13F-HR filed by National Planning Corp
National Planning Corp filed this 13F-HR for the quarter ended 2015-12-31, filed 2016-02-16, with 729 holding rows worth $1,219,830,000.
- Accession
- 0001085146-16-003227
- Filer
- CIK 1492262
- Filed
- 2016-02-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2015
A holdings report, 729 entries on the cover page, a total value of $1,219,830,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,219,830,000 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 |
|---|---|---|---|---|---|---|
| ST JUDE MED INC | 790849103 | COM | 6,182 | $317,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 9,118 | $316,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 5,608 | $315,000 | thousands by filing date | |
| BIOCRYST PHARMACEUTICALS INC COM | 09058V103 | Stock | 51,300 | $315,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 15,900 | $315,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 7,486 | $314,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 26,205 | $314,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 8,718 | $314,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 5,478 | $313,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 15,143 | $312,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 15,810 | $311,000 | thousands by filing date | |
| NUVEEN NASDAQ 100 DYNAMIC OV | 670699107 | COM SHS | 18,412 | $309,000 | thousands by filing date | |
| SILICONWARE PRECISION INDS L | 827084864 | SPONSD ADR SPL | 40,283 | $309,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 16,723 | $307,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 2,280 | $306,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 31,796 | $306,000 | thousands by filing date | |
| DISCOVER FINL SVCS | 254709108 | COM | 6,499 | $301,000 | thousands by filing date | |
| ISHARES TR | 464289438 | RUS TP200 GR ETF | 6,128 | $300,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 2,551 | $300,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 51,483 | $299,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 4,257 | $297,000 | thousands by filing date | |
| NEW JERSEY RES CORP | 646025106 | COM | 8,604 | $297,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 9,343 | $297,000 | thousands by filing date | |
| SPIRIT AIRLS INC | 848577102 | COM | 6,918 | $294,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 4,935 | $291,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W406 | US AI ENHANCED | 4,255 | $291,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 399 | $290,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D101 | NO AMER ENERGY | 14,300 | $290,000 | thousands by filing date | |
| LA JOLLA PHARMACEUTICAL CO | 503459604 | COM PAR $.0001 2 | 19,025 | $288,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 14,371 | $286,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 3,193 | $284,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 21,605 | $281,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 5,833 | $280,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 34,450 | $280,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 15,844 | $279,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 3,640 | $279,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 29,394 | $277,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 3,994 | $276,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 9,346 | $276,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 11,536 | $276,000 | thousands by filing date | |
| WESTERN ASSET PREMIER BD FD | 957664105 | SHS BEN INT | 23,020 | $275,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD ARIZ FD | 09254K109 | COM | 16,600 | $275,000 | thousands by filing date | |
| OTTER TAIL CORP | 689648103 | COM | 9,663 | $274,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 29,106 | $274,000 | thousands by filing date | |
| PSYCHEMEDICS CORP | 744375205 | COM NEW | 26,082 | $274,000 | thousands by filing date | |
| HENRY JACK & ASSOC INC | 426281101 | COM | 3,473 | $273,000 | thousands by filing date | |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 5,073 | $271,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 6,256 | $271,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 4,897 | $271,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 5,828 | $270,000 | thousands by filing date | |
| CVB FINL CORP COM | 126600105 | Stock | 18,264 | $266,000 | thousands by filing date | |
| AQUA AMERICA INC | 03836W103 | COM | 8,419 | $266,000 | thousands by filing date | |
| CHORD ENERGY CORPORATION | 674215108 | COMMON STOCK | 47,476 | $266,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 28,777 | $265,000 | thousands by filing date | |
| BRITISH AMERN TOB PLC SPONSORED ADR | 110448107 | ADR | 2,439 | $264,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,716 | $263,000 | thousands by filing date | |
| BAXALTA INC | 07177M103 | COM | 6,913 | $263,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 76,697 | $262,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 4,744 | $259,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33738D309 | SENIOR LN FD | 5,523 | $258,000 | thousands by filing date | |
| Rydex S&P 500 Pure Value Etf | 78355W304 | S&P PUR VAL | 5,723 | $258,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 42,781 | $256,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 3,107 | $254,000 | thousands by filing date | |
| STATE STREET | 78464A813 | EXCHANGE TRADED | 2,827 | $253,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N774 | VCSHS US DISCVRY | 7,914 | $251,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 10,569 | $250,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 9,230 | $248,000 | thousands by filing date | |
| SUBURBAN PROPANE PARTNERS L.P. | 864482104 | COM | 10,759 | $247,000 | thousands by filing date | |
| SMITH & WESSON BRANDS, INC. | 831756101 | COM | 11,523 | $247,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 15,997 | $246,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 4,716 | $242,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R886 | DORSEY WRIGHT | 15,202 | $239,000 | thousands by filing date | |
| ALLSTATE CORP COM | 020002101 | Stock | 3,764 | $238,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 25,363 | $238,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 15,848 | $236,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 21,378 | $235,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 2,811 | $234,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 9,392 | $234,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 5,120 | $233,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 5,574 | $232,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 5,796 | $231,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,720 | $231,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN HLDG L P | 01881G106 | UNIT LTD PARTN | 12,795 | $231,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 7,274 | $231,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 7,048 | $230,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,490 | $230,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 2,433 | $230,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,933 | $227,000 | thousands by filing date | |
| FISERV INC | 337738108 | COM | 2,384 | $226,000 | thousands by filing date | |
| ISHARES TR | 46432F834 | COM | 4,974 | $226,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,582 | $226,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 9,749 | $226,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 5,195 | $226,000 | thousands by filing date | |
| ISHARES TR | 464288745 | GLB CNS DISC ETF | 2,829 | $226,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X693 | GLOBL CP BD FD | 3,200 | $226,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 37,560 | $225,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 7,509 | $223,000 | thousands by filing date | |
| STATE STR CORP COM | 857477103 | Stock | 4,094 | $223,000 | thousands by filing date | |
| TERRA NITROGEN CO L P | 881005201 | COM UNIT | 2,168 | $223,000 | thousands by filing date | |
| ROCKWELL COLLINS INC | 774341101 | COM | 2,725 | $221,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 5,532 | $220,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 4,580 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E203 | NY ARCA BIOTECH | 2,689 | $218,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 5,820 | $218,000 | thousands by filing date | |
| EQUITY RESIDENTIAL | 29476L107 | SH BEN INT | 2,955 | $217,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 12,856 | $216,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 701 | $216,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 25,215 | $215,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,427 | $214,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 5,078 | $213,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 6,664 | $213,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 8,835 | $212,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 11,458 | $212,000 | thousands by filing date | |
| PAYCHEX INC | 704326107 | COM | 4,467 | $210,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 23,713 | $210,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 8,660 | $210,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 3,100 | $209,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 15,600 | $209,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 7,163 | $209,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 3,175 | $208,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 4,061 | $208,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 12,942 | $208,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 2,704 | $207,000 | thousands by filing date | |
| GALLAGHER ARTHUR J & CO COM | 363576109 | Stock | 5,402 | $207,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 3,438 | $207,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 24,100 | $207,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 20,438 | $206,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 21,633 | $205,000 | thousands by filing date | |
| MARKET VECTORS ETF URANIUM+NUCLEAR ENGY ETF | 57061R577 | COM | 4,494 | $205,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 43,000 | $204,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 7,099 | $204,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 2,294 | $203,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 9,170 | $203,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 16,730 | $203,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 11,827 | $201,000 | thousands by filing date | |
| PCM FD INC | 69323T101 | COM | 22,734 | $201,000 | thousands by filing date | |
| SPROUTS FMRS MKT INC COM | 85208M102 | Stock | 8,698 | $200,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,985 | $200,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 5,702 | $200,000 | thousands by filing date | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 41,865 | $198,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 18,139 | $189,000 | thousands by filing date | |
| BABSON CAPITAL CORPORATE INV | 05617K109 | COM | 11,563 | $188,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 17,929 | $186,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 13,426 | $184,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 20,894 | $183,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 11,473 | $183,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 14,845 | $181,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 22,369 | $180,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 18,220 | $179,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 37,694 | $179,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 16,803 | $179,000 | thousands by filing date | |
| FULTON FINL CORP PA | 360271100 | COM | 14,211 | $176,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 25,000 | $174,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 13,029 | $172,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 22,000 | $169,000 | thousands by filing date | |
| MUELLER WTR PRODS INC COM SER A | 624758108 | Stock | 20,252 | $168,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 22,054 | $166,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 25,354 | $165,000 | thousands by filing date | |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 13,403 | $164,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 33,258 | $162,000 | thousands by filing date | |
| LRAD CORP | 50213V109 | COM | 99,716 | $161,000 | thousands by filing date | |
| HP INC COM | 40434L105 | Stock | 16,195 | $160,000 | thousands by filing date | |
| MARATHON OIL CORP | 565849106 | COM | 18,916 | $160,000 | thousands by filing date | |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 31,500 | $160,000 | thousands by filing date | |
| UNITED DEV FUNDING XXXREGISTRATION REVOKED BY THE SEC EFF: 08/13/20 | 910187103 | REAL ESTATE INVESTME | 22,410 | $159,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 53,650 | $153,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 11,995 | $151,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 16,055 | $151,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,515 | $150,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 10,500 | $147,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 11,386 | $143,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 10,513 | $141,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 13,573 | $135,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 14,250 | $131,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 23,544 | $129,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 22,520 | $128,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 11,507 | $127,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 13,876 | $126,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 30,230 | $125,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 11,163 | $124,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,748 | $121,000 | thousands by filing date | |
| TREVENA INC | 89532E109 | COM | 15,952 | $120,000 | thousands by filing date | |
| BANCORP NEW JERSEY INC NEW | 059915108 | COM | 11,000 | $117,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 290,475 | $116,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 15,443 | $115,000 | thousands by filing date | |
| VITAL ENERGY INC | 516806106 | COMMON STOCK | 17,152 | $110,000 | thousands by filing date | |
| OXFORD LANE CAP CORP | 691543102 | COM | 12,426 | $106,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 21,425 | $104,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 13,654 | $102,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 19,369 | $99,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 13,795 | $97,000 | thousands by filing date | |
| ENERGY RECOVERY INC | 29270J100 | COM | 16,446 | $96,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 15,042 | $95,000 | thousands by filing date | |
| ELECTRO RENT CORP | 285218103 | COM | 10,820 | $95,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 12,605 | $92,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 12,926 | $91,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 28,164 | $90,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 14,083 | $84,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 12,398 | $83,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 15,866 | $82,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 84,800 | $80,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 16,800 | $79,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 16,786 | $79,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 14,692 | $76,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 64,900 | $70,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 12,200 | $66,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 29,806 | $65,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 12,587 | $57,000 | thousands by filing date | |
| LAKE SHORE GOLD CORP | 510728108 | COM | 52,046 | $56,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 10,713 | $53,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 25,639 | $52,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 17,121 | $52,000 | thousands by filing date | |
| LIONBRIDGE TECHNOLOGIES INC | 536252109 | COM | 11,700 | $51,000 | thousands by filing date | |
| GLU MOBILE INC | 379890106 | COMMON STOCK | 16,269 | $45,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 30,225 | $43,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 23,900 | $38,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 37,336 | $36,000 | thousands by filing date | |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 16,200 | $33,000 | thousands by filing date | |
| FIRST BANCORP CORPORATION | 318672706 | COM NEW | 13,249 | $32,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 10,675 | $22,000 | thousands by filing date | |
| ASANKO GOLD INC | 04341Y105 | COM | 12,402 | $21,000 | thousands by filing date | |
| ECHO THERAPEUTICS INC | 27876L206 | COM NEW | 19,583 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 22,100 | $13,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 13,171 | $12,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 15,942 | $8,000 | thousands by filing date | |
| ELEPHANT TALK COMM CORP | 286202205 | COM NEW | 31,591 | $7,000 | thousands by filing date | |
| MINCO GOLD CORPORATION | 60254D108 | COM | 33,990 | $5,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 15,000 | $4,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 23,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-003227 | this filing | 2016-02-16 | acceptance time not in the bulk data set |