13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2016-03-31, filed 2016-05-13, with 720 holding rows worth $1,195,411,000.
- Accession
- 0001085146-16-003744
- Filer
- CIK 1534400
- Filed
- 2016-05-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2016
A holdings report, 720 entries on the cover page, a total value of $1,195,411,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,195,411,000 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 |
|---|---|---|---|---|---|---|
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,850 | $331,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 5,316 | $330,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 4,822 | $328,000 | thousands by filing date | |
| ISHARES TR | 464287812 | US CONSM STAPLES | 2,895 | $328,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U845 | MKTVEC INTMUETF | 13,304 | $322,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 7,297 | $320,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 3,876 | $319,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 2,899 | $319,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 24,800 | $316,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 6,377 | $315,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 4,550 | $314,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST COM NEW | 49803T300 | REIT | 11,360 | $313,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 9,078 | $313,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 5,749 | $311,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 16,370 | $309,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 5,134 | $307,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 2,580 | $307,000 | thousands by filing date | |
| iShares U.S. Treasury Bond ETF | 46429B267 | SHS | 11,892 | $306,000 | thousands by filing date | |
| DUPONT FABROS TECHNOLOGY INC | 26613Q106 | COM | 7,575 | $306,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 4,240 | $305,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 9,672 | $305,000 | thousands by filing date | |
| ISHARES TR | 464288109 | MORNINGSTAR VALU | 3,602 | $303,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 18,567 | $301,000 | thousands by filing date | |
| iShares MSCI KLD 400 Social ETF | 464288570 | SHS | 3,923 | $300,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 13,575 | $300,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33736Q104 | CMN | 8,025 | $299,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06738C778 | DJUBS CMDT ETN36 | 13,793 | $296,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 51,600 | $296,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 30,458 | $296,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 3,714 | $295,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 4,961 | $294,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 20,800 | $292,000 | thousands by filing date | |
| AMN HEALTHCARE SVCS INC | 001744101 | COM | 8,740 | $291,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 87,500 | $291,000 | thousands by filing date | |
| NOVO-NORDISK A S ADR | 670100205 | ADR | 5,375 | $289,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 11,375 | $289,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 76,000 | $288,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 3,169 | $287,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 15,722 | $286,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,475 | $283,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 14,654 | $278,000 | thousands by filing date | |
| POWERSHARES DB MULTISECT C | 73936B507 | DB OIL FUND | 35,821 | $278,000 | thousands by filing date | |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 1,343 | $277,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 6,819 | $277,000 | thousands by filing date | |
| MICROSEMI CORP | 595137100 | COM | 7,200 | $276,000 | thousands by filing date | |
| MURPHY OIL CORP COM | 626717102 | Stock | 10,907 | $275,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 4,896 | $272,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,929 | $272,000 | thousands by filing date | |
| ISHARES TR | 464288786 | U.S. INSRNCE ETF | 5,468 | $272,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 13,236 | $271,000 | thousands by filing date | |
| BIOGEN INC COM | 09062X103 | Stock | 1,030 | $270,000 | thousands by filing date | |
| DIGITAL RLTY TR INC COM | 253868103 | REIT | 3,018 | $269,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,470 | $268,000 | thousands by filing date | |
| DOMINOS PIZZA INC COM | 25754A201 | Stock | 2,033 | $267,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P200 | UNIT 99/99/9999T | 25,269 | $267,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 8,821 | $265,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 8,032 | $264,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 8,970 | $264,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 10,867 | $263,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 5,130 | $262,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q208 | COM NEW | 19,238 | $262,000 | thousands by filing date | |
| SOVRAN SELF STORAGE INC | 84610H108 | COM | 2,208 | $260,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 29,916 | $260,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 839,928 | $259,000 | thousands by filing date | |
| PROSHARES TR | 74348A467 | S&P 500 DV ARIST | 4,913 | $256,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 9,472 | $256,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 7,273 | $256,000 | thousands by filing date | |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 14,646 | $256,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 3,850 | $255,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 3,841 | $255,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 6,075 | $255,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 5,189 | $253,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 31,995 | $253,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 19,946 | $252,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 5,670 | $251,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,537 | $250,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 28,775 | $250,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,266 | $249,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,025 | $249,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 23,173 | $248,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 34,149 | $247,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 8,726 | $244,000 | thousands by filing date | |
| JARDEN CORP | 471109108 | COM | 4,170 | $244,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 12,450 | $243,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 16,400 | $241,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 3,153 | $238,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 2,166 | $237,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 26,691 | $237,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 9,074 | $235,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 1,433 | $234,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 3,195 | $234,000 | thousands by filing date | |
| Schwab U.S. Broad Market ETF | 808524102 | SHS | 4,730 | $233,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 6,804 | $233,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 4,885 | $232,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,150 | $232,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 7,207 | $231,000 | thousands by filing date | |
| Schwab U.S. Large-Cap ETF | 808524201 | SHS | 4,692 | $230,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 3,366 | $230,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 17,008 | $229,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,734 | $228,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 8,813 | $228,000 | thousands by filing date | |
| AGL RES INC | 001204106 | COM | 3,468 | $227,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 12,410 | $226,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 6,273 | $225,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 4,250 | $224,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 5,626 | $224,000 | thousands by filing date | |
| Market Vectors Etf | 57060U878 | HG YLD MUN ETF | 7,168 | $224,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 4,534 | $223,000 | thousands by filing date | |
| DIAMONDROCK HOSPITALITY CO | 252784301 | COM | 22,000 | $222,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 3,210 | $221,000 | thousands by filing date | |
| GRACO INC COM | 384109104 | Stock | 2,614 | $219,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W507 | SHOR DURA BD ETF | 4,280 | $215,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 13,728 | $214,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 19,700 | $212,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 6,666 | $212,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 3,944 | $212,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 2,933 | $211,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,249 | $211,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 789 | $211,000 | thousands by filing date | |
| BABSON CAPITAL PARTICIPATION | 05616B100 | SH B | 14,850 | $211,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 3,358 | $209,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,895 | $209,000 | thousands by filing date | |
| iShares U.S. Financials ETF | 464287788 | SHS | 2,454 | $208,000 | thousands by filing date | |
| AMERICAN WTR WKS CO INC NEW COM | 030420103 | Stock | 3,003 | $208,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 19,977 | $207,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 39,955 | $207,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R887 | ST STR R2K LOWV | 2,700 | $207,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 4,423 | $206,000 | thousands by filing date | |
| HOLOGIC INC | 436440101 | COM | 5,860 | $205,000 | thousands by filing date | |
| BLACKROCK TAX MUNICPAL BD TR | 09248X100 | SHS | 8,943 | $205,000 | thousands by filing date | |
| SHUTTERFLY INC | 82568P304 | COM | 4,377 | $205,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 599 | $204,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 714 | $203,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 18,685 | $201,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 3,405 | $200,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 16,370 | $196,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 20,580 | $195,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 20,412 | $194,000 | thousands by filing date | |
| POTASH CORP OF SASKATCHEWAN | 73755L107 | COMMON STOCK-FO | 11,448 | $190,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 18,400 | $188,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 12,124 | $179,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 17,413 | $179,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 12,006 | $178,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 22,900 | $178,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387102 | COM | 21,646 | $173,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X302 | HI YLD EQ DVDN | 12,135 | $173,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 15,486 | $171,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 10,192 | $169,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 35,586 | $168,000 | thousands by filing date | |
| STAGE STORES INC | 85254C305 | COMMON STOCK | 20,900 | $167,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 30,711 | $167,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 11,300 | $165,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 18,400 | $165,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 11,003 | $164,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 10,028 | $161,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 10,840 | $160,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 16,671 | $151,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 12,585 | $151,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 12,180 | $149,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 12,363 | $148,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 23,741 | $147,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 15,650 | $147,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 16,141 | $145,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 17,900 | $142,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 11,218 | $139,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 13,675 | $131,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 16,150 | $129,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 12,246 | $129,000 | thousands by filing date | |
| PIMCO HIGH INCOME FD | 722014107 | COM SHS | 13,909 | $124,000 | thousands by filing date | |
| CATCHMARK TIMBER TR INC CL A | 14912Y202 | REIT | 11,537 | $124,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 11,523 | $120,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,284 | $112,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 27,165 | $109,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 11,018 | $105,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 22,268 | $103,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 17,003 | $98,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 16,300 | $96,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 11,986 | $96,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 19,020 | $93,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 90,000 | $92,000 | thousands by filing date | principal |
| COFFEE HLDG CO INC | 192176105 | COM | 21,675 | $87,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $84,000 | thousands by filing date | |
| FIRST MAJESTIC SILVER CORP | 32076V103 | COM | 13,125 | $84,000 | thousands by filing date | |
| MOBILE TELESYSTEMS PJSC | 607409109 | SPONSORED ADR | 10,000 | $81,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 17,820 | $81,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 15,500 | $78,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 18,555 | $76,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 17,335 | $75,000 | thousands by filing date | |
| E-COMMERCE CHINA DANGDANG IN | 26833A105 | SPN ADS COM A | 10,000 | $71,000 | thousands by filing date | |
| SUPERVALU INC | 868536103 | COM | 10,121 | $60,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 17,923 | $60,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 11,250 | $59,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 11,586 | $58,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 14,265 | $56,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 15,882 | $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 |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 15,348 | $40,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 18,202 | $39,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $37,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 18,468 | $33,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,000 | $32,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 30,237 | $25,000 | thousands by filing date | |
| TRIANGLE PETE CORP | 89600B201 | COM NEW | 58,037 | $24,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 25,000 | $24,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| ULTRA PETROLEUM CORP | 903914109 | COM | 45,510 | $21,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,200 | $20,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 12,930 | $19,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 10,050 | $16,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 12,000 | $12,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 12,500 | $11,000 | thousands by filing date | |
| CALADRIUS BIOSCIENCES INC | 128058104 | Cmn | 12,600 | $10,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 11,500 | $9,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 530715AL5 | DEB 3.750% 2/1 | 15,000 | $8,000 | thousands by filing date | principal |
| Apple Inc | 037833100 | COM | 1,100 | $7,000 | thousands by filing date | call |
| ConocoPhillips | 20825C104 | COM | 1,000 | $5,000 | thousands by filing date | call |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,075 | $4,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 500 | $0 | thousands by filing date | putValue 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. |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 1,000 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-003744 | this filing | 2016-05-13 | acceptance time not in the bulk data set |