13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-04-14, with 715 holding rows worth $1,160,347,000.
- Accession
- 0001085146-14-000863
- Filer
- CIK 1492262
- Filed
- 2014-04-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 715 entries on the cover page, a total value of $1,160,347,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,160,347,000 with VALUE read as thousands by filing date, 13F file number 028-13971. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerPRUDENTIAL PLC028-03582
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 |
|---|---|---|---|---|---|---|
| VGT | 92204A702 | SHS | 3,765 | $349,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 11,978 | $347,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 6,652 | $346,000 | thousands by filing date | |
| Vanguard S&P Mid-Cap 400 ETF | 921932885 | SHS | 3,680 | $345,000 | thousands by filing date | |
| CALAVO GROWERS INC | 128246105 | COM | 9,634 | $345,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 10,247 | $344,000 | thousands by filing date | |
| OREILLY AUTOMOTIVE INC COM | 67103H107 | Stock | 2,289 | $342,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 7,709 | $336,000 | thousands by filing date | |
| ISHARES TR | 464288661 | 3 7 YR TREAS BD | 2,798 | $336,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 3,212 | $335,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 12,014 | $335,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 25,984 | $334,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 6,499 | $332,000 | thousands by filing date | |
| Pentair Inc | H6169Q108 | PNR | 4,119 | $332,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 6,596 | $332,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 2,530 | $331,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 4,802 | $330,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 26,045 | $329,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,781 | $328,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 22,931 | $327,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 3,214 | $326,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 32,106 | $324,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 3,389 | $322,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 5,641 | $321,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 4,389 | $321,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 7,323 | $318,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 13,755 | $317,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 6,063 | $316,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 862 | $313,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 5,380 | $313,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 23,259 | $311,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 2,309 | $309,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 7,213 | $309,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 5,303 | $308,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 3,622 | $307,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 6,909 | $305,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 6,887 | $304,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 38,416 | $303,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 14,500 | $302,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 31,795 | $302,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 12,048 | $302,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 3,039 | $301,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 5,362 | $301,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 4,032 | $300,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 9,104 | $299,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 8,357 | $298,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 11,207 | $296,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 511 | $294,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 24,250 | $294,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 8,401 | $291,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 4,359 | $289,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 7,734 | $289,000 | thousands by filing date | |
| BIOMED REALTY TRUST COM | 09063h107 | COM | 14,263 | $289,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 16,295 | $287,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 5,440 | $283,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 3,917 | $282,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 3,627 | $282,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 7,972 | $281,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 19,982 | $280,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 2,795 | $279,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 11,293 | $278,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 8,318 | $277,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 5,357 | $275,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 4,661 | $275,000 | thousands by filing date | |
| NORTHERN LTS ETF TR | 66537H105 | ARROW DJ GLOBL | 10,145 | $275,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 38,936 | $272,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 27,604 | $267,000 | thousands by filing date | |
| YELP INC CL A | 985817105 | Stock | 3,500 | $265,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,443 | $262,000 | thousands by filing date | |
| KAYNE ANDERSON ENERGY | 486606106 | COM | 7,187 | $261,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 22,900 | $261,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 5,402 | $260,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 10,176 | $260,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 4,651 | $256,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 10,370 | $253,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 3,666 | $252,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 3,568 | $252,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,253 | $249,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 8,398 | $247,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X143 | HLTH CARE ALPH | 4,787 | $247,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 9,807 | $247,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 5,816 | $247,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 10,778 | $247,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 3,621 | $247,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 3,502 | $246,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 2,816 | $244,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 1,914 | $244,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 3,516 | $244,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 5,503 | $243,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 10,007 | $242,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,024 | $241,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 16,921 | $240,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 16,800 | $240,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,918 | $240,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 19,050 | $239,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 4,960 | $238,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 5,579 | $237,000 | thousands by filing date | |
| PROSHARES TR | 74347R727 | PSHS ULTRA INDL | 2,219 | $237,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,858 | $235,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 4,008 | $235,000 | thousands by filing date | |
| DST SYS INC DEL | 233326107 | COM | 2,424 | $234,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 7,056 | $233,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 7,847 | $233,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 4,716 | $233,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 9,022 | $232,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 2,674 | $231,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 7,066 | $231,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 10,322 | $231,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 20,350 | $229,000 | thousands by filing date | |
| ISIS PHARMACEUTICALS INC | 464330109 | COM | 5,400 | $228,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,300 | $226,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 6,350 | $225,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 4,060 | $223,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,719 | $222,000 | thousands by filing date | |
| ROSS STORES INC COM | 778296103 | Stock | 3,013 | $221,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 8,529 | $221,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 2,050 | $221,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,065 | $220,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 2,790 | $220,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 4,187 | $219,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 14,322 | $218,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 3,110 | $218,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 5,858 | $216,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 3,022 | $215,000 | thousands by filing date | |
| CALUMET SPECIALTY PRODS PART | 131476103 | COM | 8,175 | $215,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 20,259 | $215,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 4,059 | $214,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,480 | $214,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,474 | $213,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 4,391 | $213,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,700 | $212,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,918 | $212,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,588 | $212,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 7,288 | $212,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 17,483 | $212,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 4,358 | $211,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,736 | $210,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 12,614 | $209,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 6,608 | $208,000 | thousands by filing date | |
| ROCKWELL AUTOMATION INC COM | 773903109 | Stock | 1,649 | $208,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 39,147 | $207,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 8,686 | $206,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 2,135 | $206,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 4,360 | $205,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 18,564 | $205,000 | thousands by filing date | |
| EGA EMERGING GLOBAL SHS TR | 268461829 | EGS BRAZ INF ETF | 12,380 | $204,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 14,200 | $203,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 21,446 | $201,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 2,900 | $200,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 29,300 | $187,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 18,343 | $184,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 137,500 | $183,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 10,875 | $182,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 10,095 | $181,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 18,025 | $178,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 16,793 | $177,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 24,581 | $177,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 13,100 | $176,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 12,320 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 11,490 | $170,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 10,250 | $170,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 21,926 | $170,000 | thousands by filing date | |
| WESTERN ASSET EMRG MKT INCM | 95766E103 | COM | 13,795 | $169,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 11,315 | $168,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 11,129 | $166,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 12,624 | $161,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 12,149 | $158,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 11,000 | $152,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 16,125 | $150,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 15,234 | $149,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 45,337 | $146,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 15,943 | $142,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 37,000 | $141,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 14,710 | $138,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 15,725 | $132,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 11,371 | $132,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 10,655 | $130,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 40,094 | $128,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 10,312 | $128,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 14,742 | $127,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 61,388 | $127,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 10,700 | $124,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 12,360 | $120,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,475 | $118,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 27,425 | $116,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 45,817 | $113,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 10,529 | $111,000 | thousands by filing date | |
| ING GLOBAL EQUITY DIVID & | 45684E107 | COM | 11,561 | $106,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 18,700 | $104,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 17,000 | $102,000 | thousands by filing date | |
| ING | 44977W106 | EXCHANGE TRADED | 17,169 | $99,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 17,667 | $99,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 22,608 | $98,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 32,538 | $97,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 17,396 | $87,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 82,200 | $87,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 11,787 | $86,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 15,192 | $83,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 12,485 | $82,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 16,134 | $78,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 14,546 | $76,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 23,100 | $74,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 10,000 | $69,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 12,249 | $68,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 10,939 | $59,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 19,500 | $47,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 20,496 | $38,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 11,475 | $38,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 16,250 | $36,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 24,895 | $27,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 48,040 | $16,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 10,000 | $14,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 15,000 | $9,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 10,900 | $8,000 | thousands by filing date | |
| DEJOUR ENTERPRISES LTD | 24486R103 | COM | 10,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000863 | this filing | 2014-04-14 | acceptance time not in the bulk data set |