13F-HR/A filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR/A for the quarter ended 2015-12-31, filed 2016-03-23, with 719 holding rows worth $1,182,190,000.
- Accession
- 0001085146-16-003372
- Filer
- CIK 1534400
- Filed
- 2016-03-23
- 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, amendment of type restatement, 719 entries on the cover page, a total value of $1,182,190,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,182,190,000 with VALUE read as thousands by filing date, 13F file number 028-14617. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 6,652 | $340,000 | thousands by filing date | |
| Vanguard Mega Cap Growth ETF | 921910816 | SHS | 4,108 | $339,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 620 | $338,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 2,626 | $338,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,991 | $338,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 2,494 | $336,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 6,750 | $334,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 7,758 | $334,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 37,082 | $328,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 9,656 | $326,000 | thousands by filing date | |
| ISHARES MORNINGSTAR GROWTH ETF | 464287119 | ETF | 2,710 | $325,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 10,460 | $325,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 1,685 | $324,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 16,750 | $323,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 19,381 | $322,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 3,946 | $321,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X135 | FINLS ALPHADEX | 13,793 | $320,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 31,100 | $319,000 | thousands by filing date | |
| COMMERCE BANCSHARES INC | 200525103 | COM | 7,494 | $318,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,340 | $317,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 6,162 | $313,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 5,963 | $313,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W588 | US LARGECAP FUND | 4,500 | $311,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 4,988 | $309,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 5,792 | $309,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 3,375 | $309,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 8,125 | $308,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 33,343 | $307,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,618 | $306,000 | thousands by filing date | |
| ZOETIS INC CL A | 98978V103 | Stock | 6,402 | $305,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 12,400 | $305,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W570 | US MIDCAP FUND | 3,501 | $304,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 11,375 | $303,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 11,635 | $302,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 8,257 | $302,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 14,041 | $301,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 4,637 | $301,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W471 | BLMBG US BULL | 11,100 | $301,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 23,766 | $299,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 16,170 | $298,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,900 | $298,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 7,550 | $298,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 22,133 | $294,000 | thousands by filing date | |
| CARPENTER TECHNOLOGY CORP | 144285103 | COM | 9,770 | $293,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,503 | $292,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 21,327 | $292,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 8,791 | $290,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 4,744 | $290,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,556 | $289,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 18,570 | $288,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 8,811 | $287,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 6,184 | $286,000 | thousands by filing date | |
| Salesforce.com, Inc | 79466L302 | COM | 3,636 | $286,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 11,567 | $286,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 10,517 | $286,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 3,768 | $285,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 6,100 | $285,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 2,636 | $284,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 8,340 | $284,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 833 | $283,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 10,040 | $282,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 6,819 | $282,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 2,141 | $281,000 | thousands by filing date | |
| FACTORSHARES TR | 30304R407 | ISE CYBER SEC | 10,652 | $279,000 | thousands by filing date | |
| D R HORTON INC COM | 23331A109 | Stock | 8,579 | $278,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 2,432 | $278,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 4,968 | $274,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092865 | MSCI UTILS INDEX | 9,826 | $273,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A405 | FINANCIALS ETF | 5,585 | $272,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 4,646 | $269,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 4,800 | $269,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 7,854 | $269,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y207 | NASDAQ 100 EQ WT | 4,180 | $267,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 7,376 | $267,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 8,970 | $266,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 17,253 | $264,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 14,205 | $263,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,749 | $262,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 5,140 | $261,000 | thousands by filing date | |
| iShares Core MSCI Emerging Markets ETF | 46434G103 | SHS | 6,629 | $260,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 5,072 | $259,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 3,207 | $259,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 22,900 | $256,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 12,675 | $254,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,433 | $252,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 25,177 | $252,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 9,968 | $249,000 | thousands by filing date | |
| ADVISORSHARES TR | 00768Y776 | ADVISR GLBECHO | 4,150 | $249,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,974 | $248,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 8,575 | $248,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 15,935 | $247,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 12,836 | $247,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 28,766 | $245,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 14,396 | $243,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 789 | $242,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 2,188 | $241,000 | thousands by filing date | |
| SOVRAN SELF STORAGE INC | 84610H108 | COM | 2,233 | $240,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,969 | $238,000 | thousands by filing date | |
| ARAMARK COM | 03852U106 | Stock | 7,332 | $238,000 | thousands by filing date | |
| CINTAS CORP COM | 172908105 | Stock | 2,611 | $237,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 5,945 | $233,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 9,138 | $232,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 4,424 | $232,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,264 | $231,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 1,874 | $230,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,599 | $229,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,692 | $228,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 6,198 | $228,000 | thousands by filing date | |
| ISHARES TR | 46434V639 | CUR HD EURZN ETF | 8,821 | $228,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 23,696 | $228,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 16,702 | $227,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 29,495 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 2,075 | $226,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 5,860 | $226,000 | thousands by filing date | |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 7,075 | $226,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,425 | $225,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 47,100 | $224,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 4,250 | $221,000 | thousands by filing date | |
| AGL RES INC | 001204106 | COM | 3,468 | $221,000 | thousands by filing date | |
| FIRST AMERN FINL CORP | 31847R102 | COM | 6,107 | $219,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 12,671 | $216,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 33,500 | $214,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,420 | $213,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 4,475 | $213,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 1,379 | $211,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 3,893 | $210,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 7,982 | $208,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 6,192 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 13,728 | $204,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,317 | $203,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,173 | $202,000 | thousands by filing date | |
| VANGUARD WHITEHALL FDS | 921946885 | COM | 2,722 | $201,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 37,686 | $201,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 2,700 | $201,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 4,561 | $201,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 Growth ETF | 78464A409 | SHS | 1,997 | $200,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 19,925 | $195,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 22,900 | $195,000 | thousands by filing date | |
| POWERSHARES GLOBAL ETF TRUSTHI | 73936T557 | COM | 11,143 | $194,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 18,225 | $191,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,155 | $186,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 40,690 | $181,000 | thousands by filing date | |
| CHINA DISTANCE ED HLDGS LTD | 16944W104 | SPONS ADR | 12,300 | $181,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 19,150 | $180,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 11,374 | $175,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 13,652 | $170,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 11,537 | $168,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 10,460 | $168,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 12,460 | $166,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 11,700 | $161,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 17,641 | $160,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 11,150 | $160,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 17,973 | $157,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 11,851 | $153,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 12,780 | $149,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 25,722 | $145,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 17,900 | $145,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 17,050 | $136,000 | thousands by filing date | |
| INLAND REAL ESTATE CORP | 457461200 | COM | 12,370 | $132,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 11,763 | $131,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 19,359 | $127,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 11,155 | $126,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 11,059 | $125,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 23,626 | $119,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,523 | $117,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,284 | $117,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 28,941 | $116,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,909 | $114,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 16,950 | $111,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 12,448 | $109,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 10,999 | $108,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 10,768 | $105,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 10,926 | $103,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 20,500 | $103,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 11,398 | $99,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 24,025 | $97,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 90,000 | $97,000 | thousands by filing date | principal |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 16,300 | $94,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 11,605 | $92,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 11,400 | $88,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 12,839 | $84,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $84,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 17,955 | $77,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 17,820 | $75,000 | thousands by filing date | |
| ULTRA PETROLEUM CORP | 903914109 | COM | 28,607 | $74,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 10,401 | $73,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 10,000 | $72,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 11,936 | $69,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 19,318 | $67,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 227,570 | $67,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 15,985 | $63,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 23,150 | $61,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 11,250 | $60,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 23,502 | $58,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,586 | $53,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 50,000 | $49,000 | thousands by filing date | principal |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 63,992 | $48,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 16,248 | $48,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $47,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 18,468 | $32,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,200 | $26,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 32,187 | $26,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 15,600 | $16,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 10,050 | $13,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 11,500 | $9,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 1,000 | $8,000 | thousands by filing date | call |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 15,000 | $8,000 | thousands by filing date | principal |
| TASEKO MINES LTD COM | 876511106 | Stock | 16,500 | $3,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 14,400 | $3,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 11,075 | $2,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 300 | $1,000 | thousands by filing date | call |
| PHILLIPS 66 COM | 718546104 | Stock | 200 | $1,000 | thousands by filing date | call |
| ELECTRONIC ARTS INC COM | 285512109 | Stock | 1,000 | $1,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 700 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| MANNKIND CORP | 56400P201 | COM | 500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-003228 | superseded | 2016-02-16 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-16-003372 | this filing | 2016-03-23 | acceptance time not in the bulk data set |