13F-HR filed by CWM, LLC
CWM, LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 654 holding rows worth $641,024,000.
- Accession
- 0001214659-14-001189
- Filer
- CIK 1535847
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 654 entries on the cover page, a total value of $641,024,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $641,024,000 with VALUE read as thousands by filing date, 13F file number 028-15648. 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 |
|---|---|---|---|---|---|---|
| SCRIPPS NETWORKS INTERACT IN | 811065101 | CL A COM | 69 | $6,000 | thousands by filing date | |
| PALL CORP | 696429307 | COM | 66 | $6,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 111 | $6,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 900 | $6,000 | thousands by filing date | |
| HCC INS HLDGS INC | 404132102 | COM | 121 | $6,000 | thousands by filing date | |
| RYANAIR HLDGS PLC | 783513104 | SPONSORED ADR | 126 | $6,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 50 | $5,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 94 | $5,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 48 | $5,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 96 | $5,000 | thousands by filing date | |
| Vanguard Total Bond Market ETF | 921937835 | SHS | 58 | $5,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 268 | $5,000 | thousands by filing date | |
| PEGASYSTEMS INC COM | 705573103 | Stock | 100 | $5,000 | thousands by filing date | |
| WW GRAINGER INC COM | 384802104 | Stock | 21 | $5,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 119 | $5,000 | thousands by filing date | |
| AMERICAN ELEC PWR CO INC COM | 025537101 | Stock | 97 | $5,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 65 | $5,000 | thousands by filing date | |
| ISHARES TR | 464287796 | U.S. ENERGY ETF | 100 | $5,000 | thousands by filing date | |
| GAMESTOP CORP | 36467W109 | CL A | 110 | $5,000 | thousands by filing date | |
| MILLERKNOLL INC | 600544100 | COM | 185 | $5,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 32 | $5,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 150 | $5,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 55 | $5,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 37 | $5,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 100 | $5,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 800 | $5,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 900 | $5,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC | 854502901 | COM | 30 | $5,000 | thousands by filing date | call |
| LIBERTY GLOBAL PLC | G5480U104 | SHS CL A | 57 | $5,000 | thousands by filing date | |
| VALIDUS HOLDINGS LTD | G9319H102 | COM SHS | 131 | $5,000 | thousands by filing date | |
| STONEMOR PARTNERS LP | 86183Q100 | COMMON STOCK | 195 | $5,000 | thousands by filing date | |
| IRON MTN INC NEW REIT | 462846106 | COM | 180 | $5,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 49 | $5,000 | thousands by filing date | |
| CATAMARAN CORP | 148887102 | COM | 100 | $5,000 | thousands by filing date | |
| KINDER MORGAN INC DEL | 49456B119 | *W EXP 05/25/201 | 1,280 | $5,000 | thousands by filing date | |
| STEIN MART INC | 858375108 | COM | 400 | $5,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 200 | $5,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 665 | $5,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 306 | $4,000 | thousands by filing date | |
| ASMLHLDGNVFSPONSOREDADR1ADRREPS1ORDSHS | N07059210 | STOK | 40 | $4,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932107 | COM | 115 | $4,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 31 | $4,000 | thousands by filing date | |
| VALMONT INDS INC COM | 920253101 | Stock | 27 | $4,000 | thousands by filing date | |
| CARMAX INC COM | 143130102 | Stock | 90 | $4,000 | thousands by filing date | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 53 | $4,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 50 | $4,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 53 | $4,000 | thousands by filing date | |
| DUKE ENERGY CORP NEW | 26441C904 | COM NEW | 76 | $4,000 | thousands by filing date | call |
| THE CAMPBELLS COMPANY | 134429909 | COM | 74 | $4,000 | thousands by filing date | call |
| BLACK BOX CORP | 091826107 | COMMON STOCK | 150 | $4,000 | thousands by filing date | |
| SAPIENT CORPORATION | 803062108 | COMMON STOCK | 233 | $4,000 | thousands by filing date | |
| DELPHI AUTOMOTIVE PLC | G27823106 | COMMON STOCK-FO | 59 | $4,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 34 | $4,000 | thousands by filing date | |
| TECHNIPFMC PLC | 30249U101 | COM | 75 | $4,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 67 | $4,000 | thousands by filing date | |
| VANTIV INC | 92210H105 | CL A | 117 | $4,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 100 | $4,000 | thousands by filing date | |
| TW TELECOM INC | 87311L104 | COM | 115 | $4,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DELAWARE | 531229102 | CL A | 30 | $4,000 | thousands by filing date | |
| ARM HLDGS PLC | 042068106 | SPONSORED ADR | 77 | $4,000 | thousands by filing date | |
| AIXTRON SE | 009606104 | SPONSORED ADR | 250 | $4,000 | thousands by filing date | |
| ServiceNow,Inc. | 81762P102 | COM | 57 | $3,000 | thousands by filing date | |
| CHIPOTLEMEXICANGRILLI | 169656105 | STOK | 6 | $3,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 128 | $3,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 35 | $3,000 | thousands by filing date | |
| DOLLAR TREE INC COM | 256746108 | Stock | 56 | $3,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 100 | $3,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 95 | $3,000 | thousands by filing date | |
| FIRST COMWLTH FINL CORP PA | 319829107 | COM | 330 | $3,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 23 | $3,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 53 | $3,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 152 | $3,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 93 | $3,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 72 | $3,000 | thousands by filing date | |
| FASTENAL CO | 311900904 | COM | 24 | $3,000 | thousands by filing date | call |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 100 | $3,000 | thousands by filing date | |
| SBA COMMUNICATIONS CORP | 78388J106 | COMMON STOCK | 32 | $3,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 50 | $3,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 100 | $3,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 16 | $3,000 | thousands by filing date | |
| OCWEN FINL CORP | 675746309 | COM NEW | 50 | $3,000 | thousands by filing date | |
| HOSPITALITY PROPERTIES TRUST | 44106M902 | COM | 189 | $3,000 | thousands by filing date | call |
| ISHARES TR | 464288620 | SHS | 23 | $2,000 | thousands by filing date | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 81 | $2,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 21 | $2,000 | thousands by filing date | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 100 | $2,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 200 | $2,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 14 | $2,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 23 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 19 | $2,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 229 | $2,000 | thousands by filing date | |
| ECHOSTAR CORP | 278768106 | CL A | 40 | $2,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 48 | $2,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 80 | $2,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 26 | $2,000 | thousands by filing date | |
| AMERICAN EAGLE OUTFITTERS IN | 02553E906 | CALL | 35 | $2,000 | thousands by filing date | call |
| AGL RES INC | 001204106 | COM | 41 | $2,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 222 | $2,000 | thousands by filing date | |
| HOSPIRA INC | 441060100 | COM | 40 | $2,000 | thousands by filing date | |
| ORBITAL SCIENCES CORP | 685564106 | COM | 100 | $2,000 | thousands by filing date | |
| MKT VECTORS EMRG MKT LCL C | 57060U522 | ETF | 101 | $2,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 112 | $2,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 50 | $1,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 102 | $1,000 | thousands by filing date | |
| TELEPHONE & DATA SYS INC | 879433829 | COM NEW | 43 | $1,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 12 | $1,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 25 | $1,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 30 | $1,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 45 | $1,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 185 | $1,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 124 | $1,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122908 | CALL | 8 | $1,000 | thousands by filing date | call |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 29 | $1,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 300 | $1,000 | thousands by filing date | |
| CSS INDS INC | 125906107 | COMMON STOCK | 50 | $1,000 | thousands by filing date | |
| WINDSTREAM HLDGS INC | 97382A101 | COM | 122 | $1,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 210 | $1,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 25 | $1,000 | thousands by filing date | |
| LSI CORPORATION | 502161102 | COM | 106 | $1,000 | thousands by filing date | |
| ALTISOURCE ASSET MGMT CORP | 02153X108 | COM | 1 | $1,000 | thousands by filing date | |
| BLYTH INC | 09643P207 | COM NEW | 72 | $1,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 100 | $1,000 | thousands by filing date | |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 24 | $1,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 67 | $1,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 222 | $1,000 | thousands by filing date | |
| AOL INC | 00184X105 | COM | 11 | $1,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 200 | $1,000 | thousands by filing date | |
| MTR GAMING GROUP INC | 553769100 | COM | 250 | $1,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 150 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NEWS CORP NEW CL A | 65249B109 | Stock | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 40 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 18 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| NCR VOYIX CORPORATION | 62886E108 | COM | 8 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| GENIE ENERGY LTD | 372284208 | CL B | 45 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| PLUG PWR INC | 72919P202 | COM NEW | 70 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 4 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Mallinckrodt Plc | G5785G107 | SHS | 3 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| TEXAS INSTRS INC | 882508904 | CALL | 7 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| EXELON CORP | 30161N901 | COM | 275 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| OCEAN RIG UDW INC | Y64354205 | COMMON STOCK-FO | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| Pentair Inc | H6169Q108 | PNR | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ST JUDE MED INC | 790849103 | COM | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| THE ADT CORPORATION | 00101J106 | COM | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 100 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 250 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 6 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ASCENT CAPITAL GROUP INC-A | 043632108 | COM | 5 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| DYNEGY INC WARRANT | 26817R116 | WARRANT | 12 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CA INC | 12673P905 | COM | 1 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| * GIGAMEDIA LTD | Y2711Y104 | ORD | 50 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| BARCLAYS IPTH SRS B S&P SHRT TRM ETN | 06742E711 | IPATH S&P500 VIX | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| STRAIGHT PATH COMMUNICATNS I | 862578101 | CL B | 22 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001214659-14-001189 | this filing | 2014-02-14 | acceptance time not in the bulk data set |