13F-HR filed by Private Advisor Group, LLC
Private Advisor Group, LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-13, with 734 holding rows worth $895,585,000.
- Accession
- 0001085146-14-000579
- Filer
- CIK 1567755
- Filed
- 2014-02-13
- 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, 734 entries on the cover page, a total value of $895,585,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $895,585,000 with VALUE read as thousands by filing date, 13F file number 028-15851. 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 |
|---|---|---|---|---|---|---|
| SAGENT PHARMACEUTICALS INC | 786692103 | COM | 13,312 | $338,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 4,093 | $337,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 7,642 | $336,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 5,453 | $334,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 25,485 | $332,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 12,733 | $331,000 | thousands by filing date | |
| DOUBLELINE OPPORTUNISTIC CR | 258623107 | COM | 14,726 | $329,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 18,459 | $328,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 21,544 | $325,000 | thousands by filing date | |
| MARKET VECTORS | 57061R791 | ETF TR PFD SEC EXFINL | 17,225 | $325,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 2,381 | $323,000 | thousands by filing date | |
| CEDAR FAIR L P | 150185106 | DEPOSITRY UNIT | 6,521 | $323,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,645 | $322,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X119 | CONSUMR STAPLE | 8,989 | $321,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 9,730 | $321,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 20,449 | $317,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 2,712 | $316,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 2,090 | $314,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 4,730 | $314,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 4,165 | $313,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 6,034 | $313,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 8,855 | $313,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 5,665 | $312,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 39,148 | $312,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 6,164 | $312,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 1,854 | $311,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 31,145 | $311,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M409 | SML CAP VAL ALPH | 9,750 | $311,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 3,265 | $309,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 5,311 | $305,000 | thousands by filing date | |
| VANGUARD HEALTH CARE ETF | 92204A504 | ETF | 2,977 | $301,000 | thousands by filing date | |
| SUN LIFE FINANCIAL INC. COM | 866796105 | Stock | 8,347 | $295,000 | thousands by filing date | |
| GREEN MTN COFFEE ROASTERS IN | 393122106 | COM | 3,893 | $294,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,795 | $292,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 13,161 | $288,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 7,728 | $288,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 5,208 | $288,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 27,153 | $288,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 4,016 | $286,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,642 | $284,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 2,959 | $283,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 3,380 | $280,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 5,895 | $279,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,619 | $279,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 2,147 | $279,000 | thousands by filing date | |
| SHENANDOAH TELECOMMUNICATION | 82312B106 | COMMON STOCK | 10,814 | $278,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 13,764 | $278,000 | thousands by filing date | |
| HUANENG PWR INTL INC | 443304100 | SPON ADR H SHS | 7,670 | $278,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 14,243 | $278,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 14,484 | $276,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 7,500 | $276,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 12,313 | $276,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 28,001 | $272,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 3,850 | $271,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 4,244 | $270,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B200 | ETF - EQUITY | 6,900 | $270,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 6,219 | $269,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 1,777 | $269,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 29,276 | $268,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 11,415 | $267,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 11,450 | $267,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 8,000 | $265,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 4,226 | $262,000 | thousands by filing date | |
| Vanguard Communication Services ETF | 92204A884 | SHS | 3,121 | $261,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 924 | $258,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 5,940 | $258,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 6,009 | $256,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 5,120 | $255,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 18,382 | $255,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E401 | NASDAQ 100 EX | 7,300 | $254,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 5,414 | $254,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 5,113 | $253,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE DYNAMIC | 33848W106 | SHS | 12,342 | $253,000 | thousands by filing date | |
| HASBRO INC COM | 418056107 | Stock | 4,580 | $252,000 | thousands by filing date | |
| ISHARES INC MSCI STH KOR ETF | 464286772 | MSCI STH KOR ETF | 3,889 | $252,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 5,621 | $252,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS INC | 67020Y100 | COM | 16,514 | $251,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 4,039 | $249,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 1,850 | $249,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 4,049 | $248,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 7,539 | $248,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 4,992 | $248,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 23,719 | $248,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 3,485 | $245,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 8,312 | $245,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 13,000 | $245,000 | thousands by filing date | |
| POWERSHARES EXCHANGE | 73937B647 | S&P400 LOVL PT | 8,737 | $245,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 27,050 | $244,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W791 | GUG S&P500EQWTUT | 3,855 | $244,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 4,191 | $242,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 4,141 | $242,000 | thousands by filing date | |
| ENERGIZER HLDGS INC | 29266R108 | COM | 2,240 | $242,000 | thousands by filing date | |
| XCELENERGY INC | 98389B100 | COM | 8,610 | $241,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 30,445 | $241,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 14,318 | $241,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 6,123 | $240,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 2,671 | $240,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 1,294 | $239,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 13,427 | $237,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 4,765 | $235,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 13,290 | $235,000 | thousands by filing date | |
| TOTAL SYS SVCS INC | 891906109 | COM | 7,052 | $235,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 2,429 | $234,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 3,406 | $234,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 11,948 | $234,000 | thousands by filing date | |
| MARKELGROUPINC | 570535104 | STOK | 402 | $233,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,331 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 5,753 | $231,000 | thousands by filing date | |
| Morningstar Wide Moat | 57060U134 | Common | 7,960 | $230,000 | thousands by filing date | |
| NATIONAL FUEL GAS CO COM | 636180101 | Stock | 3,213 | $229,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,809 | $229,000 | thousands by filing date | |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 2,145 | $229,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 3,681 | $228,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 5,731 | $228,000 | thousands by filing date | |
| ISHARES | 464286830 | EXCHANGE TRADED | 14,390 | $228,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 1,679 | $227,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T107 | COM | 9,771 | $226,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 3,431 | $225,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 22,600 | $225,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INDL SEC | 73935X369 | COM | 4,704 | $224,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W700 | GUG S&P SC600 PV | 3,600 | $224,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,682 | $223,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,949 | $223,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 4,232 | $223,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 13,400 | $221,000 | thousands by filing date | |
| NUVEEN BUILD AMER BD OPPTNY | 67074q102 | COM | 16,916 | $221,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 2,426 | $220,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 8,410 | $220,000 | thousands by filing date | |
| LTC PPTYS INC COM | 502175102 | REIT | 6,181 | $219,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 18,040 | $219,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 20,555 | $219,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 1,976 | $218,000 | thousands by filing date | |
| CAPITAL ONE FINL CORP | 14040H105 | COM | 2,830 | $217,000 | thousands by filing date | |
| PRICE T ROWE GROUP INC COM | 74144T108 | Stock | 2,573 | $216,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 8,463 | $215,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 11,254 | $215,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 12,415 | $214,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,403 | $213,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 6,525 | $213,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P | 96950F104 | COM UNIT L P | 4,189 | $213,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 13,247 | $212,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 2,899 | $212,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 3,768 | $212,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q207 | DWA EMRG MKTS | 11,690 | $212,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 2,809 | $210,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 8,586 | $209,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 35,789 | $209,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 3,530 | $208,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 564 | $208,000 | thousands by filing date | |
| PPG INDS INC COM | 693506107 | Stock | 1,096 | $208,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 5,016 | $208,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 4,909 | $208,000 | thousands by filing date | |
| ENDO HEALTH SOLUTIONS INC | 29264F205 | COM | 3,084 | $208,000 | thousands by filing date | |
| REALTY INCOME CORP COM | 756109104 | REIT | 5,477 | $205,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 5,059 | $204,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 18,655 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 6,137 | $203,000 | thousands by filing date | |
| PVR PARTNERS L P | 693665101 | COM UNIT REPTG L | 7,557 | $203,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,460 | $201,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 11,551 | $201,000 | thousands by filing date | |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 2,238 | $201,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 10,517 | $200,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J125 | LATIN AMER ALP | 8,500 | $200,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 16,420 | $200,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 2,085 | $200,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 17,688 | $198,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 14,900 | $195,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 10,938 | $193,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 16,303 | $192,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 15,640 | $185,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 14,530 | $184,000 | thousands by filing date | |
| ORANGE SPONSORED ADR | 684060106 | SPONSORED ADR | 14,755 | $182,000 | thousands by filing date | |
| NUVEEN NJ INVT QUALITY MUN F | 670971100 | COM | 13,627 | $176,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 15,260 | $172,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 24,100 | $172,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 19,531 | $170,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 11,797 | $170,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,934 | $166,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 91,450 | $166,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 11,967 | $164,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 10,208 | $163,000 | thousands by filing date | |
| SUNEDISON INC | 86732Y109 | COM | 12,527 | $163,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 13,300 | $161,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 12,308 | $161,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 11,929 | $161,000 | thousands by filing date | |
| GLOBAL GEOPHYSICAL SERVICES | 37946S107 | COM | 99,233 | $160,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 13,189 | $159,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,107 | $153,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 12,621 | $146,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 15,404 | $144,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 12,168 | $144,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 15,428 | $141,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 15,508 | $140,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 10,593 | $139,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 17,371 | $139,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 23,267 | $138,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 11,579 | $135,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 16,325 | $133,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,415 | $133,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 10,250 | $124,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 14,341 | $120,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 12,375 | $116,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 10,226 | $113,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 21,909 | $110,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 17,800 | $110,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 12,615 | $108,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 10,050 | $108,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 53,932 | $106,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 15,952 | $105,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 17,213 | $103,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 12,203 | $96,000 | thousands by filing date | |
| NATIONAL BK GREECE S A | 633643705 | SPN ADR REP 1 SH | 16,926 | $95,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 15,098 | $87,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 23,349 | $87,000 | thousands by filing date | |
| CALLAWAY GOLF CO | 131193104 | COM | 10,254 | $86,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,958 | $86,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 17,039 | $86,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 26,500 | $78,000 | thousands by filing date | |
| PETROBRAS ARGENTINA SA-B | 71646J109 | CMN | 13,500 | $75,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 14,700 | $58,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 13,073 | $50,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 16,627 | $48,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 14,358 | $45,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 12,500 | $40,000 | thousands by filing date | |
| SUMMER INFANT INC | 865646103 | COMM STK | 20,000 | $36,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 10,200 | $34,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 17,150 | $34,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 11,150 | $33,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 10,000 | $31,000 | thousands by filing date | |
| REDIFFCOM INDIA LTD | 757479100 | ADR | 13,550 | $31,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 30,000 | $29,000 | thousands by filing date | principal |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 25,000 | $26,000 | thousands by filing date | principal |
| MELA SCIENCES INC | 55277R100 | COM | 20,000 | $13,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 12,100 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000579 | this filing | 2014-02-13 | acceptance time not in the bulk data set |