13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-10-24, with 753 holding rows worth $1,313,838,000.
- Accession
- 0001085146-14-002011
- Filer
- CIK 1492262
- Filed
- 2014-10-24
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 753 entries on the cover page, a total value of $1,313,838,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,313,838,000 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 |
|---|---|---|---|---|---|---|
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 25,400 | $360,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 24,721 | $359,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 4,122 | $358,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 54,448 | $357,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 6,123 | $356,000 | thousands by filing date | |
| DOVER CORP COM | 260003108 | Stock | 4,433 | $354,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 6,712 | $354,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 38,045 | $353,000 | thousands by filing date | |
| PVH CORPORATION COM | 693656100 | Stock | 2,900 | $352,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 8,967 | $352,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,972 | $351,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 8,976 | $349,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W208 | US HIGH DIVIDEND | 5,892 | $349,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 5,198 | $348,000 | thousands by filing date | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 11,530 | $347,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 3,513 | $347,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 14,500 | $346,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 10,611 | $346,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,879 | $343,000 | thousands by filing date | |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 4,633 | $343,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 507 | $342,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 4,700 | $342,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 3,725 | $342,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 4,414 | $339,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 26,467 | $338,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 8,330 | $337,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 4,274 | $334,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 9,857 | $333,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 9,075 | $333,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 5,271 | $333,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 7,007 | $327,000 | thousands by filing date | |
| ALLIANT ENERGY CORP COM | 018802108 | Stock | 5,753 | $325,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 3,558 | $323,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M102 | COM SH BEN INT | 12,024 | $323,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 8,920 | $323,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,295 | $323,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 28,565 | $322,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 6,416 | $322,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 3,185 | $320,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 5,703 | $318,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 47,241 | $318,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 23,259 | $316,000 | thousands by filing date | |
| BCE INC COM NEW | 05534B760 | Stock | 7,323 | $314,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 37,750 | $314,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 14,401 | $313,000 | thousands by filing date | |
| ISHARES TR | 464288729 | GLOB INDSTRL ETF | 4,480 | $309,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 8,081 | $309,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,916 | $308,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 4,272 | $306,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R100 | MULTI ASSET DI | 14,207 | $306,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 4,659 | $304,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 6,767 | $304,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 6,771 | $304,000 | thousands by filing date | |
| PROSHARES TR | 74347X310 | CMN | 7,208 | $303,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 17,244 | $301,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 4,427 | $301,000 | thousands by filing date | |
| iShares U.S. Oil & Gas Exploration & Production ETF | 464288851 | SHS | 3,593 | $300,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 30,089 | $299,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 73,450 | $299,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 17,610 | $297,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 24,593 | $295,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 29,656 | $295,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 640 | $294,000 | thousands by filing date | |
| BIOMED REALTY TRUST COM | 09063h107 | COM | 14,602 | $294,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 16,334 | $294,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,887 | $293,000 | thousands by filing date | |
| REGENCY CTRS CORP COM | 758849103 | REIT | 5,357 | $291,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 4,289 | $291,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 5,289 | $288,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 3,200 | $284,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,571 | $282,000 | thousands by filing date | |
| HARLEY DAVIDSON INC COM | 412822108 | Stock | 4,711 | $280,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 10,784 | $280,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 6,300 | $279,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 11,843 | $279,000 | thousands by filing date | |
| AMREIT INC | 03216B208 | CL B | 12,262 | $278,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 2,387 | $277,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 8,526 | $276,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 6,384 | $276,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 6,727 | $276,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 3,700 | $276,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,932 | $275,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 7,218 | $275,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 20,400 | $273,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 6,000 | $273,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 8,050 | $272,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 17,679 | $270,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 3,602 | $268,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTGB | 73936T623 | COM | 11,921 | $267,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 15,078 | $267,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 8,146 | $265,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 28,676 | $264,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 4,505 | $264,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 17,100 | $261,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,692 | $260,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,035 | $259,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 3,516 | $259,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 2,486 | $258,000 | thousands by filing date | |
| WISCONSIN ENERGY CORP | 976657106 | COMMON STOCK | 5,880 | $258,000 | thousands by filing date | |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 5,790 | $257,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 3,500 | $256,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 4,475 | $256,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 11,908 | $256,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,592 | $255,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 9,322 | $253,000 | thousands by filing date | |
| iShares Core S&P Total U.S. Stock Market ETF | 464287150 | SHS | 2,821 | $252,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 7,560 | $250,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 1,929 | $250,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 6,758 | $247,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 5,402 | $246,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 20,944 | $246,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 2,013 | $246,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,202 | $245,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 8,739 | $243,000 | thousands by filing date | |
| ENTERPRISE FINL SVCS CORP | 293712105 | COM | 14,500 | $242,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 4,592 | $242,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,578 | $241,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 3,708 | $240,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 18,846 | $239,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 9,105 | $237,000 | thousands by filing date | |
| H & Q LIFE SCIENCES INVS | 404053100 | EXCHANGE TRADED | 10,713 | $237,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 8,861 | $237,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 6,393 | $236,000 | thousands by filing date | |
| CHURCH & DWIGHT CO INC COM | 171340102 | Stock | 3,380 | $236,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 5,214 | $235,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 4,030 | $235,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 23,700 | $234,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,801 | $231,000 | thousands by filing date | |
| HORMEL FOODS CORP COM | 440452100 | Stock | 4,456 | $231,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 24,948 | $229,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 19,550 | $228,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 2,068 | $227,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 112,200 | $227,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,039 | $225,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,128 | $225,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,814 | $224,000 | thousands by filing date | |
| PROSHARES TR | 74347R727 | PSHS ULTRA INDL | 2,196 | $224,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 11,250 | $224,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 7,106 | $221,000 | thousands by filing date | |
| DBX ETF TR XTRACK HRVST CSI | 233051879 | XTRACK HRVST CSI | 8,600 | $221,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 4,084 | $218,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,474 | $218,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 11,349 | $218,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 7,323 | $217,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 1,671 | $217,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,510 | $216,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 14,652 | $215,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 9,445 | $214,000 | thousands by filing date | |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 4,434 | $213,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 5,414 | $212,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 14,200 | $211,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,762 | $211,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 9,285 | $211,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 4,850 | $210,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 9,368 | $209,000 | thousands by filing date | |
| GLOBAL X | 37950E275 | GBLX URANIUM NEW | 16,908 | $209,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 1,305 | $207,000 | thousands by filing date | |
| ISHARES NYSE COMPOSITE INDEX | 464287143 | COM | 2,135 | $207,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,700 | $206,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,869 | $204,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 2,401 | $204,000 | thousands by filing date | |
| PERRIGO CO PLC SHS | G97822103 | Stock | 1,317 | $204,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 4,786 | $204,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 1,982 | $203,000 | thousands by filing date | |
| AMETEK INC COM | 031100100 | Stock | 4,059 | $203,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 11,595 | $203,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 3,105 | $202,000 | thousands by filing date | |
| FARMLAND PARTNERS INC | 31154R109 | REIT | 19,750 | $200,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 30,500 | $199,000 | thousands by filing date | |
| ISHARES TR | 464288539 | MRTG PLS CAP IDX | 16,828 | $199,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 17,483 | $198,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 27,666 | $198,000 | thousands by filing date | |
| CONTROL4 CORP | 21240D107 | COM | 15,000 | $198,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 21,369 | $197,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 66,026 | $195,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 43,908 | $190,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 12,985 | $188,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 49,751 | $186,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 12,723 | $185,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 17,480 | $182,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 10,840 | $180,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 31,000 | $178,000 | thousands by filing date | |
| DOW 30SM ENHANCED PREM & INC | 260537105 | COM | 13,100 | $173,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 21,372 | $170,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 15,160 | $169,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 18,695 | $169,000 | thousands by filing date | |
| SPHERIX INC | 84842R304 | COM PAR $0.01 | 140,000 | $167,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 21,693 | $163,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 14,477 | $161,000 | thousands by filing date | |
| DWS Mun Income Tr | 25160C106 | COM | 12,238 | $161,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 15,893 | $153,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 16,171 | $149,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,315 | $149,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 17,125 | $148,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 26,664 | $146,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 10,463 | $145,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 22,225 | $142,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 15,391 | $142,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 10,398 | $141,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 10,140 | $139,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 16,500 | $138,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 13,325 | $137,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 16,080 | $137,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 14,269 | $135,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 11,371 | $132,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 20,559 | $132,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 12,266 | $131,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 10,700 | $130,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 16,962 | $129,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 11,719 | $129,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 11,000 | $123,000 | thousands by filing date | |
| APEX SILVER MINES LTD ORD | 37950E853 | COM | 12,149 | $121,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 14,211 | $119,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 15,243 | $118,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 145,000 | $117,000 | thousands by filing date | |
| CUSHING MLP TOTAL RETURN FD | 231631102 | COM SHS | 14,100 | $117,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 10,655 | $116,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 10,293 | $113,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 12,953 | $109,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 11,277 | $108,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 16,293 | $104,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 12,400 | $103,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 19,239 | $101,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,315 | $98,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 30,469 | $95,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 10,441 | $93,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,475 | $93,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 51,492 | $91,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 82,200 | $90,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,846 | $82,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 13,225 | $77,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 30,606 | $75,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 10,075 | $71,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 18,027 | $70,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 10,000 | $65,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 12,249 | $60,000 | thousands by filing date | |
| PRIMERO MNG CORP | 74164W106 | COM | 11,770 | $52,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 10,021 | $47,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 11,475 | $39,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 12,200 | $36,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 22,899 | $31,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 31,099 | $30,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 15,215 | $29,000 | thousands by filing date | |
| NEONODE INC | 64051M402 | COM NEW | 13,000 | $28,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 13,190 | $20,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 21,872 | $16,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 37,690 | $14,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 12,000 | $14,000 | thousands by filing date | |
| TRIPADVISOR INC | 896945201 | COM | 27,000 | $12,000 | thousands by filing date | call |
| U S GEOTHERMAL INC | 90338S102 | COM | 18,900 | $11,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 15,000 | $6,000 | thousands by filing date | |
| GABELLI EQUITY TR INC | 362397184 | RIGHT 10/20/2014 | 22,288 | $2,000 | 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 0001085146-14-002011 | this filing | 2014-10-24 | acceptance time not in the bulk data set |