13F-HR filed by Concert Wealth Management Inc.
Concert Wealth Management Inc. filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-02, with 705 holding rows worth $738,432,000.
- Accession
- 0001085146-15-002121
- Filer
- CIK 1456534
- Filed
- 2015-11-02
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 751 entries on the cover page, a total value of $738,432,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $738,432,000 with VALUE read as thousands by filing date, 13F file number 028-13474. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAdvisors Asset Management
- included managerAdhesion Wealth Advisor Solutions
- included managerAllianz Global Investors
- included managerColumbia
- included managerEnvestnet
- included managerFrontier Growth & Income
- included managerInvesco Advisers
- included managerLord Abbett
- included managerMerlin Asset Mgt
- included managerSitrin
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 |
|---|---|---|---|---|---|---|
| HCA Healthcare Inc | 40412C101 | COM | 3,747 | $287,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 2,674 | $286,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 18,000 | $286,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 30,398 | $284,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,726 | $283,000 | thousands by filing date | |
| POWERSHARES FDMNL PUR MD VAL | 73935X880 | COM | 11,466 | $283,000 | thousands by filing date | |
| LPL FINL HLDGS INC COM | 50212V100 | Stock | 28,553 | $282,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 GROWTH ETF | 92206C623 | ETF | 2,882 | $280,000 | thousands by filing date | |
| ISHARES INC | 464286301 | CMN | 17,400 | $280,000 | thousands by filing date | |
| EXELON CORP COM | 30161N101 | Stock | 9,397 | $279,000 | thousands by filing date | |
| WILLIAMS SONOMA INC COM | 969904101 | Stock | 3,629 | $279,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,592 | $279,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 8,287 | $279,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 9,613 | $276,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 13,782 | $276,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 5,761 | $276,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 4,102 | $274,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 18,594 | $273,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 9,843 | $266,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 31,614 | $263,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 4,010 | $262,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 5,255 | $260,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X393 | CON STAPLE SEC | 4,865 | $260,000 | thousands by filing date | |
| BB&T CORPORATION | 54937107 | COM | 7,263 | $260,000 | thousands by filing date | The CUSIP as filed is malformed. |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 6,512 | $258,000 | thousands by filing date | |
| AIR LEASE CORP | 00912X302 | CL A | 8,198 | $258,000 | thousands by filing date | |
| BHP BILLITON LIMITED ADR | 88606108 | COM | 8,149 | $258,000 | thousands by filing date | The CUSIP as filed is malformed. |
| PRECISION CASTPARTS CORP | 740189105 | COM | 1,105 | $256,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 5,025 | $255,000 | thousands by filing date | |
| WESTERN ALLIANCE BANCORP COM | 957638109 | Stock | 8,435 | $255,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W778 | INTL MIDCAP DV | 4,780 | $255,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 6,719 | $255,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 3,018 | $254,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 12,210 | $253,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 16,000 | $253,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 11,019 | $253,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 4,525 | $252,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 24,735 | $252,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 10,024 | $252,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 14,313 | $251,000 | thousands by filing date | |
| Broadcom Inc | Y0486S104 | Common | 1,996 | $250,000 | thousands by filing date | |
| ISHARES TR | 464287523 | COM | 3,088 | $249,000 | thousands by filing date | |
| Mallinckrodt Plc | G5785G107 | SHS | 3,933 | $249,000 | thousands by filing date | |
| Vanguard Intermediate-Term Bond ETF | 921937819 | SHS | 2,900 | $248,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 1,858 | $248,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 12,602 | $248,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 42,389 | $248,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 32,114 | $247,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,548 | $246,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 30,894 | $245,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 6,018 | $245,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 16,413 | $245,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 12,605 | $245,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 2,310 | $244,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,968 | $243,000 | thousands by filing date | |
| NVIDIA Corp | 67066G104 | COM | 9,888 | $243,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,900 | $242,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 6,120 | $241,000 | thousands by filing date | |
| BAIDU INC SPONSORED ADR REPSTG ORD SHS | 56752108 | COM | 1,748 | $240,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares Silver Trust | 46428Q109 | COM | 17,175 | $239,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 4,500 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,442 | $237,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 10,597 | $237,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 2,328 | $236,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 2,180 | $235,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 2,055 | $233,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 17,875 | $233,000 | thousands by filing date | |
| F5 INC COM | 315616102 | Stock | 2,005 | $231,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 39,200 | $230,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 5,962 | $230,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 12,033 | $229,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W281 | EMG MKTS SMCAP | 6,472 | $229,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 4,958 | $229,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,765 | $227,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,644 | $226,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 31,882 | $226,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 3,726 | $225,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 2,851 | $225,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 3,074 | $225,000 | thousands by filing date | |
| COMERICAINC | 200340107 | COM | 5,459 | $224,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 20,573 | $223,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 3,492 | $221,000 | thousands by filing date | |
| HD SUPPLY HLDGS INC | 40416M105 | COM | 7,764 | $221,000 | thousands by filing date | |
| KLA CORP | 482480100 | COM | 4,381 | $220,000 | thousands by filing date | |
| GABELLI MULTIMEDIA TR INC | 36239Q109 | COM | 29,126 | $219,000 | thousands by filing date | |
| NETEASE COM INC SPONSORED ADS | 64110W102 | ADR | 1,807 | $218,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 4,083 | $216,000 | thousands by filing date | |
| FULLER H B CO COM | 359694106 | Stock | 6,346 | $216,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 5,498 | $215,000 | thousands by filing date | |
| NNN REIT INC COM | 637417106 | REIT | 5,899 | $214,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 8,858 | $214,000 | thousands by filing date | principal |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 99,790 | $213,000 | thousands by filing date | |
| TERNIUM SA | 880890108 | SPONSORED ADS | 17,081 | $212,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 6,928 | $212,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 15,262 | $212,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 3,337 | $212,000 | thousands by filing date | |
| Au Optronics Corp. Sponsored ADR | 2255107 | EQUITY | 71,118 | $212,000 | thousands by filing date | The CUSIP as filed is malformed. |
| WHIRLPOOL CORP COM | 963320106 | Stock | 1,446 | $211,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 23,020 | $210,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 5,556 | $209,000 | thousands by filing date | |
| DBX ETF TR | 233051754 | XTRACK CSI 500 A | 5,711 | $209,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 4,862 | $208,000 | thousands by filing date | |
| MCDERMOTT INTL INC | 580037109 | COM | 49,079 | $208,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 4,543 | $207,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 11,045 | $207,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 2,911 | $206,000 | thousands by filing date | |
| CHENIERE ENERGY INC COM NEW | 16411R208 | Stock | 4,218 | $205,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W877 | GLB HIGH DIV FD | 5,369 | $205,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 8,514 | $203,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 1,682 | $202,000 | thousands by filing date | |
| BAKER HUGHES INC. | 57224107 | COM | 3,840 | $202,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,141 | $200,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 23,947 | $200,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 18,200 | $200,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X867 | CMN | 5,786 | $200,000 | thousands by filing date | |
| MOBILE MINI INC | 60740F105 | COM | 6,487 | $200,000 | thousands by filing date | |
| THE ADT CORPORATION | 00101J106 | COM | 6,685 | $200,000 | thousands by filing date | |
| SIBANYE GOLD LTD | 825724206 | SPONSORED ADR | 42,942 | $200,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 27,445 | $198,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 13,252 | $198,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 18,212 | $197,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 13,071 | $196,000 | thousands by filing date | |
| BANK OF AMERICA CORP | 60505146 | *W EXP 01/16/2019 | 34,047 | $194,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 13,710 | $192,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 12,332 | $192,000 | thousands by filing date | |
| BANCROFT FUND LTD COM | 59695106 | COM | 10,242 | $191,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ABERDEEN AUSTRALIA EQTY FD I | 3011103 | COM | 34,573 | $186,000 | thousands by filing date | The CUSIP as filed is malformed. |
| iShares Gold Trust | 464285105 | ISHARES | 17,342 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 11,891 | $178,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 17,869 | $177,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 32,083 | $177,000 | thousands by filing date | |
| MANULIFE FINL CORP | 56501R106 | COM | 11,290 | $175,000 | thousands by filing date | |
| BLACKROCK MUNICIPL INC QL | 92479104 | TYCOM | 12,647 | $175,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MARATHON OIL CORP | 565849106 | COM | 11,385 | $173,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 16,982 | $170,000 | thousands by filing date | |
| ECOPETROL S A SPONSORED ADS | 279158109 | ADR | 19,962 | $169,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 21,040 | $169,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION | 92508100 | COM | 13,953 | $168,000 | thousands by filing date | The CUSIP as filed is malformed. |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 14,099 | $167,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 11,224 | $161,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 10,700 | $161,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 11,879 | $158,000 | thousands by filing date | |
| COMPANHIA BRASILEIRA DE DIST | 20440T201 | SPN ADR PFD CL A | 12,533 | $157,000 | thousands by filing date | |
| Heritage Commerce Corp | 426927109 | Common Stock | 13,398 | $154,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 11,513 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 11,538 | $153,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 10,500 | $151,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 14,918 | $147,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 11,667 | $147,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 15,220 | $146,000 | thousands by filing date | |
| RR DONNELLEY + SONS CO | 257867101 | COM | 10,126 | $146,000 | thousands by filing date | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 36,930 | $142,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 13,141 | $141,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 14,104 | $139,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 19,400 | $139,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 15,452 | $139,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 13,042 | $138,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 10,482 | $132,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 135,786 | $130,000 | thousands by filing date | |
| Allianzgi Conv & Income Fund | 18828103 | COM | 20,623 | $121,000 | thousands by filing date | The CUSIP as filed is malformed. |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 14,427 | $119,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 17,170 | $115,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 25,900 | $113,000 | thousands by filing date | |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 11,990 | $109,000 | thousands by filing date | |
| GLOBEIMMUNE INC | 37957B100 | COM | 10,230 | $108,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 16,889 | $106,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 20,381 | $97,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 12,621 | $97,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 12,000 | $94,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 92,435 | $91,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 14,858 | $89,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 16,995 | $89,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 19,370 | $88,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 10,148 | $87,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 50,000 | $79,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 96,949 | $78,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 12,030 | $77,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROW | 92524107 | COM BENE INTER | 12,443 | $77,000 | thousands by filing date | The CUSIP as filed is malformed. |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 11,684 | $74,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 16,259 | $70,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 10,950 | $63,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 13,369 | $60,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 12,470 | $59,000 | thousands by filing date | |
| MIND C T I LTD | M70240102 | ORD | 21,042 | $58,000 | thousands by filing date | |
| ATOSSA GENETICS INC | 04962H100 | COM | 71,942 | $55,000 | thousands by filing date | |
| CIA ENERGETICA DE MINAS GERA | 204409601 | SP ADR N-V PFD | 26,716 | $48,000 | thousands by filing date | |
| G WILLI FOOD INTL LTD | M52523103 | ORD | 10,402 | $46,000 | thousands by filing date | |
| ALCATEL-LUCENT - SPONSORED ADR | 13904305 | COM | 12,277 | $46,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 45,939 | $45,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 41,666 | $45,000 | thousands by filing date | |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 14,829 | $43,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 12,655 | $42,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 55,360 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 20,000 | $33,000 | thousands by filing date | |
| WI-LAN INC | 928972108 | COM | 12,770 | $24,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 11,609 | $24,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 13,805 | $22,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 78314101 | COM | 11,100 | $16,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MAJESCO ENTERTAINMENT CO COM PAR NEW | 560690307 | Stock | 10,000 | $12,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 10,000 | $4,000 | thousands by filing date | call |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 19,688 | $4,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 10,000 | $2,000 | thousands by filing date | call |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 10,900 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| CITIGROUP INC | 172967234 | *W EXP 10/28/201 | 20,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MCDERMOTT INTL INC | 580037109 | COM | 12,600 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-15-002121 | this filing | 2015-11-02 | acceptance time not in the bulk data set |