13F-HR filed by MacKay Shields LLC
MacKay Shields LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-28, with 678 holding rows worth $2,656,900,000.
- Accession
- 0001085146-14-000174
- Filer
- CIK 61227
- Filed
- 2014-01-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 688 entries on the cover page, a total value of $2,656,900,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,656,900,000 with VALUE read as thousands by filing date, 13F file number 028-00046. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerNEW YORK LIFE INVESTMENT MANAGEMENT LLC028-06325
- included managerUBS GLOBAL ASSET MANAGEMENT AMERICAS INC028-02682
- included managerFIRST TRUST ADVISORS LP028-06487
- included managerMercer Trust Co028-14465
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 |
|---|---|---|---|---|---|---|
| NEW JERSEY ST EDL FACS-L 4.375 | 64605LJW9 | MUNICIP | 50,000 | $50,000 | thousands by filing date | principal |
| NEW JERSEY ST TRANSPRTN 5.000% | 646136QC8 | MUNICIP | 50,000 | $50,000 | thousands by filing date | principal |
| IRVINGTON TWN NJ 4.625% 07/15/ | 464080HK9 | MUNICIP | 50,000 | $50,000 | thousands by filing date | principal |
| SAN JUAN TEX HIGHER ED FIN 5.1 | 798410AD8 | MUNICIP | 45,000 | $48,000 | thousands by filing date | principal |
| UNION CNTY NJ-B 3.000% 03/01/1 | 90634PAS8 | MUNICIP | 45,000 | $48,000 | thousands by filing date | principal |
| MARLBORO TWP NJ GO 3.250% 10/0 | 570833ET6 | MUNICIP | 45,000 | $48,000 | thousands by filing date | principal |
| NEW YORK ST DORM AUTH REV-A 5. | 649905CG9 | MUNICIP | 40,000 | $46,000 | thousands by filing date | principal |
| MORONGO CA UNIF SCH DIST 5.250 | 617736HN6 | MUNICIP | 45,000 | $46,000 | thousands by filing date | principal |
| NEW YORK CITY TRANS TAX-I 5.00 | 64971MY30 | MUNICIP | 40,000 | $46,000 | thousands by filing date | |
| HOUSTON TX HOTEL OCCUPANCY 5.0 | 44237NFW7 | MUNICIP | 45,000 | $45,000 | thousands by filing date | principal |
| ADELPHIA COM ESCROW 0.00% DUE | 006ESCBF3 | Common Stock | 6,441,000 | $45,000 | thousands by filing date | principal |
| UNIV KS HOSP 5.000% 09/01/16 | 914367BY2 | MUNICIP | 40,000 | $44,000 | thousands by filing date | principal |
| HIGHLANDS HLTH-G-UNRF 5.125% 1 | 431022PR7 | MUNICIP | 40,000 | $44,000 | thousands by filing date | principal |
| NEW YORK GO BDS-B 5.000% 08/01 | 64966J3C8 | MUNICIP | 40,000 | $43,000 | thousands by filing date | |
| MASSACHUSETTS ST HEALTH 4.500% | 57586CUM5 | MUNICIP | 40,000 | $43,000 | thousands by filing date | principal |
| BURLINGTON VT ELEC REV 5.000% | 122079HE9 | MUNICIP | 40,000 | $43,000 | thousands by filing date | principal |
| NORTH TEX TWY AUTH 6.125% 01/0 | 66285WDV5 | MUNICIP | 40,000 | $42,000 | thousands by filing date | principal |
| NEW YORK NY CITY MUN PRERE 5.0 | 64972F8A7 | MUNICIP | 40,000 | $42,000 | thousands by filing date | |
| HARRIS CNTY TEX PRERE 5.250% 1 | 414005JP4 | MUNICIP | 40,000 | $42,000 | thousands by filing date | principal |
| NEW JERSEY ST GO REF-H 5.250% | 646039AV9 | MUNICIP | 40,000 | $41,000 | thousands by filing date | principal |
| HOUSTON TX HGR EDU FIN CORP 4. | 442378CY9 | MUNICIP | 40,000 | $41,000 | thousands by filing date | principal |
| TEXAS ST TRANSN COMMN-MOBIL 4. | 882721PA5 | MUNICIP | 40,000 | $40,000 | thousands by filing date | principal |
| UPPER OCCOQUAN VA SEWAGE AU 4. | 916277JX5 | MUNICIP | 40,000 | $40,000 | thousands by filing date | principal |
| AMERICAN AIRLINES ESCROW | 235ESCAM2 | Common Stock | 200,000 | $40,000 | thousands by filing date | principal |
| NORTHWEST TX INDPT SCH 5.000% | 667825XR9 | MUNICIP | 35,000 | $39,000 | thousands by filing date | principal |
| TOBACCO SETTLEMENT FING CORP 5 | 888808DF6 | MUNICIP | 55,000 | $39,000 | thousands by filing date | principal |
| NEW YORK ST DORM AUTH-A 5.000% | 64983M6T0 | MUNICIP | 35,000 | $38,000 | thousands by filing date | |
| NEW YORK ST ENVIRON REV-A 5.00 | 64986ANB3 | MUNICIP | 35,000 | $38,000 | thousands by filing date | principal |
| EATONTOWN NJ SCH DIST 4.500% 0 | 278353DA2 | MUNICIP | 35,000 | $36,000 | thousands by filing date | principal |
| EDINBURG TX CONS INDPT 4.000% | 280785PK6 | MUNICIP | 35,000 | $36,000 | thousands by filing date | principal |
| NORFOLK VA WTR REVENUE 4.750% | 656009GL5 | MUNICIP | 35,000 | $35,000 | thousands by filing date | principal |
| MORRIS CNTY NJ GO 5.000% 09/15 | 6180233X1 | MUNICIP | 30,000 | $35,000 | thousands by filing date | |
| ROUND ROCK TX INDEP SCH DIST 5 | 779240EM8 | MUNICIP | 30,000 | $34,000 | thousands by filing date | principal |
| NEW YORK GO BDS-B 5.000% 08/15 | 64966KSR5 | MUNICIP | 30,000 | $34,000 | thousands by filing date | principal |
| NORTH CAROLINA ST 5.000% 03/01 | 658256YB2 | MUNICIP | 30,000 | $33,000 | thousands by filing date | principal |
| NEW JERSEY ST TRANSPRTN 5.000% | 646136YA3 | MUNICIP | 30,000 | $33,000 | thousands by filing date | principal |
| SAN ANTONIO TEXAS ELEC & 5.375 | 796253UP5 | MUNICIP | 30,000 | $32,000 | thousands by filing date | principal |
| MIDDLESEX CNTY NJ CTFS REF 4.0 | 596562GY8 | MUNICIP | 30,000 | $32,000 | thousands by filing date | principal |
| CAMDEN CNTY NJ IMPT AUTH RE 3. | 13281NNG3 | MUNICIP | 30,000 | $32,000 | thousands by filing date | principal |
| CONCORD MASS URP BDS 2007 3.75 | 206273WM2 | MUNICIP | 30,000 | $32,000 | thousands by filing date | principal |
| PORT AUTH OF NY & NJ 4.750% 07 | 73358T4E8 | MUNICIP | 30,000 | $31,000 | thousands by filing date | |
| PORT AUTH OF NY & NJ 4.750% 07 | 73358T4H1 | MUNICIP | 30,000 | $31,000 | thousands by filing date | |
| CONNECTICUT ST HLTH & EDU 5.00 | 20774YBJ5 | MUNICIP | 30,000 | $31,000 | thousands by filing date | principal |
| NORTH HALEDON NJ SCH DIST 4.37 | 659545CP0 | MUNICIP | 30,000 | $30,000 | thousands by filing date | principal |
| STATE PUB SCH BLDG AUTH PA 4.7 | 8573226B2 | MUNICIP | 30,000 | $30,000 | thousands by filing date | |
| MASSACHUSETTS ST HLTH & EDL 5. | 57586CBP9 | MUNICIP | 25,000 | $30,000 | thousands by filing date | principal |
| MASSACHUSETTS ST TPK AUTH 0.00 | 576018BB0 | MUNICIP | 35,000 | $29,000 | thousands by filing date | principal |
| MERCER CNTY NJ GO REF 5.000% 0 | 587839XA4 | MUNICIP | 25,000 | $29,000 | thousands by filing date | principal |
| NEW JERSEY ST EDL FACS AUTH 5. | 646065RD6 | MUNICIP | 25,000 | $28,000 | thousands by filing date | principal |
| JERSEY CITY N J GO REF BDS 5.5 | 4765755Y7 | MUNICIP | 25,000 | $28,000 | thousands by filing date | |
| UNIVERSITY NC CHAPEL HILL REV REV BDS CALLABLE | 914713A28 | REV BDS CALLABLE | 25,000 | $27,000 | thousands by filing date | |
| FLEMINGTON-RARITAN N J REGL 5. | 339297KV4 | MUNICIP | 25,000 | $27,000 | thousands by filing date | principal |
| NEW YORK ST DORM AUTH REV-F 5. | 649907AW2 | MUNICIP | 25,000 | $27,000 | thousands by filing date | principal |
| WASHINGTON ST HIGHER ED FAC 4. | 939781XX3 | MUNICIP | 25,000 | $27,000 | thousands by filing date | principal |
| HONOLULU CITY & CNTY HI 5.250% | 438670QL8 | MUNICIP | 25,000 | $27,000 | thousands by filing date | principal |
| KINGSPORT SCH PUB IMP 4% 02/01 | 4964406T0 | MUNICIP | 25,000 | $27,000 | thousands by filing date | |
| LOUISIANA ST CITIZENS PROP 5.0 | 546456BE3 | MUNICIP | 25,000 | $27,000 | thousands by filing date | principal |
| BROWNSVILLE TEX CTFS OBLIG 5.5 | 116405DF5 | MUNICIP | 25,000 | $27,000 | thousands by filing date | principal |
| EAGLE MTN & SAGINAW TX INDPT 5 | 269695N32 | MUNICIP | 25,000 | $27,000 | thousands by filing date | |
| DODGE CITY KANS SALES TAX REV 4.500percentage 06/01/28 B/E DTD 05/06/09 | 256359BX7 | MB | 25,000 | $26,000 | thousands by filing date | principal |
| ELYRIA OHIO 4.000% 12/01/18 | 290641F95 | MUNICIP | 25,000 | $26,000 | thousands by filing date | |
| FAIRFAX SWR 4% 07/15/27 | 303867GG4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| FL BOE PUB ED-REF-B 4.75% 06/0 | 341535TN2 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| FLORIDA ST MUN PWR AGY REV 5.0 | 342816WF8 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| FRESNO CALIF IRR DIST CTFS 4.3 | 358180AV9 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| GLEN ROCK NJ SCH DIST 4.600% 0 | 377784ET6 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| OH WTR-UNREF-WTR QUAL 5.000% 1 | 67766WRM6 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| OTTAWA-SEW DISPOSAL 4% 05/01/2 | 689225PB0 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| OXFORD BLDG AUTH-A 4.2% 10/01/ | 69140XAR4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| PHARR TEX 4.100% 08/15/19 | 717180LG6 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| PIMA CNTY 4% 07/01/18 | 721882BV9 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| PORTLAND LTD TAX-C 4.375% 06/0 | 736740JJ1 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| RADNOR TWP SD SER C 4.05% 11/1 | 750599HD7 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| RIDGEWOOD N J GO BDS 2007 5.00 | 766243RW1 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| ROSEVILLE MICH SCH DIST 5.000% | 778017LP6 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| ST LOUIS MO MUNI FIN CORP 4.00 | 79165TLG4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| SWSTRN DEV-MASCOUTAH 4.6% 02/0 | 84552YJP7 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| TRINITY RIVER AUTH TEX TEN 4.2 | 896576JM8 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| UNIVERSITY TOLEDO OHIO GEN 4.1 | 915138HM6 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| UNIVERSITY VA UNIV 5% 06/01/40 | 915217QT3 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| VA ST HSG 4.5% 07/01/24 | 92812UZV3 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| WEST CHESTER SD-RF-A 4.125% 02 | 952030YY4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| NEW JERSEY ST TRANSPRTN 5.500% | 646136A76 | MUNICIP | 25,000 | $26,000 | thousands by filing date | |
| NEW KENSINGTON PA MUN SAN 5.00 | 646309FN9 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| GODFREY ETC SD REF 4% 05/01/17 | 380302ED7 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| GOLDEN KNIGHTS CORP FLA CTF 4. | 381101AL8 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| GRANT PUD #2-RF-DEV-A 4% 01/01 | 387883NA5 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| HARRISONBURG-PUB IMPT 4.125% 0 | 415666KX3 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| JANESVILLE SD-SCH BLD 4.5% 03/ | 470878JA8 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| KANSAS ST DEV FIN AUTH REV 4.1 | 4854286U5 | MUNICIP | 25,000 | $26,000 | thousands by filing date | |
| KIRTLAND SD-IMPT 4.125% 12/01/ | 497692DN0 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| LAKEWOOD OHIO WTR SYS REV 4.25 | 512651BY5 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| LEE CNTY COPS FACS 4.125% 04/0 | 523717BN5 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| LEON SCH BRD-REF 4% 07/01/19 | 52643MBN4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| LITTLE ELM TEX CTFS OBLIG 4.75 | 537095HY0 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| MADISON SD REF-BLDG 4% 03/01/2 | 558495HU4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| MAGOFFIN CNTY SD 4.125% 08/01/ | 559760JA2 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| MEADE CNTY SD 2ND SER 4% 10/01 | 583030HM6 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| ALABAMA ST UNIV REV 5.250% 09/ | 010632ME4 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| AUSTIN ISD-REF 5% 08/01/33 | 052430DR3 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| BRISTOL BORO SD 4% 03/01/23 | 109754BP5 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| BUTLER CNTY WTRWKS RF 4% 12/01 | 123565GR8 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| CLAYTON DEV-REF-B 4% 08/01/19 | 184150DM9 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| DALLAS TEX AREA RAPID TRAN 4.5 | 235241EW2 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| DAVIS CNTY 4% 02/01/19 | 239001FX3 | MUNICIP | 25,000 | $26,000 | thousands by filing date | principal |
| ESCONDIDO CALIF REV CTFS 4.125 | 296344CH5 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| FORT WAYNE IND ECONOMIC DEV 5. | 349246DZ8 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| FRANKLIN SD BLDG 4.25% 05/01/2 | 352840QG0 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| GENESEE CNTY MICH 4.000% 05/01 | 371608GH7 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| OMAHA PWR SUB-SYS-AA 4.15% 02/ | 6817932F1 | MUNICIP | 25,000 | $25,000 | thousands by filing date | |
| OMAHA PWR-NEB CITY-A 4.1% 02/0 | 682004BS4 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| OXFORD MISS 4.000% 03/01/25 | 691616KV7 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| PENDLETON CNTY SD FIN 4.125% 0 | 706770EF7 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| PENNSYLVANIA ST HGR EDUC FAC 4 | 70917N7U2 | MUNICIP | 25,000 | $25,000 | thousands by filing date | |
| UNIVERSITY NORTHN COLO 5.000% | 914739DZ7 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| UPPER TRINITY REGL WTR DIST 4. | 916672QE1 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| WARREN SD REF 4.25% 05/01/24 | 935341VS3 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| MOLINE-CORP PURP-B 4% 11/01/18 | 608557ST2 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| MONROE UTIL REF-COMB 4% 12/01/ | 610884DN5 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| NATIONAL CITY CALIF CMNTY 4.00 | 634900FG4 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| NEW BRAUNFELS-B-HOTEL 4.25% 09 | 642526HA8 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| NEW JERSEY ST EDJ FACS AUTH 4. | 64605LW20 | MUNICIP | 25,000 | $25,000 | thousands by filing date | |
| JACKSONVILLE UNIV-FEE 4.75% 12 | 469205GE2 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| LA CA UNI SCH DI COP-B PRER 5. | 544648PR3 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| LANSE CREUSE MICH PUB SCHS 5.0 | 516228NE9 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| ALABAMA ST BRD ED REV 4.000% 1 | 0104876S0 | MUNICIP | 25,000 | $25,000 | thousands by filing date | |
| ATLANTA GA DEV AUTH REV 4.000% | 04780NDG9 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| BAY CNTY FLA SALES TAX REV 4.2 | 07223NEB7 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| BLOOMFIELD TWP LIBR 4.125% 05/ | 094149EY3 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| BOONE CNTY SD FIN BDG 4.125% 0 | 098825XN7 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| BRADENTON SPL OBLG 4.25% 09/01 | 104178EA2 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| CAPE CORAL FLA UTIL 4.125% 07/ | 13937XBS6 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| CARLSTADT NJ SCH DIST 4.500% 0 | 142843CC3 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| CORONA-NORCO CA UNI SCH DIS 4. | 21976TET5 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| DALLAS CMNTY CLG 4% 02/15/29 | 234685KE4 | MUNICIP | 25,000 | $25,000 | thousands by filing date | principal |
| HARTFORD CONN GO REF BDS 5.000 | 416415CV7 | MUNICIP | 20,000 | $24,000 | thousands by filing date | principal |
| FRANKLIN TWP SOMERSET CNTY 5.0 | 355064HS8 | MUNICIP | 20,000 | $22,000 | thousands by filing date | principal |
| LOC GOVT MUN BD AUTH REV 4.125 | 59455TQL9 | MUNICIP | 25,000 | $22,000 | thousands by filing date | principal |
| MICHIGAN MUN BD AUTH REV 4.250 | 59455TQN5 | MUNICIP | 25,000 | $22,000 | thousands by filing date | principal |
| ADELPHIA COM ESCROW 0.00% DUE | 006ESCBC0 | Common Stock | 3,150,000 | $22,000 | thousands by filing date | principal |
| GARLAND TX 5.250% 02/15/15 | 366119PV1 | MUNICIP | 20,000 | $21,000 | thousands by filing date | principal |
| SEATTLE WA MUN LT & PWR 5.250% | 812643BW3 | MUNICIP | 20,000 | $21,000 | thousands by filing date | principal |
| ADELPHIA COM ESCROW 0.00% DUE | 006ESC9F6 | Common Stock | 3,025,000 | $21,000 | thousands by filing date | |
| CHARLESTON SC WTR & SWR REV 5. | 160429RC2 | MUNICIP | 20,000 | $21,000 | thousands by filing date | principal |
| WISCONSIN ST CLEAN WTR REV 5.0 | 977092NZ4 | MUNICIP | 20,000 | $20,000 | thousands by filing date | principal |
| LEHMAN 5.250 02/06/13 ESCROW C | 525ESC2W8 | Common Stock | 90,000 | $19,000 | thousands by filing date | |
| ADELPHIA COM ESCROW 0.00% DUE | 006ESCAZ0 | Common Stock | 2,715,000 | $19,000 | thousands by filing date | principal |
| NEW YORK ST LOC GOVT ASSISTANCE CORP, REF BDS | 649876JN0 | Municipal Bonds | 15,000 | $17,000 | thousands by filing date | principal |
| New Jersey Economic Dev Auth R Sch Fac C | 6459164Y0 | Short Muni | 15,000 | $16,000 | thousands by filing date | |
| GLOUCHESTER CNTY NJ IMPT 4.750 | 37969YLW4 | MUNICIP | 15,000 | $16,000 | thousands by filing date | principal |
| GRAND PRAIRIE TEX WTR & 4.625% | 386168QA9 | MUNICIP | 15,000 | $16,000 | thousands by filing date | principal |
| LEHMAN 6.20 09/26/14 ESCROW CL | 525ESC6X2 | Common Stock | 70,000 | $15,000 | thousands by filing date | |
| CAMBRIDGE MASS LN PRERE 4.250% | 132285ZN0 | MUNICIP | 15,000 | $15,000 | thousands by filing date | principal |
| QUEBECOR WORLD LITIGATION TRST | 748ESCAA8 | Common Stock | 930,000 | $14,000 | thousands by filing date | principal |
| AT HOME CORPORATION | 045919AF4 | CONV BND | 133,347,086 | $13,000 | thousands by filing date | principal |
| NEW JERSEY ENVIRON INF PRER 5. | 645791LL6 | MUNICIP | 10,000 | $12,000 | thousands by filing date | principal |
| METRO TRANSN AUTH NY REV-F 5.0 | 59259YTP4 | MUNICIP | 10,000 | $12,000 | thousands by filing date | principal |
| ALLIANCE DATA SYSTEMS CORP CONV DTD 5/15/2010 4.75% 5/15/2014 | 018581AC2 | CONVERTIBLE | 2,000 | $11,000 | thousands by filing date | principal |
| GEORGIA ST RD & TWY AUTH 5.000 | 37358MBJ9 | MUNICIP | 10,000 | $11,000 | thousands by filing date | principal |
| VIRGIN ISLANDS PUB FIN AUTH 5. | 927676QZ2 | MUNICIP | 10,000 | $11,000 | thousands by filing date | principal |
| NEW YORK GO BDS-E 5.000% 08/01 | 64966HSP6 | MUNICIP | 10,000 | $11,000 | thousands by filing date | principal |
| ADELPHIA COM ESCROW 0.000% DUE | 006ESCAP2 | Common Stock | 1,500,000 | $11,000 | thousands by filing date | principal |
| ROYSE CITY TX INDPT PRERE 0.00 | 780869PG2 | MUNICIP | 10,000 | $10,000 | thousands by filing date | principal |
| ADELPHIA COM ESCROW 0.00% DUE | 006ESCAW7 | Common Stock | 1,000,000 | $7,000 | thousands by filing date | principal |
| FEDERAL NATL MTG ASSN PFD O VAR RATE | 313586794 | Preferred | 400 | $6,000 | thousands by filing date | |
| ESSEX CNTY NJ IMPT AUTH 5.000% | 296807GN4 | MUNICIP | 5,000 | $5,000 | thousands by filing date | principal |
| PORT AUTH OF NY & NJ 4.500% 10 | 73358TMN8 | MUNICIP | 5,000 | $5,000 | thousands by filing date | principal |
| NEW JERSEY ENVIRONMENTAL IN 5. | 645791UY8 | MUNICIP | 5,000 | $5,000 | thousands by filing date | principal |
| NEW YORK N Y UNREF 4.400% 08/0 | 64966JHB5 | MUNICIP | 5,000 | $5,000 | thousands by filing date | principal |
| CARROLL TX INDEP SCH DIST 0.00 | 145231T71 | MUNICIP | 5,000 | $5,000 | thousands by filing date | |
| DEX MEDIA INC | 25213A107 | COM | 464 | $3,000 | thousands by filing date | |
| VERINT SYS INC | 92343X100 | COM | 53 | $2,000 | thousands by filing date | |
| COMVERSE INC | 20585P105 | COM | 41 | $2,000 | thousands by filing date | |
| AT HOME CORP CNV BND REG DEF | 045919AC1 | Conv Bond P2 | 7,185,380 | $1,000 | thousands by filing date | principal |
| ROCKET COMPANIES CLA A CLASS A | 772739207 | COM | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| Lyondell Basell INDU-CL A | NL0009434 | Equities | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| NEWPAGE CORP ESCROW | 651ESCAD7 | Common Stock | 0 | $0 | thousands by filing date | principalValue filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
| SMURFIT STONE CONTAINER ESCROW | 832ESC9C3 | Common Stock | 0 | $0 | thousands by filing date | Value filed as zero, left out of ratios.Amount filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000174 | this filing | 2014-01-28 | acceptance time not in the bulk data set |