13F-HR filed by Cetera Advisors LLC
Cetera Advisors LLC filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-15, with 723 holding rows worth $1,328,393,000.
- Accession
- 0001085146-17-000797
- Filer
- CIK 1534400
- Filed
- 2017-02-15
- 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, 723 entries on the cover page, a total value of $1,328,393,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $1,328,393,000 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 |
|---|---|---|---|---|---|---|
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 11,742 | $337,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,699 | $335,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 6,349 | $333,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U502 | TRUS | 9,500 | $331,000 | thousands by filing date | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 6,795 | $330,000 | thousands by filing date | |
| EOG RES INC COM | 26875P101 | Stock | 3,237 | $328,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 24,789 | $327,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 13,966 | $325,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 5,465 | $324,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 9,572 | $321,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 7,887 | $319,000 | thousands by filing date | |
| ISHARES MICRO-CAP ETF | 464288869 | ETF | 3,705 | $318,000 | thousands by filing date | |
| VANGUARD RUSSELL 2000 VALUE ETF | 92206C649 | ETF | 3,076 | $317,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 10,117 | $315,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 19,719 | $315,000 | thousands by filing date | |
| CENTENNIAL RESOURCE DEV INC | 15136A102 | CL A | 15,923 | $315,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 8,620 | $314,000 | thousands by filing date | |
| SPIRE INC | 84857L101 | COM | 4,834 | $311,000 | thousands by filing date | |
| SPDR S&P Aerospace & Defense ETF | 78464A631 | SHS | 4,870 | $309,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,981 | $308,000 | thousands by filing date | |
| BLOCK H & R INC COM | 093671105 | Stock | 13,700 | $308,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 9,313 | $302,000 | thousands by filing date | |
| OVERSEAS SHIPHOLDING GROUP I | 69036R863 | CL A NEW | 79,500 | $301,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,815 | $299,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 16,337 | $299,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 16,292 | $297,000 | thousands by filing date | |
| POWERSHARES | 73935X708 | EXCHANGE TRADED | 8,795 | $296,000 | thousands by filing date | |
| CARLISLE COS INC COM | 142339100 | Stock | 2,668 | $295,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 4,368 | $289,000 | thousands by filing date | |
| MONOGRAM RESIDENTIAL TR INC | 60979P105 | COM | 26,593 | $288,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 19,400 | $283,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 20,200 | $283,000 | thousands by filing date | |
| POWERSHARES | 73936Q769 | EXCHANGE TRADED | 12,146 | $283,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 12,834 | $282,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 1,511 | $282,000 | thousands by filing date | |
| WESTERN ASSET MTG DEFINED OP | 95790B109 | COM | 12,370 | $282,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 3,505 | $281,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W448 | GERMANY HEDEQ FD | 9,900 | $281,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 2,918 | $280,000 | thousands by filing date | |
| EVEREST GROUP LTD COM | G3223R108 | Stock | 1,284 | $278,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,603 | $275,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 4,580 | $275,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 6,358 | $274,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 6,095 | $273,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 6,676 | $273,000 | thousands by filing date | |
| Invesco S&P 500 Pure Growth | 78355W403 | GUG S&P500 PU GR | 3,278 | $272,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 5,700 | $269,000 | thousands by filing date | |
| VGT | 92204A702 | SHS | 2,176 | $265,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 4,979 | $265,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W604 | US SMALLCAP DIVD | 3,216 | $264,000 | thousands by filing date | |
| WISDOMTREE TR | 97717X263 | CURRNCY INT EQ | 9,893 | $263,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 1,853 | $262,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 5,521 | $261,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 4,402 | $261,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 5,199 | $259,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 10,800 | $259,000 | thousands by filing date | |
| WEC ENERGY GROUP INC COM | 92939U106 | Stock | 4,410 | $258,000 | thousands by filing date | |
| VANGUARD WORLD FD | 92204A603 | INDUSTRIAL ETF | 2,164 | $258,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 2,971 | $256,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 9,434 | $255,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 3,301 | $255,000 | thousands by filing date | |
| DUFF & PHELPS | 26432K108 | EXCHANGE TRADED | 26,994 | $255,000 | thousands by filing date | |
| TELEDYNE TECHNOLOGIES INC COM | 879360105 | Stock | 2,069 | $254,000 | thousands by filing date | |
| ARROW ETF TR | 04273H104 | ARROW DJ GLB YLD | 13,749 | $253,000 | thousands by filing date | |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 15,300 | $251,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 1,505 | $246,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 5,026 | $246,000 | thousands by filing date | |
| iShares Core S&P U.S. Value ETF | 464287663 | SHS | 5,011 | $245,000 | thousands by filing date | |
| NORTHWEST NATURAL GAS CO | 667655104 | COM | 4,105 | $245,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 2,759 | $244,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 5,228 | $244,000 | thousands by filing date | |
| DBX ETF TR | 233051200 | XTRACK MSCI EAFE | 8,777 | $244,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 4,588 | $243,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 955 | $241,000 | thousands by filing date | |
| OLD REP INTL CORP COM | 680223104 | Stock | 12,704 | $241,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 12,604 | $241,000 | thousands by filing date | |
| PIMCO NEW YORK MUN INCM | 72201E105 | FD 1 COM | 24,068 | $241,000 | thousands by filing date | |
| ABSOLUTE SHS TR WBI BBR GBL HIGH | 00400R882 | CEF | 10,117 | $241,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 6,986 | $240,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 3,042 | $240,000 | thousands by filing date | |
| Chesapeake Energy Corp PFD Conv | 165167842 | Pfd Stk | 5,179 | $240,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 24,450 | $239,000 | thousands by filing date | |
| WESTERN ASSET MTG CAP CORP | 95790D105 | COM | 23,831 | $239,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN OIL | 73935X625 | COM | 18,642 | $239,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DYN LSR | 73935X757 | COM | 5,949 | $238,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,399 | $237,000 | thousands by filing date | |
| CAL MAINE FOODS INC COM NEW | 128030202 | Stock | 5,389 | $235,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 1,749 | $233,000 | thousands by filing date | |
| POWERSHARES | 73935X286 | COMMON STOCK | 4,610 | $233,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CLASS CLASS C | 24703L103 | CLASS C | 4,204 | $233,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 2,348 | $232,000 | thousands by filing date | |
| POWERSHS DB US DOLLAR INDEX DO | 73936D107 | COM | 8,600 | $231,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 13,961 | $230,000 | thousands by filing date | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 5,774 | $228,000 | thousands by filing date | |
| POWERSHARES ETF TRUST DWA TECH | 73935X153 | COM | 5,413 | $227,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 1,863 | $225,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,071 | $225,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 7,804 | $225,000 | thousands by filing date | |
| CSX Corporation | 126408103 | COM | 6,214 | $224,000 | thousands by filing date | |
| ISHARES INC MSCI EURZONE ETF | 464286608 | MSCI EURZONE ETF | 6,455 | $224,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W760 | INTL SMCAP DIV | 3,727 | $224,000 | thousands by filing date | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,938 | $223,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 2,054 | $223,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F700 | AGRIBUSINESS ETF | 4,299 | $223,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 823 | $222,000 | thousands by filing date | |
| HUNTINGTON INGALLS INDS INC COM | 446413106 | Stock | 1,210 | $222,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 3,603 | $221,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 15,800 | $221,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM | 73936B101 | DB ENERGY FUND | 16,025 | $221,000 | thousands by filing date | |
| FIRST TR EXCH TRADED FD III | 33739N108 | MANAGD MUN ETF | 4,300 | $220,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 21,830 | $220,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 3,705 | $219,000 | thousands by filing date | |
| POWERSHARES S&P SMALLCAP LOW | 73937B639 | EXCHANGE TRADED | 5,018 | $218,000 | thousands by filing date | |
| Intercontinental Exchange,Inc. | 45866F104 | COM | 3,871 | $217,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 6,658 | $217,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y848 | GLOBAL X SILVER | 6,840 | $217,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 4,554 | $215,000 | thousands by filing date | |
| FIRST SOLAR INC COM | 336433107 | Stock | 6,763 | $215,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,073 | $213,000 | thousands by filing date | |
| EDISON INTL COM | 281020107 | Stock | 2,950 | $213,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 9,440 | $213,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 5,709 | $212,000 | thousands by filing date | |
| ISHARES TR | 464288612 | INTRM GOV CR ETF | 1,936 | $211,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 5,826 | $211,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 1,894 | $209,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 2,298 | $208,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 4,671 | $207,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33734X176 | TECH ALPHADEX | 5,509 | $207,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 8,680 | $207,000 | thousands by filing date | |
| iShares Global 100 ETF | 464287572 | SHS | 2,685 | $206,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 2,850 | $206,000 | thousands by filing date | |
| SPDR S&P Metals & Mining ETF | 78464A755 | SHS | 6,749 | $205,000 | thousands by filing date | |
| LEGGETT & PLATT INC | 524660107 | COM | 4,151 | $205,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 5,367 | $205,000 | thousands by filing date | |
| RIVERNORTH DOUBLELINE STRATE | 76882G107 | COM | 11,080 | $205,000 | thousands by filing date | |
| DBX ETF TR | 233051853 | XTRACK MSCI EURP | 7,873 | $204,000 | thousands by filing date | |
| SYNERGY RES CORP | 87164P103 | COM | 22,900 | $204,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,182 | $203,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 9,695 | $203,000 | thousands by filing date | |
| WISDOMTREE U S VALUE ETF | 97717W547 | COM | 3,000 | $203,000 | thousands by filing date | |
| CYBERARK SOFTWARE LTD SHS | M2682V108 | Stock | 4,270 | $202,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 4,624 | $202,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 34,750 | $202,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 14,156 | $201,000 | thousands by filing date | |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 3,587 | $201,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 530 | $201,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 10,736 | $199,000 | thousands by filing date | |
| ENNIS INC COM | 293389102 | Stock | 11,250 | $195,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 19,120 | $195,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 13,596 | $195,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q734 | US EQTHIVOLPT WR | 10,052 | $195,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 12,795 | $194,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 23,196 | $193,000 | thousands by filing date | |
| ONEBEACON INSURANCE GROUP LT | G67742109 | COMMON STOCK | 12,000 | $192,000 | thousands by filing date | |
| ALLSPRING UTILITIES AND HIGH | 94987E109 | WF UTILITIES INC | 15,800 | $190,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 10,957 | $190,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 10,513 | $189,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013V108 | COM | 13,802 | $188,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 21,950 | $186,000 | thousands by filing date | |
| POWERSHS DB MULTI SECT COMM DB | 73936B705 | COM | 12,410 | $186,000 | thousands by filing date | |
| CAMBIUM LEARNING GRP INC COM | 13201A107 | COM | 37,408 | $185,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 13,391 | $183,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 12,853 | $183,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 20,101 | $179,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,630 | $172,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 26,147 | $172,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 41,000 | $170,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 32,510 | $169,000 | thousands by filing date | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 11,137 | $169,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 12,507 | $162,000 | thousands by filing date | |
| FARMERS NATL BANC CORP | 309627107 | COMMON STOCK | 11,410 | $162,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E747 | GLOB X NOR ETF | 14,605 | $158,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY- | 27828Y108 | COM | 10,610 | $157,000 | thousands by filing date | |
| HERCULES CAPITAL INC | 427096508 | COM | 11,091 | $156,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 14,000 | $156,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 17,409 | $155,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 16,500 | $155,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 22,741 | $152,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 18,384 | $146,000 | thousands by filing date | |
| JONESTOWN BK &TR CO PA COM | 48019R108 | COM | 28,952 | $145,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 11,176 | $140,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 12,585 | $139,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 41,133 | $136,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 10,563 | $133,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 11,284 | $132,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 12,646 | $129,000 | thousands by filing date | |
| NOBLE CORP PLC | G65431101 | SHS USD | 19,908 | $119,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 10,280 | $117,000 | thousands by filing date | |
| TRANSALTA CORP | 89346D107 | COM | 20,934 | $116,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD | 72201H108 | COM | 10,293 | $109,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,190 | $102,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 14,500 | $97,000 | thousands by filing date | |
| FERRELLGAS PARTNERS L.P. | 315293100 | UNIT LTD PART | 13,016 | $88,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 15,987 | $86,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 82,000 | $84,000 | thousands by filing date | principal |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 12,112 | $81,000 | thousands by filing date | |
| TETRA TECHNOLOGIES INC DEL | 88162F105 | COM | 15,100 | $76,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 14,620 | $74,000 | thousands by filing date | |
| SYMBOLIC LOGIC INC | 30049R209 | COM | 17,000 | $69,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 11,250 | $60,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 10,479 | $58,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 13,335 | $57,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 16,202 | $55,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 19,000 | $53,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 50,000 | $51,000 | thousands by filing date | principal |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 20,000 | $42,000 | thousands by filing date | |
| SANDRIDGE PERMIAN TR | 80007A102 | COM UNIT BEN INT | 14,298 | $42,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 13,200 | $41,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 11,959 | $41,000 | thousands by filing date | |
| HARMONY GOLD MINING CO LTD SPONSORED ADR | 413216300 | ADR | 18,000 | $40,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 20,437 | $40,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 12,500 | $38,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 15,000 | $31,000 | thousands by filing date | |
| GLOBALSTAR INC | 378973408 | COM | 16,930 | $27,000 | thousands by filing date | |
| GLOWPOINT INC | 379887201 | CMN | 94,020 | $25,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 10,000 | $24,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 22,000 | $22,000 | thousands by filing date | principal |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 15,000 | $14,000 | thousands by filing date | principal |
| MANNKIND CORP | 56400P201 | COM | 15,150 | $9,000 | thousands by filing date | |
| CORINDUS VASCULAR ROBOTICS I | 218730109 | COM | 13,000 | $9,000 | thousands by filing date | |
| INTERNATIONAL TOWER HILL MIN | 46050R102 | COM | 13,075 | $8,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 16,155 | $8,000 | thousands by filing date | |
| PARETEUM CORP COM | 69946T108 | Stock | 14,122 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-17-000797 | this filing | 2017-02-15 | acceptance time not in the bulk data set |