2,041 | $75,000 | thousands by filing date | |
| Banc of America Commercial Mortgage Inc. Series 2005-3 AM 4.727 10-JUL-2043 | 05947UR91 | BOND | 75,450 | $75,000 | thousands by filing date | principal |
| Gilead Sciences,Inc. | 375558103 | COM | 1,029 | $74,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 21,923 | $74,000 | thousands by filing date | |
| American Eagle Outfitters Inc. | 02553E103 | EQUITY | 4,875 | $74,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 2,535 | $73,000 | thousands by filing date | |
| REYNOLDS AMERICAN INC | 761713106 | COMMON STOCK | 1,281 | $72,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 4,483 | $70,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 1,002 | $69,000 | thousands by filing date | |
| Arlington Asset Investment Corp 6 3/4 Notes 2015-15.3.25 Sr | 041356502 | EQUITY | 3,000 | $67,000 | thousands by filing date | |
| KB FINL GROUP INC SPONSORED ADR | 48241A105 | ADR | 1,859 | $66,000 | thousands by filing date | |
| Bladex, Inc. Class E | P16994132 | COM | 2,138 | $63,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 1,706 | $62,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 692 | $60,000 | thousands by filing date | |
| ARCH CAP GROUP LTD ORD | G0450A105 | Stock | 683 | $59,000 | thousands by filing date | |
| KOREA ELEC PWR CORP SPONSORED ADR | 500631106 | ADR | 3,168 | $59,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 1,496 | $58,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 558 | $57,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 355 | $57,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 3,392 | $56,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 758 | $55,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 469 | $55,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 1,750 | $53,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 9,000 | $53,000 | thousands by filing date | |
| Apollo Global Management | 037612306 | COM | 2,750 | $53,000 | thousands by filing date | |
| BK OF AMERICA CORP PFD CUM SER C | 060505286 | Preferred | 1,900 | $52,000 | thousands by filing date | |
| PEOPLES UN | 712704204 | Preferred Stock | 2,000 | $52,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 309 | $51,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 2,102 | $51,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 706 | $51,000 | thousands by filing date | |
| POPULAR INC | 733174700 | COM NEW | 1,170 | $51,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 757 | $49,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 2,860 | $49,000 | thousands by filing date | |
| K12 INC | 48273U102 | COM | 2,855 | $49,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 1,305 | $47,000 | thousands by filing date | |
| CAMDEN PPTY TR SH BEN INT | 133131102 | REIT | 556 | $47,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 2,400 | $47,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 276 | $46,000 | thousands by filing date | |
| SILICON MOTION TECHNOLOGY CORP SPONSORED ADR | 82706C108 | ADR | 1,028 | $44,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 297 | $43,000 | thousands by filing date | |
| GSAMP Trust 2005-SEA2 A1 1.6775 25-JAN-2045 | 362341TM1 | BOND | 43,697 | $43,000 | thousands by filing date | principal |
| UNUM GROUP COM | 91529Y106 | Stock | 957 | $42,000 | thousands by filing date | |
| POSCO HOLDINGS INC SPONSORED ADR | 693483109 | ADR | 800 | $42,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 4,687 | $41,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 500 | $40,000 | thousands by filing date | |
| KNOLL INC | 498904200 | COM NEW | 1,438 | $40,000 | thousands by filing date | |
| IBERIABANK CORP | 450828108 | COM | 470 | $39,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 568 | $37,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 538 | $37,000 | thousands by filing date | |
| COMPANHIA PARANAENSE ENERG C | 20441B407 | SPON ADR PFD | 4,410 | $37,000 | thousands by filing date | |
| RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 | 76110WRQ1 | BOND | 36,039 | $37,000 | thousands by filing date | principal |
| BIG LOTS INC | 089302103 | COM | 714 | $36,000 | thousands by filing date | |
| CA INC COM | 12673P105 | COM | 1,126 | $36,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 2,428 | $35,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 1,029 | $33,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 940 | $33,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 412 | $32,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 468 | $32,000 | thousands by filing date | |
| HOST HOTELS & RESORTS INC COM | 44107P104 | REIT | 1,697 | $32,000 | thousands by filing date | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 1,527 | $32,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 1,864 | $32,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 3,217 | $32,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 1,272 | $32,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 3,534 | $32,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 776 | $32,000 | thousands by filing date | |
| IRON MTN INC DEL COM | 46284V101 | REIT | 957 | $31,000 | thousands by filing date | |
| MASIMO CORP COM | 574795100 | Stock | 453 | $31,000 | thousands by filing date | |
| Equity One Mortgage Pass Through Trust 2003-4 M1 5.869 25-OCT-2034 | 294751DF6 | BOND | 32,074 | $31,000 | thousands by filing date | principal |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 272 | $30,000 | thousands by filing date | |
| HCA Healthcare Inc | 40412C101 | COM | 392 | $29,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 642 | $29,000 | thousands by filing date | |
| Banc of America Commercial Mortgage Trust 2006-3 A4 5.889 10-JUL-2044 | 059500AD0 | BOND | 26,871 | $27,000 | thousands by filing date | principal |
| McDonalds Corporation | 580135101 | COM | 210 | $26,000 | thousands by filing date | |
| OMEGA HEALTHCARE INVS INC COM | 681936100 | REIT | 842 | $26,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 1,027 | $26,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 3,287 | $25,000 | thousands by filing date | |
| FIBRIA CELULOSE | 31573A109 | COMMON STOCK-FO | 2,633 | $25,000 | thousands by filing date | |
| SIMPSON MFG INC | 829073105 | COM | 544 | $24,000 | thousands by filing date | |
| SYSCOCORP | 871829107 | COM | 410 | $23,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 294 | $23,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 954 | $23,000 | thousands by filing date | |
| Option One Mortgage Loan Trust 2005-1 A4 2.1275 25-FEB-2035 | 68389FGJ7 | BOND | 22,104 | $22,000 | thousands by filing date | principal |
| Washington Mutual Mortgage Pass-Through Certificates WMALT Series 2006-7 A1A 6.086 25-SEP-2036 | 93935HAA5 | BOND | 38,936 | $22,000 | thousands by filing date | principal |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 300 | $20,000 | thousands by filing date | |
| Banc of America Funding 2006-2 Trust 2A18 5.75 25-MAR-2036 | 05949QAZ8 | BOND | 19,036 | $18,000 | thousands by filing date | principal |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 666 | $17,000 | thousands by filing date | |
| SK TELECOM LTD | 78440P108 | SPONSORED ADR | 807 | $17,000 | thousands by filing date | |
| DONNELLEY R R & SONS CO | 257867200 | COM | 1,065 | $17,000 | thousands by filing date | |
| AU OPTRONICS CORP | 002255107 | SPONSORED ADR | 4,098 | $15,000 | thousands by filing date | |
| RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 | 76112BHY9 | BOND | 14,686 | $15,000 | thousands by filing date | principal |
| NEW JERSEY RES CORP | 646025106 | COM | 400 | $14,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 500 | $14,000 | thousands by filing date | |
| Iberdrola SA | E6165F166 | ADR | 2,225 | $14,000 | thousands by filing date | |
| CENCOSUD S A | 15132H101 | SPONSORED ADS | 1,180 | $10,000 | thousands by filing date | |
| LEGG MASON INC-CALLABLE | 524901501 | Pref | 400 | $10,000 | thousands by filing date | |
| Energy & Exploration Partners Inc. 8.0 01-JUL-2019 | 29270RAA0 | EQUITY | 10,000,000 | $10,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 325 | $8,000 | thousands by filing date | |
| RASC Series 2004-KS2 Trust AI6 4.3 25-MAR-2034 | 76110WWG7 | BOND | 6,447 | $7,000 | thousands by filing date | principal |
| Washington Mutual Mortgage Pass-Through Certificates Series 2003-S12 2A 4.75 25-NOV-2018 | 92922FHP6 | BOND | 7,001 | $7,000 | thousands by filing date | principal |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 100 | $6,000 | thousands by filing date | |
| Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 | 03072SLU7 | BOND | 5,711 | $6,000 | thousands by filing date | principal |
| Nomura Asset Acceptance Corporation Alternative Loan Trust Series 2005-AR2 2A2 3.673352 25-MAY-2035 | 65535VKD9 | BOND | 5,574 | $6,000 | thousands by filing date | principal |
| RASC Series 2006-EMX2 Trust A2 0.97111 25-JUN-2035 | 75406AAB5 | BOND | 5,878 | $6,000 | thousands by filing date | principal |
| GreenHunter Resources Inc 10 Cum Pfd Shs Series C | 39530A203 | EQUITY | 61,786 | $4,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 512,000 | $3,000 | thousands by filing date | |
| GE CAPITAL MTG SERVICES INC. | 36157RD85 | BOND | 3,153 | $3,000 | thousands by filing date | principal |
| LB-UBS Commercial Mortgage Trust Series 2004-C1 4.568 15-JAN-2031 | 52108HYK4 | BOND | 962 | $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 | 431,866 | $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. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000891092-17-001426 | this filing | 2017-02-15 | acceptance time not in the bulk data set |