13F-HR filed by Crow Point Partners, LLC
Crow Point Partners, LLC filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-10-05, with 237 holding rows worth $624,588,000.
- Accession
- 0000891092-17-007186
- Filer
- CIK 1384305
- Filed
- 2017-10-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 237 entries on the cover page, a total value of $624,588,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $624,588,000 with VALUE read as thousands by filing date, 13F file number 028-12447. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| EDISON INTL COM | 281020107 | Stock | 485,000 | $37,621,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 940,000 | $35,485,000 | thousands by filing date | |
| TXNM ENERGY INC COM | 69349H107 | Stock | 775,000 | $31,775,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 505,000 | $30,588,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 200,000 | $29,398,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 270,000 | $28,237,000 | thousands by filing date | |
| CMS ENERGY CORP COM | 125896100 | Stock | 600,000 | $27,810,000 | thousands by filing date | |
| SEMPRA COM | 816851109 | Stock | 219,900 | $25,196,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 588,000 | $24,520,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 295,000 | $20,798,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 260,300 | $20,051,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 450,200 | $17,027,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 208,333 | $16,898,000 | thousands by filing date | |
| SPARK ENERGY INC | 846511103 | CL A COM | 1,015,718 | $15,337,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 366,000 | $13,688,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 250,000 | $11,538,000 | thousands by filing date | |
| SOUTH JERSEY INDUSTRIES INC | 838518108 | COM | 325,400 | $11,327,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 80,709 | $11,315,000 | thousands by filing date | |
| CHUNGHWA TELECOM CO LTD SPON ADR NEW11 | 17133Q502 | ADR | 326,013 | $11,032,000 | thousands by filing date | |
| GREAT PLAINS ENERGY INC | 391164100 | COM | 310,000 | $9,418,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 300,000 | $9,021,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 300,000 | $8,745,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 125,000 | $8,506,000 | thousands by filing date | |
| Just Energy 8.50.Perp Call3/20 | 48213w200 | PFD | 315,000 | $7,933,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 141,291 | $6,981,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 300,000 | $6,396,000 | thousands by filing date | |
| NORTHWESTERN ENERGY GROUP INC COM NEW | 668074305 | Stock | 102,411 | $5,880,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 150,000 | $5,856,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 300,000 | $5,655,000 | thousands by filing date | |
| Saratoga Investment Corp 6.75 Notes 2016-30.12.23 | 80349A406 | EQUITY | 200,000 | $5,186,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 475,000 | $4,940,000 | thousands by filing date | |
| EQT CORP COM | 26884L109 | Stock | 75,000 | $4,880,000 | thousands by filing date | |
| Crow Point Alternative Income Fund | 66538B610 | EQUITY | 573,554 | $4,743,000 | thousands by filing date | |
| WHEELER REAL ESTATE INVT TR | 963025606 | CV PFD SER D | 200,000 | $4,490,000 | thousands by filing date | |
| Scorpio Tankers Inc 8.25 Notes 2017-01.06.19 Global | Y7542C122 | EQUITY | 160,000 | $4,050,000 | thousands by filing date | |
| ALABAMA PWR CO PFD CL A | 010392462 | Preferred Stock | 140,000 | $3,599,000 | thousands by filing date | |
| KIMBELL RTY PARTNERS LP | 49435R102 | UNIT | 213,000 | $3,365,000 | thousands by filing date | |
| Diana Shipping Inc 8 1/2 Notes 2015-15.5.20 Sr | Y2066G120 | EQUITY | 125,928 | $3,192,000 | thousands by filing date | |
| Georgia Pwr Co. 6.50 Class A | 373334119 | PFD | 31,662 | $3,175,000 | thousands by filing date | |
| PHYSICIANS REALTY TRUST | 71943U104 | COM | 175,000 | $3,113,000 | thousands by filing date | |
| MEDLEY LLC - CALLABLE | 58503Y105 | Pref | 120,000 | $2,941,000 | thousands by filing date | |
| SCE TR VI PFD SHS | 78410V200 | EQU | 107,972 | $2,699,000 | thousands by filing date | |
| Alabama Power Company 6 1/2 Non Cum Pfd Shs | 010392470 | EQUITY | 104,573 | $2,636,000 | thousands by filing date | |
| SCORPIO BULKERS | Y7546A114 | COM | 105,000 | $2,622,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 50,000 | $2,550,000 | thousands by filing date | |
| ARLINGTON ASSET | 041356304 | STOCK | 100,040 | $2,496,000 | thousands by filing date | |
| IDACORP INC | 451107106 | COM | 25,000 | $2,214,000 | thousands by filing date | |
| SUMMIT HOTEL PPTYS | 866082100 | COM | 125,000 | $1,999,000 | thousands by filing date | |
| GLOBAL MED REIT INC 7.50 CUM | 37957w203 | CV PFD | 70,000 | $1,740,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A306 | COM NEW | 136,075 | $1,675,000 | thousands by filing date | |
| SPDR Series Trust | 78464A680 | SPDR Bloomberg 1-3 Month T-Bill ETF | 36,053 | $1,649,000 | thousands by filing date | |
| PERMA PIPE INTERNATIONAL HOL | 714167103 | COMMON STOCK | 183,117 | $1,610,000 | thousands by filing date | |
| ALABAMA PWR CO NON CUM PFD | 010392488 | PFD | 61,087 | $1,532,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 11,606 | $1,406,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 44,658 | $1,401,000 | thousands by filing date | |
| Georgia Power Co 5 Pfd | 373334440 | PFD | 50,000 | $1,256,000 | thousands by filing date | |
| SAFE BULKERS, IN PFDPFD | Y7388L137 | PFD | 50,000 | $1,091,000 | thousands by filing date | |
| TORCHMARK CORP | 891027302 | PFD | 41,981 | $1,065,000 | thousands by filing date | |
| Gastar Exploration Inc Cum Pfd Shs Series B | 36729P306 | EQUITY | 56,900 | $1,033,000 | thousands by filing date | |
| Annaly Capital Mgmt 6.95 Pfd S | 035710870 | PRD | 40,000 | $1,022,000 | thousands by filing date | |
| Union Electric Co USD 4.56 Cum.Red.Pfd Shs | 906548607 | EQUITY | 10,000 | $1,005,000 | thousands by filing date | |
| Scorpio Tankers Inc. 6.75 15-MAY-2020 | 80918T109 | EQUITY | 40,000 | $980,000 | thousands by filing date | |
| AHP 5.5 49 PFD | 044102507 | Preferred Stock | 47,100 | $951,000 | thousands by filing date | |
| NuStar Energy LP | 67058H201 | COM | 35,000 | $939,000 | thousands by filing date | |
| NAVIOS MARITIME HOLDINGS INC | 63938Y308 | SPON ADR PFD H | 59,000 | $935,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 12,858 | $934,000 | thousands by filing date | |
| TRIPLEPOINT VNTR GRTH BDC 5.75 NTS | 89677Y308 | VNTR GRTH BDC 5.75 NTS | 37,000 | $932,000 | thousands by filing date | |
| NSTAR Electric Company 4.78 Pfd Shs | 67021C305 | EQUITY | 8,830 | $901,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 5,175 | $814,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 5,909 | $803,000 | thousands by filing date | |
| ALLETE INC | 018522300 | COM NEW | 10,000 | $778,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 11,652 | $707,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 7,444 | $654,000 | thousands by filing date | |
| Crow Point Defined Risk Global Equity Income Fund CL I | 66538A562 | EQUITY | 75,118 | $646,000 | thousands by filing date | |
| Gladstone Capital Corp 6 Cum Red Pfd Registered Shs Series -2024- | 376535506 | EQUITY | 25,000 | $630,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 18,000 | $626,000 | thousands by filing date | |
| THE CONNECTICUT LIGHT & POWER CO | 207597782 | Preferred Share | 12,000 | $614,000 | thousands by filing date | |
| CACI INTL INC CL A | 127190304 | Stock | 4,353 | $608,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 3,585 | $605,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 3,436 | $604,000 | thousands by filing date | |
| OASIS MIDSTREAM PARTNERS LP | 67420T206 | COM UNITS REPS | 35,000 | $595,000 | thousands by filing date | |
| ENTERGY NEW ORLEANS INC 4.36% | 29364P202 | PFD | 5,530 | $567,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 16,748 | $556,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 4,928 | $554,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 62,285 | $549,000 | thousands by filing date | |
| NEWTEKONE INC | 652526203 | COM NEW | 30,000 | $531,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 4,251 | $529,000 | thousands by filing date | |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 2,874 | $514,000 | thousands by filing date | |
| HORIZONS ETF TR I | 44053G108 | HORIZONS NASDAQ | 21,500 | $510,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 7,423 | $508,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 13,959 | $504,000 | thousands by filing date | |
| CALIFORNIA WTR SVC GROUP | 130788102 | COM | 13,031 | $493,000 | thousands by filing date | |
| AMER STATES WTR CO COM | 029899101 | Stock | 9,733 | $482,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 18,045 | $480,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 6,981 | $478,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 8,491 | $463,000 | thousands by filing date | |
| PROSHRE U/S DJ-UBS CRUDE OIL | 74347W668 | CMN | 13,616 | $459,000 | thousands by filing date | |
| NORTHROP GRUMMAN CORP COM | 666807102 | Stock | 1,592 | $453,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 3,836 | $449,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 3,521 | $430,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 8,885 | $429,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 2,320 | $427,000 | thousands by filing date | |
| BARRACUDA NETWORKS INC | 068323104 | COM | 17,548 | $422,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 12,264 | $408,000 | thousands by filing date | |
| ISHARES TR | 464288620 | SHS | 3,566 | $400,000 | thousands by filing date | |
| Lockheed Martin Corporation | 539830109 | COM | 1,288 | $398,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 6,142 | $398,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 3,712 | $396,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 2,895 | $395,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 5,479 | $394,000 | thousands by filing date | |
| VTI | 922908769 | COM | 3,055 | $394,000 | thousands by filing date | |
| VANGUARD WORLD FD | 921910709 | EXTENDED DUR | 3,328 | $388,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 8,929 | $385,000 | thousands by filing date | |
| H2O AMERICA | 784305104 | COM | 6,502 | $373,000 | thousands by filing date | |
| Structured Asset Securities Corporation Mortgage Loan Trust 2006-WF1 M2 1.6675 25-FEB-2036 | 863576FJ8 | BOND | 400,000 | $373,000 | thousands by filing date | principal |
| NASDAQ INC COM | 631103108 | Stock | 4,765 | $370,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 3,427 | $363,000 | thousands by filing date | |
| FIRST DATA CORP NEW COM CL A | 32008D106 | Stock | 20,317 | $363,000 | thousands by filing date | |
| ALLSPRING UTIL AND TELECOMMS A | 94985D483 | NTF EQUITY FUNDS | 17,089 | $361,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 2,157 | $354,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,060 | $350,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 2,339 | $348,000 | thousands by filing date | |
| UNITED STS SHORT OIL FD LP | 912613205 | UNITS | 5,152 | $341,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 7,639 | $330,000 | thousands by filing date | |
| JP Morgan Chase Commercial Mortgage Securities Trust 2012-CIBX A3 3.1388 15-JUN-2045 | 46637WAC7 | BOND | 307,277 | $312,000 | thousands by filing date | principal |
| BERKLEY W R CORP COM | 084423102 | Stock | 4,630 | $309,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 4,876 | $309,000 | thousands by filing date | |
| WADDELL & REED FINL INC | 930059100 | CL A | 15,473 | $308,000 | thousands by filing date | |
| POWERSHARES DYN SEMICONDUCT | 73935X781 | COM | 6,133 | $300,000 | thousands by filing date | |
| MARKETAXESS HLDGS INC | 57060D108 | COM | 1,622 | $297,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 8,529 | $292,000 | thousands by filing date | |
| BreitBurn Energy Partners L.P. 8.625 15-OCT-2020 | 106777AB1 | BOND | 4,180,000 | $291,000 | thousands by filing date | principal |
| COMMVAULT SYS INC COM | 204166102 | Stock | 4,696 | $287,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 4,031 | $286,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 2,186 | $280,000 | thousands by filing date | |
| OKTAINCCLASSA | 679295105 | STOK | 9,560 | $277,000 | thousands by filing date | |
| PROSHARES TR | 74348A160 | ULTRAPRO SHORT Q | 10,000 | $274,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,180 | $271,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,768 | $263,000 | thousands by filing date | |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 6,604 | $263,000 | thousands by filing date | |
| TSAKOS ENR NVG CUM RED PRP SRS E PRF | G9108L157 | COM | 10,000 | $257,000 | thousands by filing date | |
| TCF FINL CORP 5.7 PFD SER | 872275300 | PFD | 10,000 | $254,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | 91915W300 | Pref | 10,000 | $252,000 | thousands by filing date | |
| GLOBALNETLEASEINC | 379378300 | PREFERREDSTK | 10,000 | $250,000 | thousands by filing date | |
| Spirit Realty Pr A | 84860W201 | COM | 10,000 | $250,000 | thousands by filing date | |
| MIMECAST LIMITED | G14838109 | ORD SHS | 8,287 | $235,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 7,000 | $233,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,037 | $228,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 5,091 | $215,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 5,804 | $207,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,048 | $203,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 5,784 | $198,000 | thousands by filing date | |
| AFFILIATED MANAGERS GROUP COM | 008252108 | Stock | 1,013 | $192,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 690370101 | COM | 6,600 | $192,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,036 | $189,000 | thousands by filing date | |
| Proshares Short S&P | 74347B425 | COM | 5,674 | $183,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 1,666 | $182,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,422 | $179,000 | thousands by filing date | |
| SASC 2006-AM1 A4 Mtge | 86359XAD5 | BOND | 179,500 | $176,000 | thousands by filing date | principal |
| Cyber Security ETF | 26924G201 | Common | 5,846 | $175,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 1,185 | $174,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 10,000 | $170,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 4,096 | $166,000 | thousands by filing date | |
| DDR CORP | 23317H870 | PREFERRED STOCK | 6,500 | $166,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 171 | $164,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 3,323 | $160,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 1,500 | $155,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,000 | $153,000 | thousands by filing date | |
| CROWN CASTLE INC COM | 22822V101 | REIT | 1,500 | $151,000 | thousands by filing date | |
| TABLEAU SOFTWARE INC | 87336U105 | CL A | 1,956 | $146,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 1,630 | $140,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 1,479 | $139,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 5,564 | $135,000 | thousands by filing date | |
| PROSHARES ULTRA | 74347R719 | PSHS ULTRA O&G | 3,727 | $131,000 | thousands by filing date | |
| EAGLE PT 7.75 10/26 | 269809307 | PREFERRED STOCK | 5,000 | $131,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 762 | $130,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 2,314 | $128,000 | thousands by filing date | |
| FIRST REPUBL 5.125 PFDPFD SER H | 33616C811 | PREFERRED STOCK | 5,000 | $126,000 | thousands by filing date | |
| MAIDEN HOLD 6.700 NON CUM SRS D PRF | G5753U146 | COM | 5,000 | $126,000 | thousands by filing date | |
| Pennsylvania Real Estate Investment Trust | 709102701 | PUBLIC | 5,000 | $125,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC | 42806J106 | COM | 4,727 | $112,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 1,703 | $109,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 2,802 | $107,000 | thousands by filing date | |
| AECOM COM | 00766T100 | Stock | 2,754 | $102,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 2,087 | $102,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 2,359 | $96,000 | thousands by filing date | |
| SANTANDER CONSUMER USA HOLDINGS | 80283M101 | COMMON STOCK | 5,848 | $89,000 | thousands by filing date | |
| Fremont Home Loan Trust 2005-B M4 2.03362 25-APR-2035 | 35729PJY7 | BOND | 93,438 | $89,000 | thousands by filing date | principal |
| DIREXION DAILY S&P BIOTECH BULL 3X ETF | 25490K323 | ETF | 1,000 | $84,000 | thousands by filing date | |
| Schwab US REIT ETF | 808524847 | SHS | 1,988 | $82,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 798 | $81,000 | thousands by filing date | |
| Adjustable Rate Mortgage Trust 2005-5 6A22 1.8875 25-SEP-2035 | 007036LY0 | BOND | 78,764 | $77,000 | thousands by filing date | principal |
| COMERICAINC | 200340107 | COM | 1,000 | $76,000 | thousands by filing date | |
| ENTERGY CORP NEW COM | 29364G103 | Stock | 1,000 | $76,000 | thousands by filing date | |
| SORRENTO THERAPEUTICS INC | 83587F202 | COMMON STOCK | 44,565 | $76,000 | thousands by filing date | |
| U S CONCRETE INC | 90333L201 | COM | 1,000 | $74,000 | thousands by filing date | |
| Countrywide Home Loans Asset-Backed Certificates Series 2002-S4 A5 5.216 25-OCT-2017 | 126671UD6 | BOND | 70,457 | $70,000 | thousands by filing date | principal |
| AH RLTY TR INC | 04208T108 | COM | 5,000 | $69,000 | thousands by filing date | |
| Morgan Stanley Capital I Trust 2006-IQ11 AJ 6.247027 15-MAY-2016 | 617453AV7 | BOND | 68,700 | $69,000 | thousands by filing date | principal |
| AON PLC | G0408V102 | SHS CL A | 464 | $68,000 | thousands by filing date | |
| CBOE GLOBAL MKTS INC COM | 12503M108 | Stock | 608 | $65,000 | thousands by filing date | |
| CARLYLE GROUP LP - CALLABLE | 14309L201 | Pref | 2,500 | $63,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 642 | $52,000 | thousands by filing date | |
| BK OF AMERICA CORP PFD CUM SER C | 060505286 | Preferred | 1,900 | $49,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 568 | $47,000 | thousands by filing date | |
| HUBSPOTINC | 443573100 | STOK | 578 | $47,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 952 | $45,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 934 | $41,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 100 | $34,000 | thousands by filing date | |
| GSAMP Trust 2005-SEA2 A1 1.6775 25-JAN-2045 | 362341TM1 | BOND | 33,208 | $33,000 | thousands by filing date | principal |
| ServiceNow,Inc. | 81762P102 | COM | 249 | $29,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 274 | $28,000 | thousands by filing date | |
| Equity One Mortgage Pass Through Trust 2003-4 M1 5.869 25-OCT-2034 | 294751DF6 | BOND | 29,217 | $28,000 | thousands by filing date | principal |
| RASC Series 2003-KS4 Trust AI6 3.87 25-JUN-2033 | 76110WRQ1 | BOND | 25,592 | $26,000 | thousands by filing date | principal |
| CHESAPEAKE UTILS CORP | 165303108 | COM | 300 | $24,000 | thousands by filing date | |
| Washington Mutual Mortgage Pass-Through Certificates WMALT Series 2006-7 A1A 6.086 25-SEP-2036 | 93935HAA5 | BOND | 37,375 | $20,000 | thousands by filing date | principal |
| Vanguard Communication Services ETF | 92204A884 | SHS | 205 | $19,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 400 | $17,000 | thousands by filing date | |
| Option One Mortgage Loan Trust 2005-1 A4 2.1275 25-FEB-2035 | 68389FGJ7 | BOND | 17,129 | $17,000 | thousands by filing date | principal |
| Banc of America Funding 2006-2 Trust 2A18 5.75 25-MAR-2036 | 05949QAZ8 | BOND | 16,823 | $16,000 | thousands by filing date | principal |
| MDU RES GROUP INC | 552690109 | COM | 500 | $13,000 | thousands by filing date | |
| LEGG MASON INC-CALLABLE | 524901501 | Pref | 400 | $11,000 | thousands by filing date | |
| RAMP Series 2005-RS1 Trust AI6 4.713 25-NOV-2034 | 76112BHY9 | BOND | 9,901 | $10,000 | thousands by filing date | principal |
| Ameriquest Mortgage Securities 2003-11 AF6 5.64 25-DEC-2033 | 03072SLU7 | BOND | 4,994 | $5,000 | thousands by filing date | principal |
| RASC Series 2004-KS2 Trust AI6 4.3 25-MAR-2034 | 76110WWG7 | BOND | 4,870 | $5,000 | thousands by filing date | principal |
| Washington Mutual Mortgage Pass-Through Certificates Series 2003-S12 2A 4.75 25-NOV-2018 | 92922FHP6 | BOND | 5,080 | $5,000 | thousands by filing date | principal |
| FIRST TR EXCHANGE TRADED FD | 33738R811 | NASDQ SEMCNDTR | 146 | $4,000 | thousands by filing date | |
| GreenHunter Resources Inc 10 Cum Pfd Shs Series C | 39530A203 | EQUITY | 61,786 | $4,000 | thousands by filing date | |
| GE CAPITAL MTG SERVICES INC. | 36157RD85 | BOND | 2,511 | $3,000 | thousands by filing date | principal |
| Nomura Asset Acceptance Corporation Alternative Loan Trust Series 2005-AR2 2A2 3.673352 25-MAY-2035 | 65535VKD9 | BOND | 3,456 | $3,000 | thousands by filing date | principal |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| 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. |
| GREENHUNTER WATER WARRANTS | 395990708 | EQUITY | 96,112 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Citigroup Commercial Mortgage Trust 2008-C7 AMA 6.19141 10-DEC-2049 | 17313KAJ0 | BOND | 0 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Dash II A1L 1.81 15-SEP-2035 | 25513TAA1 | BOND | 95,918 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000891092-17-007186 | this filing | 2017-10-05 | acceptance time not in the bulk data set |