13F-HR filed by Private Advisor Group, LLC
Private Advisor Group, LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-09, with 1,275 holding rows worth $3,050,568,000.
- Accession
- 0001085146-17-000399
- Filer
- CIK 1567755
- Filed
- 2017-02-09
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 1,275 entries on the cover page, a total value of $3,050,568,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $3,050,568,000 with VALUE read as thousands by filing date, 13F file number 028-15851. 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 |
|---|---|---|---|---|---|---|
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 14,265 | $267,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 17,462 | $267,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W809 | GUG S&P SC600 PG | 2,755 | $267,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 5,489 | $265,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 44,316 | $265,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 5,942 | $264,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 16,127 | $264,000 | thousands by filing date | |
| QIAGEN NV | N72482107 | COMMON STOCK-FO | 9,431 | $264,000 | thousands by filing date | |
| INGREDION INC COM | 457187102 | Stock | 2,093 | $263,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524839 | US AGGREGATE B | 5,070 | $263,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 3,220 | $263,000 | thousands by filing date | |
| HOLLYFRONTIER CORP | 436106108 | COM | 8,465 | $263,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 3,605 | $262,000 | thousands by filing date | |
| MIDDLESEX WTR CO | 596680108 | COM | 6,619 | $262,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 20,856 | $262,000 | thousands by filing date | |
| BREAD FINANCIAL HOLDINGS INC | 018581108 | COM | 1,113 | $261,000 | thousands by filing date | |
| COOPER TIRE & RUBR CO | 216831107 | COM | 7,139 | $261,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 4,103 | $261,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 10,019 | $260,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 8,809 | $260,000 | thousands by filing date | |
| POWERSHARES ETF TR II | 73937B662 | EM MRK LOW VOL | 12,244 | $260,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 7,352 | $259,000 | thousands by filing date | |
| ISHARES TR | 46435G755 | IBONDS DEC2022 | 10,150 | $259,000 | thousands by filing date | |
| TEREX CORP NEW COM | 880779103 | Stock | 7,989 | $256,000 | thousands by filing date | |
| WHITEWAVE FOODS COMPANY | 966244105 | COMMON STOCK | 4,605 | $256,000 | thousands by filing date | |
| MSCI INC COM | 55354G100 | Stock | 3,132 | $255,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 16,381 | $255,000 | thousands by filing date | |
| ALCOA CORP COM | 013872106 | Stock | 7,931 | $254,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 29,620 | $254,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 4,080 | $252,000 | thousands by filing date | |
| RYMAN HOSPITALITY PPTYS INC COM | 78377T107 | REIT | 4,123 | $251,000 | thousands by filing date | |
| NUVEEN S&P 500 DYNAMIC OVERWRI COM | 6706EW100 | CEF | 17,310 | $251,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 17,019 | $251,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 5,938 | $251,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 16,882 | $251,000 | thousands by filing date | |
| GAP INC COM | 364760108 | Stock | 10,547 | $250,000 | thousands by filing date | |
| AMEREN CORP COM | 023608102 | Stock | 4,782 | $250,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 4,067 | $250,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 6,190 | $248,000 | thousands by filing date | |
| SYMANTEC CORP | 871503108 | COM | 9,731 | $248,000 | thousands by filing date | |
| DENTSPLY SIRONA INC | 24906P109 | COM | 4,291 | $247,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 5,203 | $247,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 5,627 | $247,000 | thousands by filing date | |
| ISHARES | 46434VAX8 | EXCHANGE TRADED | 9,976 | $247,000 | thousands by filing date | principal |
| Progressive Corporation | 743315103 | COM | 6,714 | $245,000 | thousands by filing date | |
| OGE ENERGY CORP | 670837103 | COM | 7,307 | $245,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 12,939 | $244,000 | thousands by filing date | |
| TESORO CORP | 881609101 | COM | 2,987 | $244,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 29,682 | $242,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 2,053 | $242,000 | thousands by filing date | |
| WEST PHARMACEUTICAL SVSC INC COM | 955306105 | Stock | 2,808 | $241,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 9,070 | $241,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 17,513 | $241,000 | thousands by filing date | |
| WGL HLDGS INC | 92924F106 | COM | 3,176 | $241,000 | thousands by filing date | |
| MERRIMACK PHARMACEUTICALS IN | 590328100 | COM | 73,156 | $241,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 4,372 | $239,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 25,100 | $239,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 16,645 | $239,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 15,907 | $239,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 13,420 | $239,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524805 | INTL EQTY ETF | 8,308 | $237,000 | thousands by filing date | |
| James Hardie Industries PLC | 47030M106 | Depositary Receipt | 14,925 | $237,000 | thousands by filing date | |
| AMERICA MOVIL SA DE CV-ADR | 02364W105 | SPON ADR L SHS | 18,513 | $236,000 | thousands by filing date | |
| INVESCO WATER RESOURCES ETF | 73935X575 | COM | 9,455 | $236,000 | thousands by filing date | |
| ISHARES TR | 46432FBC0 | IBONDS MAR20 ETF | 9,026 | $236,000 | thousands by filing date | principal |
| SPDR MSCI ACWI EX-US ETF | 78463X848 | COM | 7,229 | $235,000 | thousands by filing date | |
| BEST BUY INC COM | 086516101 | Stock | 5,420 | $235,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 19,042 | $235,000 | thousands by filing date | |
| WPP PLC NEW ADR | 92937A102 | ADR | 2,048 | $234,000 | thousands by filing date | |
| ALIGN TECHNOLOGY INC COM | 016255101 | Stock | 2,434 | $234,000 | thousands by filing date | |
| VERIFONE SYS INC | 92342Y109 | COM | 12,715 | $234,000 | thousands by filing date | |
| SNYDERS LANCE INC | 833551104 | COM | 6,126 | $234,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 6,035 | $233,000 | thousands by filing date | |
| BLACKROCK NJ MUNICIPAL BOND | 09249A109 | COM | 16,162 | $233,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 7,091 | $232,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 17,908 | $232,000 | thousands by filing date | |
| BARD C R INC | 067383109 | COM | 991 | $232,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 1,918 | $231,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q408 | FIRST TR ENH NEW | 3,850 | $231,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 1,730 | $231,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 3,578 | $231,000 | thousands by filing date | |
| AMPHENOL CORP NEW | 032095101 | COM | 3,393 | $230,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 3,578 | $230,000 | thousands by filing date | |
| PROSHARES TR | 74347B300 | PSHS ULSHT SP500 | 15,631 | $230,000 | thousands by filing date | |
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 2,110 | $229,000 | thousands by filing date | |
| BLUEBIRD BIO INC | 09609G100 | COM | 3,518 | $229,000 | thousands by filing date | |
| NORTHERN TR CORP COM | 665859104 | Stock | 2,536 | $228,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 424 | $228,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 10,418 | $228,000 | thousands by filing date | |
| PROSHARES TR | 74347X633 | ULTRA FNCLS NEW | 2,400 | $227,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 2,924 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 1,847 | $226,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X192 | CLOUD COMPUTING | 6,323 | $226,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430503 | ACTIVEBETA US LG | 5,020 | $226,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 10,182 | $225,000 | thousands by filing date | |
| QCR HOLDINGS INC | 74727A104 | COMMON STOCK | 5,324 | $225,000 | thousands by filing date | |
| PROSHARES TR | 74348A210 | SHRT RUSSELL2000 | 4,626 | $225,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 3,918 | $225,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 2,518 | $224,000 | thousands by filing date | |
| CENTENE CORP DEL COM | 15135B101 | Stock | 3,649 | $224,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 35,672 | $224,000 | thousands by filing date | |
| THOMSON REUTERS CORP | 884903105 | COM | 5,001 | $224,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 2,721 | $223,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 1,644 | $222,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 11,991 | $222,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 28,440 | $221,000 | thousands by filing date | |
| ABRDN HEALTHCARE OPPORTUNITI | 879105104 | SHS | 13,071 | $220,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 4,303 | $220,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q643 | SPROTT GL MINE | 11,268 | $220,000 | thousands by filing date | |
| HERC HLDGS INC COM | 42704L104 | Stock | 5,276 | $219,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X150 | INDLS PROD DUR | 6,482 | $218,000 | thousands by filing date | |
| HANCOCK JOHN PFD INCOME FD | 41013W108 | SH BEN INT | 10,517 | $218,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 2,635 | $218,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 2,672 | $216,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 9,697 | $215,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 46,594 | $215,000 | thousands by filing date | |
| SPDR Portfolio S&P 500 High Dividend ETF | 78468R788 | SHS | 6,087 | $214,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 15,630 | $214,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 14,741 | $213,000 | thousands by filing date | |
| BRANDYWINE RLTY TR | 105368203 | SH BEN INT NEW | 13,336 | $213,000 | thousands by filing date | |
| ISHARES MORNINGSTAR MID-CAP GROWTH ETF | 464288307 | ETF | 1,277 | $212,000 | thousands by filing date | |
| VANECK EMERGING MARKETS HIGH Y | 92189F353 | EMERGING MRKT HI | 8,725 | $212,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 14,825 | $212,000 | thousands by filing date | |
| ISHARES INC | 46434G830 | MSCI ITALY ETF | 8,604 | $212,000 | thousands by filing date | |
| STAPLES INC | 855030102 | COM | 22,884 | $212,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 896 | $211,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 3,603 | $211,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 30,600 | $211,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 39,501 | $210,000 | thousands by filing date | |
| WABTEC COM | 929740108 | Stock | 2,457 | $210,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 10,257 | $210,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 1,812 | $210,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 59,240 | $210,000 | thousands by filing date | |
| PITNEY BOWES INC COM | 724479100 | Stock | 12,971 | $209,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q205 | EQUAL SEC ETF | 3,434 | $209,000 | thousands by filing date | |
| PRINCIPAL ACTIVE HIGH YIELD ETF | 74255Y102 | COM | 5,110 | $209,000 | thousands by filing date | |
| FIRST LONG IS CORP | 320734106 | COM | 7,656 | $209,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 3,303 | $208,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 10,088 | $208,000 | thousands by filing date | |
| HSBC HLDGS PLC | 404280604 | ADR A 1/40PF A | 8,099 | $208,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 1,409 | $207,000 | thousands by filing date | |
| OAKTREE CAP GROUP LLC | 674001201 | UNIT 99/99/9999 | 5,025 | $207,000 | thousands by filing date | |
| COTERRA ENERGY INC COM | 127097103 | Stock | 9,335 | $206,000 | thousands by filing date | |
| RYDEX ETF TRUST HEALTH CARE | 78355W841 | COM | 1,372 | $206,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 2,961 | $205,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 13,237 | $204,000 | thousands by filing date | |
| II VI INC | 902104108 | COM | 6,750 | $204,000 | thousands by filing date | |
| CHEMUNG FINANCIAL CORP | 164024101 | COMMON STOCK | 6,063 | $204,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 3,113 | $203,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 16,960 | $203,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN BLDG | 73935X666 | COM | 7,225 | $203,000 | thousands by filing date | |
| BLACKROCK ENHANCED LARGE CAP | 09256A109 | COM | 14,681 | $202,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 7,245 | $202,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 27,034 | $201,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 25,000 | $201,000 | thousands by filing date | |
| WILLIS TOWERS WATSON PLC LTD SHS | G96629103 | Stock | 1,589 | $200,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 16,079 | $200,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 35,560 | $198,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 17,548 | $197,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 18,649 | $196,000 | thousands by filing date | |
| STATOIL ASA | 85771P102 | SPONSORED ADR | 10,387 | $196,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 13,761 | $193,000 | thousands by filing date | |
| INVENSENSE INC | 46123D205 | COM | 15,102 | $193,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 106,046 | $191,000 | thousands by filing date | |
| SALIENT MIDSTREAM & MLP FD | 79471V105 | SH BEN INT | 13,822 | $188,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 38,121 | $182,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 14,150 | $182,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 15,934 | $182,000 | thousands by filing date | |
| ZIOPHARM ONCOLOGY INC | 98973P101 | COM | 33,666 | $182,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 11,765 | $180,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,368 | $179,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 18,894 | $178,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 15,060 | $177,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 11,134 | $177,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 27,266 | $177,000 | thousands by filing date | |
| MANITOWOC COMPANY INC | 563571108 | COM | 29,650 | $176,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 12,900 | $174,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 33,939 | $173,000 | thousands by filing date | |
| CORMEDIX INC | 21900C100 | COM | 98,425 | $173,000 | thousands by filing date | |
| PROSHARES ULTRA BLOOMBERG CRUDE OIL | 74347W320 | ETF | 15,786 | $173,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 11,083 | $168,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 13,219 | $168,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 12,366 | $168,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 12,989 | $166,000 | thousands by filing date | |
| NORTHSTAR REALTY EUROPE CORP | 66706L101 | COM | 13,270 | $166,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 14,997 | $165,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,036 | $161,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 20,187 | $161,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 13,143 | $156,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 20,762 | $152,000 | thousands by filing date | |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 13,545 | $149,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 14,527 | $149,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 49,138 | $148,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 30,341 | $144,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 11,901 | $143,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 15,624 | $140,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 19,100 | $135,000 | thousands by filing date | |
| MATERIALISE NV | 57667T100 | SPONSORED ADS | 17,722 | $133,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 12,552 | $130,000 | thousands by filing date | |
| CYS INVTS INC | 12673A108 | COM | 16,403 | $130,000 | thousands by filing date | |
| NOMAD FOODS LTD USD ORD SHS | G6564A105 | Stock | 13,006 | $129,000 | thousands by filing date | |
| CALAMOS CONV & HIGH INCOME F | 12811P108 | COM SHS | 11,898 | $129,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 11,127 | $129,000 | thousands by filing date | |
| CLEARBRIDGE AMERN ENERG MLP | 184691103 | COM | 13,233 | $125,000 | thousands by filing date | |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 62,099 | $122,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 10,462 | $119,000 | thousands by filing date | |
| VanEck Merk Gold Trust | 921078101 | SHS | 10,000 | $118,000 | thousands by filing date | |
| PROFIRE ENERGY INC | 74316X101 | COM | 87,500 | $118,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 32,144 | $118,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 10,767 | $117,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 11,537 | $111,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 15,245 | $111,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 14,060 | $109,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 11,517 | $100,000 | thousands by filing date | |
| KANDI TECHNOLOGIES GROUP INC | 483709101 | COM | 19,000 | $100,000 | thousands by filing date | |
| CVR Partners, LP | 126633106 | LTD | 15,100 | $96,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 14,418 | $94,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 26,817 | $93,000 | thousands by filing date | |
| ORASURE TECHNOLOGIES INC | 68554V108 | COM | 10,200 | $91,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 11,000 | $91,000 | thousands by filing date | |
| CAPITAL PRODUCT PARTNERS L P | Y11082107 | COM UNIT LP | 27,983 | $91,000 | thousands by filing date | |
| WEATHERFORD INTL INC ORD SHS | G48833100 | Stock | 15,626 | $88,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 11,492 | $86,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 20,394 | $79,000 | thousands by filing date | |
| TRANSGLOBE ENERGY CORP | 893662106 | COM | 43,250 | $79,000 | thousands by filing date | |
| AVON PRODS INC | 054303102 | COM | 14,400 | $78,000 | thousands by filing date | |
| ABEONA THERAPEUTICS INC | 00289Y107 | COM | 14,006 | $75,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 13,618 | $75,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 111,683 | $70,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 13,689 | $64,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 11,794 | $63,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 10,754 | $60,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 41,611 | $59,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 30,200 | $59,000 | thousands by filing date | |
| RAIT FINANCIAL TRUST | 749227609 | COM NEW | 15,863 | $58,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 10,716 | $53,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 14,335 | $47,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 28,200 | $45,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 40,000 | $41,000 | thousands by filing date | principal |
| TESLA INC | 88160RAC5 | NOTE 1.250% 3/0 | 45,000 | $39,000 | thousands by filing date | principal |
| EV ENERGY PARTNERS LP | 26926V107 | COM UNITS | 18,450 | $37,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 10,432 | $34,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503AX4 | NOTE 0.900% 9/1 | 30,000 | $32,000 | thousands by filing date | principal |
| UNITED MICROELECTRONICS CORP SPON ADR NEW | 910873405 | ADR | 16,397 | $29,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 18,853 | $29,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 24,500 | $28,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 40,000 | $28,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 10,888 | $28,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,050 | $27,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 14,047 | $27,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 19,672 | $25,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 19,623 | $24,000 | thousands by filing date | |
| CRM 0.25 4/1/18 | 79466LAD6 | Bond 30/360P2 U | 20,000 | $23,000 | thousands by filing date | principal |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 19,000 | $22,000 | thousands by filing date | principal |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 12,000 | $21,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 16,000 | $21,000 | thousands by filing date | principal |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 21,533 | $19,000 | thousands by filing date | |
| FINISAR CORP | 31787AAM3 | NOTE 0.500%12/1 | 15,000 | $18,000 | thousands by filing date | principal |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 16,000 | $17,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 17,000 | $17,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 16,000 | $17,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 15,000 | $16,000 | thousands by filing date | principal |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 13,000 | $16,000 | thousands by filing date | principal |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 14,000 | $16,000 | thousands by filing date | principal |
| YAHOO INC | 984332AF3 | NOTE 12/0 | 14,000 | $14,000 | thousands by filing date | principal |
| SYNCHRONOSS TECHNOLOGIES INC | 87157BAA1 | NOTE 0.750 8/1 | 13,000 | $14,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 12,000 | $13,000 | thousands by filing date | principal |
| Ampio Pharmaceuticals | 03209T109 | COM | 12,605 | $12,000 | thousands by filing date | |
| DELCATH SYS INC | 24661P500 | COM PAR | 13,624 | $12,000 | thousands by filing date | |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 11,000 | $12,000 | thousands by filing date | principal |
| STARWOOD WAYPOINT RESIDENTL | 85571WAB5 | NOTE 3.000% 7/0 | 10,000 | $11,000 | thousands by filing date | principal |
| TESLA INC | 88160RAB7 | NOTE 0.250 3/0 | 12,000 | $11,000 | thousands by filing date | principal |
| ARES CAP CORP | 04010LAJ2 | NOTE 4.750prct 1/1 | 10,000 | $10,000 | thousands by filing date | principal |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 11,150 | $8,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 23,000 | $7,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000399 | this filing | 2017-02-09 | acceptance time not in the bulk data set |