13F-HR filed by LPL Financial LLC
LPL Financial LLC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-05, with 2,677 holding rows worth $4,630,829,000 by the sum of the rows.
- Accession
- 0001403438-14-000007
- Filer
- CIK 1403438
- Filed
- 2014-08-05
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 2,677 entries on the cover page, a total value of $17,166,593,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $4,630,829,000 with VALUE read as thousands by filing date, 13F file number 028-12526. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The cover page states a total of $17,166,593,000, 271% more than the sum of the rows, $4,630,829,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| SPDR INDEX SHS FDS | 78463X301 | ST STR ASIA ETF | 2,903 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 3,202,012 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 7,454 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A474 | ST SHOR CORP ETF | 40,545 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A375 | ST INTER BD ETF | 20,759 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A722 | ST STR SP PHARMA | 105,823 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 89,039 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 963,496 | $1,693,000 | thousands by filing date | |
| ACCENDRA HEALTH INC | 690732102 | COM | 6,168 | $1,693,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 19,140 | $1,693,000 | thousands by filing date | |
| CHARLES RIV LABS INTL INC | 159864107 | COM | 4,435 | $1,693,000 | thousands by filing date | |
| CHATHAM LODGING TR | 16208T102 | COM | 14,450 | $1,693,000 | thousands by filing date | |
| CHEFS WHSE INC | 163086101 | COM | 10,400 | $1,693,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 24,872 | $1,693,000 | thousands by filing date | |
| COGNEX CORP | 192422103 | COM | 8,618 | $1,693,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 312,237 | $1,693,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 10,186 | $1,693,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED G | 27828U106 | COM | 88,208 | $1,693,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829c105 | COM | 862,973 | $1,693,000 | thousands by filing date | |
| CRACKER BARREL OLD CTRY STOR | 22410J106 | COM | 3,547 | $1,693,000 | thousands by filing date | |
| CUSTOMERS BANCORP INC | 23204G100 | COM | 15,725 | $1,693,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 93,360 | $1,693,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 12,434 | $1,693,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TRU | 301505707 | ROBO GLB ETF | 19,214 | $1,693,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 47,423 | $1,693,000 | thousands by filing date | |
| EATON VANCE MUN INCOME TERM | 27829U105 | SHS | 15,904 | $1,693,000 | thousands by filing date | |
| EATON VANCE TAX ADVT DIV INC | 27828G107 | COM | 387,594 | $1,693,000 | thousands by filing date | |
| KIRBY CORP | 497266106 | COM | 4,894 | $1,693,000 | thousands by filing date | |
| KOHLS CORP | 500255104 | COM | 22,145 | $1,693,000 | thousands by filing date | |
| HAIN CELESTIAL GROUP INC | 405217100 | COM | 23,495 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A839 | ST STR SP400VAL | 27,929 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 117,795 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464a201 | ST STR SP600GRWO | 78,362 | $1,693,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 88,696 | $1,693,000 | thousands by filing date | |
| PINNACLE WEST CAP CORP | 723484101 | COM | 5,037 | $1,693,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 12,962 | $1,693,000 | thousands by filing date | |
| POST HLDGS INC | 737446104 | COM | 5,488 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347R818 | PSHS ULT SCAP600 | 4,387 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 9,326 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347R404 | PSHS ULT MCAP400 | 41,378 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347R206 | PSHS ULTRA QQQ | 52,919 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 6,411 | $1,693,000 | thousands by filing date | |
| PROTO LABS INC | 743713109 | COM | 4,279 | $1,693,000 | thousands by filing date | |
| RALPH LAUREN CORP | 751212101 | CL A | 12,745 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J224 | UNIT KING ALPH | 22,666 | $1,693,000 | thousands by filing date | |
| IPG PHOTONICS CORP | 44980X109 | COM | 26,668 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286103 | MSCI AUST ETF | 184,792 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286665 | MSCI PAC JP ETF | 160,707 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286509 | MSCI CDA ETF | 135,687 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 31,137 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286475 | EM MKT SM-CP ETF | 4,380 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286426 | MSCI EM ASIA ETF | 5,159 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 46,189 | $1,693,000 | thousands by filing date | |
| ISHARES INC | 464286632 | MSCI ISRAEL ETF | 4,762 | $1,693,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 65,161 | $1,693,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 15,945 | $1,693,000 | thousands by filing date | |
| HEALTHCARE SVCS GROUP INC | 421906108 | COM | 9,884 | $1,693,000 | thousands by filing date | |
| HELMERICH & PAYNE INC | 423452101 | COM | 16,905 | $1,693,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 17,051 | $1,693,000 | thousands by filing date | |
| HILLTOP HLDGS INC | 432748101 | COM | 16,329 | $1,693,000 | thousands by filing date | |
| RELIANCE INC | 759509102 | COM | 3,424 | $1,693,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 9,785 | $1,693,000 | thousands by filing date | |
| TERADATA CORP DEL | 88076W103 | COM | 11,474 | $1,693,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 7,433 | $1,693,000 | thousands by filing date | |
| UMH PPTYS INC | 903002103 | COM | 40,900 | $1,693,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311107 | CL A | 75,789 | $1,693,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 45,100 | $1,693,000 | thousands by filing date | |
| UNIVERSAL DISPLAY CORP | 91347P105 | COM | 7,700 | $1,693,000 | thousands by filing date | |
| WEBSTER FINL CORP | 947890109 | COM | 7,343 | $1,693,000 | thousands by filing date | |
| WELLS FARGO & CO | 949746804 | PERP PFD CNV A | 985 | $1,693,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 71,470 | $1,693,000 | thousands by filing date | |
| WESTLAKE CORPORATION | 960413102 | COM | 10,086 | $1,693,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 12,929 | $1,693,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 6,086 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288844 | US OIL EQ&SV ETF | 39,560 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 9,721 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464289883 | CORE 30 70 ETF | 228,607 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 59,599 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 46432F859 | CORE 1 5 YR USD | 4,607 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 346,349 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 2,190 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 53,130 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288356 | CALIF MUN BD ETF | 11,727 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288521 | CRE U S REIT ETF | 29,242 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287564 | SELECT US REIT | 285,707 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464289867 | CORE 60 BALA ETF | 131,789 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287861 | EUROPE ETF | 2,067,306 | $1,693,000 | thousands by filing date | |
| HUB GROUP INC | 443320106 | CL A | 8,138 | $1,693,000 | thousands by filing date | |
| HUNTSMAN CORP | 447011107 | COM | 77,362 | $1,693,000 | thousands by filing date | |
| VISTEON CORP | 92839U206 | COM NEW | 5,533 | $1,693,000 | thousands by filing date | |
| TANGER INC | 875465106 | COM | 9,105 | $1,693,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 10,747 | $1,693,000 | thousands by filing date | |
| MATERION CORP | 576690101 | COM | 11,592 | $1,693,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 68,239 | $1,693,000 | thousands by filing date | |
| MAXIMUS INC | 577933104 | COM | 6,005 | $1,693,000 | thousands by filing date | |
| MAXLINEAR INC | 57776J100 | COM | 17,285 | $1,693,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 10,729 | $1,693,000 | thousands by filing date | |
| MERCURY GENL CORP NEW | 589400100 | COM | 8,573 | $1,693,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 10,404 | $1,693,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 6,720 | $1,693,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 12,257 | $1,693,000 | thousands by filing date | |
| DAUCH CORP | 024061103 | COM | 13,917 | $1,693,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 30,636 | $1,693,000 | thousands by filing date | |
| THE COOPER COMPANIES | 216648402 | COM NEW | 2,682 | $1,693,000 | thousands by filing date | |
| CRANE CO | 224399105 | COM | 7,812 | $1,693,000 | thousands by filing date | |
| CREDIT SUISSE GROUP-ADR | 225401108 | SPONSORED ADR | 8,032 | $1,693,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 13,828 | $1,693,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 16,474 | $1,693,000 | thousands by filing date | |
| DUKE REALTY CORP | 264411505 | COM NEW | 10,366 | $1,693,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 121,013 | $1,693,000 | thousands by filing date | |
| VOYA ASIA PACIFIC HIGH DIVIDEN | 92912J102 | COM | 61,284 | $1,693,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 24,566 | $1,693,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 260,166 | $1,693,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 102,825 | $1,693,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 89,161 | $1,693,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 78,724 | $1,693,000 | thousands by filing date | |
| ZYNGA INC. | 98986T108 | CL A | 23,482 | $1,693,000 | thousands by filing date | |
| FARO TECHNOLOGIES INC | 311642102 | COM | 4,600 | $1,693,000 | thousands by filing date | |
| FIRST TRUST ENHANCED EQUITY IN | 337318109 | COM | 40,738 | $1,693,000 | thousands by filing date | |
| FLEETCOR TECHNOLOGIES INC | 339041105 | COM | 22,989 | $1,693,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 14,547 | $1,693,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 43,924 | $1,693,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 13,616 | $1,693,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 22,093 | $1,693,000 | thousands by filing date | |
| GLADSTONE CAPITAL CORPORATION | 376535100 | COM | 48,315 | $1,693,000 | thousands by filing date | |
| GOODYEAR TIRE & RUBBER CO | 382550101 | COM | 52,628 | $1,693,000 | thousands by filing date | |
| BUNGE LTD | G16962105 | COM | 3,319 | $1,693,000 | thousands by filing date | |
| GABELLI CONVERTIBLE & INCOME S | 36240B109 | COM | 67,888 | $1,693,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 153,478 | $1,693,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 194,909 | $1,693,000 | thousands by filing date | |
| HESS CORP | 42809H107 | COM | 11,439 | $1,693,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 14,943 | $1,693,000 | thousands by filing date | |
| BLACKROCK INC CL A COM | 09247X101 | COM | 27,659 | $1,693,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 114,928 | $1,693,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 15,707 | $1,693,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 30,451 | $1,693,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 30,055 | $1,693,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 18,834 | $1,693,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 13,716 | $1,693,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 22,044 | $1,693,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 256,940 | $1,693,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 156,454 | $1,693,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 123,513 | $1,693,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 130,374 | $1,693,000 | thousands by filing date | |
| ISHARES CMBS ETF | 46429B366 | CMBS ETF | 29,512 | $1,693,000 | thousands by filing date | |
| JUNIPER NETWORKS INC | 48203R104 | COM | 22,739 | $1,693,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 18,398 | $1,693,000 | thousands by filing date | |
| CVR ENERGY, INC. | 12662P108 | COM | 36,779 | $1,693,000 | thousands by filing date | |
| CANADIAN PACIFIC RAILWAYS | 13645T100 | COM | 20,499 | $1,693,000 | thousands by filing date | |
| LABORATORY CORP OF AMERICA | 50540R409 | COM NEW | 7,728 | $1,693,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 244,534 | $1,693,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE HOLDI | 55608B105 | COMMON UNITS | 5,723 | $1,693,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 17,293 | $1,693,000 | thousands by filing date | |
| MAINSTAY DEFINED TERM MUNI OPP | 56064K100 | COM | 21,511 | $1,693,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 526,153 | $1,693,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 328,169 | $1,693,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 5,892 | $1,693,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNICIP | 27826F101 | SH BEN INT | 23,117 | $1,693,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 48,131 | $1,693,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 107,287 | $1,693,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 105,810 | $1,693,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 52,135 | $1,693,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 118,677 | $1,693,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 243,119 | $1,693,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED BUY-WR | 27828X100 | COM | 40,053 | $1,693,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 192,953 | $1,693,000 | thousands by filing date | |
| FIRST REPUBLIC BANK/SAN FRANCI | 33616C100 | COM | 11,224 | $1,693,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 101,727 | $1,693,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 222,892 | $1,693,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 62,978 | $1,693,000 | thousands by filing date | |
| FIRST TRUST ENERGY INCOME AND | 33738G104 | COM | 307,003 | $1,693,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 54,514 | $1,693,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 53,859 | $1,693,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 100,232 | $1,693,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 91,912 | $1,693,000 | thousands by filing date | |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 12,826 | $1,693,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 61,286 | $1,693,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 209,096 | $1,693,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,857 | $1,693,000 | thousands by filing date | |
| NORDSTROM INC | 655664100 | COM | 28,114 | $1,693,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 257,120 | $1,693,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 17,306 | $1,693,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 26,093 | $1,693,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723762100 | COM | 79,428 | $1,693,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 43,442 | $1,693,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 23,521 | $1,693,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 48,904 | $1,693,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 105,679 | $1,693,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 89,727 | $1,693,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 395,608 | $1,693,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 122,600 | $1,693,000 | thousands by filing date | |
| SANDERSON FARMS | 800013104 | COM | 2,932 | $1,693,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 37,953 | $1,693,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 14,568 | $1,693,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 5,802 | $1,693,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 22,778 | $1,693,000 | thousands by filing date | |
| TEMPLETON EMERGING MARKETS FUN | 880191101 | COM | 41,377 | $1,693,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 25,758 | $1,693,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 18,205 | $1,693,000 | thousands by filing date | |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 3,588 | $1,693,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 43,393 | $1,693,000 | thousands by filing date | |
| TOTALENERGIES SE | 89151E109 | SPONSORED ADS | 199,355 | $1,693,000 | thousands by filing date | |
| BHP BILLITON- ADR | 05545E209 | SPONSORED ADR | 9,662 | $1,693,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 44,931 | $1,693,000 | thousands by filing date | |
| NEUBERGER BERMAN CALIFORNIA IN | 64123C101 | COM | 11,456 | $1,693,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 21,302 | $1,693,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 100,763 | $1,693,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 79,020 | $1,693,000 | thousands by filing date | |
| ISHARES 10 Y INVE GRADE COR B | 464289511 | 10+ YR INVST GRD | 81,248 | $1,693,000 | thousands by filing date | |
| JACOBS ENGINEERING GROUP INC | 469814107 | COM | 15,581 | $1,693,000 | thousands by filing date | |
| NUVEEN CALIFORNIA SELECT TAX-F | 67063R103 | SH BEN INT | 25,097 | $1,693,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 134,662 | $1,693,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 276,547 | $1,693,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 332,566 | $1,693,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 26,758 | $1,693,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 51,365 | $1,693,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 20,444 | $1,693,000 | thousands by filing date | |
| NUVEEN CORE EQUITY ALPHA FUND | 67090X107 | COM | 11,905 | $1,693,000 | thousands by filing date | |
| PDC ENERGY INC | 69327R101 | COM | 5,812 | $1,693,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 19,766 | $1,693,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 139,564 | $1,693,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 2,696 | $1,693,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 26,980 | $1,693,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 94,721 | $1,693,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72201C109 | COM | 80,682 | $1,693,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 229,499 | $1,693,000 | thousands by filing date | |
| SPDR CITI INTL GOVT INFLATION- | 78464A490 | FTSE INT GVT ETF | 82,765 | $1,693,000 | thousands by filing date | |
| SPDR PORTFOLIO TIPS ETF | 78464A656 | PORTFLI TIPS ETF | 14,360 | $1,693,000 | thousands by filing date | |
| SVB FINANCIAL GROUP | 78486Q101 | COM | 2,855 | $1,693,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K100 | COM | 9,895 | $1,693,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 59,690 | $1,693,000 | thousands by filing date | |
| SIGNATURE BANK | 82669G104 | COM | 2,721 | $1,693,000 | thousands by filing date | |
| SIX FLAGS ENTERTAINMENT CORP | 83001A102 | COM | 6,537 | $1,693,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 13,297 | $1,693,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 14,591 | $1,693,000 | thousands by filing date | |
| BROOKFIELD ASSET MANAGEMENT IN | 112585104 | CL A LTD VT SH | 13,104 | $1,693,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 830,667 | $1,693,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 42,408 | $1,693,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 84,012 | $1,693,000 | thousands by filing date | |
| TORTOISE PWR & ENERGY INFRASTR | 89147X104 | COM | 8,423 | $1,693,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 48,896 | $1,693,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240M108 | COM | 23,882 | $1,693,000 | thousands by filing date | |
| NATIONAL INSTRS CORP | 636518102 | COM | 8,117 | $1,693,000 | thousands by filing date | |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 88,740 | $1,693,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 9,265 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464289479 | CORE LT USDB ETF | 3,316 | $1,693,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 385,953 | $1,693,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 476,939 | $1,693,000 | thousands by filing date | |
| SYNOVUS FINL CORP | 87161C501 | COM NEW | 30,522 | $1,693,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 50,639 | $1,693,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 12,355 | $1,693,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 74,604 | $1,693,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 22,125 | $1,693,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 21,568 | $1,693,000 | thousands by filing date | |
| TUPPERWARE BRANDS CORP | 899896104 | COM | 5,407 | $1,693,000 | thousands by filing date | |
| UNILEVER N V | 904784709 | N Y SHS NEW | 104,885 | $1,693,000 | thousands by filing date | |
| WEINGARTEN RLTY INVS | 948741103 | SH BEN INT | 8,651 | $1,693,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 3,130 | $1,693,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 106,341 | $1,693,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 379,938 | $1,693,000 | thousands by filing date | |
| JOHN HANCOCK HDG EQ & INC FD | 47804L102 | COM | 23,241 | $1,693,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 11,509 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 40,243 | $1,693,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 48,923 | $1,693,000 | thousands by filing date | |
| ALEXION PHARMACEUTICALS INC | 015351109 | COM | 11,761 | $1,693,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 84,274 | $1,693,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 77,003 | $1,693,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 14,696 | $1,693,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 37,682 | $1,693,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 93,596 | $1,693,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 29,211 | $1,693,000 | thousands by filing date | |
| ASPEN TECHNOLOGY INC | 045327103 | COM | 22,156 | $1,693,000 | thousands by filing date | |
| BED BATH & BEYOND INC | 075896100 | COM | 21,664 | $1,693,000 | thousands by filing date | |
| VARIAN MED SYS INC | 92220P105 | COM | 5,139 | $1,693,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 11,967 | $1,693,000 | thousands by filing date | |
| CNOOC LIMITED | 126132109 | SPONSORED ADR | 2,323 | $1,693,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 97,863 | $1,693,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 184692101 | COM | 121,171 | $1,693,000 | thousands by filing date | |
| NUVEEN TAX-ADVANTAGED DIVID | 67073G105 | COM | 65,918 | $1,693,000 | thousands by filing date | |
| NUVEEN TX ADV TOTAL RET STRG | 67090H102 | COM | 11,594 | $1,693,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 368,729 | $1,693,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 422,426 | $1,693,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 12,996 | $1,693,000 | thousands by filing date | |
| E TRADE FINANCIAL CORP | 269246401 | COM NEW | 38,329 | $1,693,000 | thousands by filing date | |
| SPDR SER TR | 78464A292 | WELLS FG PFD ETF | 15,683 | $1,693,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 27,739 | $1,693,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 18,449 | $1,693,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 16,946 | $1,693,000 | thousands by filing date | |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 19,688 | $1,693,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 14,808 | $1,693,000 | thousands by filing date | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 23,554 | $1,693,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 14,370 | $1,693,000 | thousands by filing date | |
| WESTPAC BANKING CORP | 961214301 | SPONSORED ADR | 8,767 | $1,693,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 43,125 | $1,693,000 | thousands by filing date | |
| U S SILICA HLDGS INC | 90346E103 | COM | 49,133 | $1,693,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 99,766 | $1,693,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 10,476 | $1,693,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 46,271 | $1,693,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 15,057 | $1,693,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 13,135 | $1,693,000 | thousands by filing date | |
| GUGGENHEIM ENHANCED EQUITY I | 40167B100 | COM | 51,343 | $1,693,000 | thousands by filing date | |
| BLACKROCK STRATEGIC MUN TR | 09248T109 | COM | 37,590 | $1,693,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 40,550 | $1,693,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 20,543 | $1,693,000 | thousands by filing date | |
| WYNDHAM DESTINATIONS INC | 98310W108 | COM | 10,255 | $1,693,000 | thousands by filing date | |
| HELEN OF TROY CORP LTD | G4388N106 | COM | 27,899 | $1,693,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 17,459 | $1,693,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 59,911 | $1,693,000 | thousands by filing date | |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 32,386 | $1,693,000 | thousands by filing date | |
| CLEARBRIDGE MLP AND MIDSTRM | 18469Q108 | COM | 87,885 | $1,693,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 12,372 | $1,693,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 76,088 | $1,693,000 | thousands by filing date | |
| KANSAS CITY SOUTHERN | 485170302 | COM NEW | 19,803 | $1,693,000 | thousands by filing date | |
| L BRANDS INC | 501797104 | COM | 21,271 | $1,693,000 | thousands by filing date | |
| LA Z BOY INC | 505336107 | COM | 11,109 | $1,693,000 | thousands by filing date | |
| LIMONEIRA CO | 532746104 | COM | 134,271 | $1,693,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 60,903 | $1,693,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 26,188 | $1,693,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 76,820 | $1,693,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 77,856 | $1,693,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 39,562 | $1,693,000 | thousands by filing date | |
| SEATTLE GENETICS INC | 812578102 | COM | 8,773 | $1,693,000 | thousands by filing date | |
| SKECHERS U S A INC | 830566105 | CL A | 7,055 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A151 | SST SPDR BLOOMBE | 18,076 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A516 | ST INTL BBG ETF | 860,856 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X200 | DJ GLBL DIVID | 501,086 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J182 | EMERG MKT ALPH | 122,923 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X127 | ENERGY ALPHADX | 552,135 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J117 | EUROPE ALPHADEX | 316,651 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 5,661 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735J101 | COM SHS | 896,187 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 7,514 | $1,693,000 | thousands by filing date | |
| UNITED STS GASOLINE FD LP | 91201T102 | UNITS | 4,947 | $1,693,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 8,487 | $1,693,000 | thousands by filing date | |
| PRAXAIR INC | 74005P104 | COM | 17,576 | $1,693,000 | thousands by filing date | |
| TENNECO INC | 880349105 | COM | 5,324 | $1,693,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 72,523 | $1,693,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 9,019 | $1,693,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 3,877 | $1,693,000 | thousands by filing date | |
| AMC NETWORKS INC | 00164V103 | CL A | 6,803 | $1,693,000 | thousands by filing date | |
| CBS CORP NEW | 124857202 | CL B | 16,372 | $1,693,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 30,484 | $1,693,000 | thousands by filing date | |
| PANERA BREAD CO | 69840W108 | CL A | 3,066 | $1,693,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 66,236 | $1,693,000 | thousands by filing date | |
| CABELAS INC | 126804301 | COM | 6,987 | $1,693,000 | thousands by filing date | |
| LIONS GATE ENTMNT CORP | 535919203 | COM NEW | 22,662 | $1,693,000 | thousands by filing date | |
| MCGRAW HILL FINL INC | 580645109 | COM | 5,475 | $1,693,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 10,191 | $1,693,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 21,292 | $1,693,000 | thousands by filing date | |
| VALEANT PHARMACEUTICALS INTL | 91911K102 | COM | 22,048 | $1,693,000 | thousands by filing date | |
| CST BRANDS INC | 12646R105 | COM | 6,947 | $1,693,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 202,391 | $1,693,000 | thousands by filing date | |
| ISHARES | 464286731 | MSCI TAIWAN ETF | 810,049 | $1,693,000 | thousands by filing date | |
| MICHAEL KORS HLDGS LTD | G60754101 | SHS | 55,104 | $1,693,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 64,985 | $1,693,000 | thousands by filing date | |
| GOOGLE INC | 38259P706 | CL C | 43,886 | $1,693,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 33,794 | $1,693,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 25,439 | $1,693,000 | thousands by filing date | |
| GNC HLDGS INC | 36191G107 | COM CL A | 16,241 | $1,693,000 | thousands by filing date | |
| ALLEGHANY CORP DEL | 017175100 | COM | 796 | $1,693,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 36,576 | $1,693,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 25,204 | $1,693,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 58,729 | $1,693,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 12,294 | $1,693,000 | thousands by filing date | |
| TORCHMARK CORP | 891027104 | COM | 5,160 | $1,693,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 54,365 | $1,693,000 | thousands by filing date | |
| PIMCO CALIF MUN INCOME FD | 72200N106 | COM | 161,665 | $1,693,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 114,479 | $1,693,000 | thousands by filing date | |
| COMPANHIA SIDERURGICA NACION | 20440W105 | SPONSORED ADR | 26,031 | $1,693,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L506 | IBOXX 3R TARGT | 10,771 | $1,693,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 133,041 | $1,693,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 80,436 | $1,693,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 39,793 | $1,693,000 | thousands by filing date | |
| CHEGG INC | 163092109 | COM | 33,387 | $1,693,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE TOTAL RE | 338479108 | COM | 147,988 | $1,693,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 42,317 | $1,693,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 16,631 | $1,693,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X772 | S&P INTL ETF | 721,950 | $1,693,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 152,258 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 38,464 | $1,693,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 112,857 | $1,693,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 14,337 | $1,693,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 12,225 | $1,693,000 | thousands by filing date | |
| PROSHARES TR | 74347B508 | DJ BRKFLD GLB | 8,151 | $1,693,000 | thousands by filing date | |
| URBAN OUTFITTERS INC | 917047102 | COM | 27,646 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A284 | NUVEEN ICE HIGH | 12,716 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288778 | US REGNL BKS ETF | 53,663 | $1,693,000 | thousands by filing date | |
| MORGAN STANLEY CHINA A SH FD | 617468103 | COM | 13,160 | $1,693,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 70,792 | $1,693,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 15,954 | $1,693,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 23,020 | $1,693,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 13,075 | $1,693,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C599 | VNG RUS3000IDX | 88,842 | $1,693,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 106,988 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287846 | DOW JONES US ETF | 98,692 | $1,693,000 | thousands by filing date | |
| PIEDMONT REALTY TRUST INC | 720190206 | COM CL A | 94,549 | $1,693,000 | thousands by filing date | |
| GAMCO NAT RES GOLD & INCOME | 36465E101 | SH BEN INT | 38,885 | $1,693,000 | thousands by filing date | |
| FLAHERTY & CRUMRINE PFD INCO | 33848E106 | COM | 69,578 | $1,693,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 150,014 | $1,693,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 116,281 | $1,693,000 | thousands by filing date | |
| FS KKR CAPITAL CORP | 302635107 | COM | 3,262,130 | $1,693,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 38,598 | $1,693,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 61,761 | $1,693,000 | thousands by filing date | |
| HIGHLAND FDS I | 430101774 | HI LD IBOXX SRLN | 113,390 | $1,693,000 | thousands by filing date | |
| TORTOISE ENERGY INFRA CORP | 89147L100 | COM | 148,134 | $1,693,000 | thousands by filing date | |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 30,323 | $1,693,000 | thousands by filing date | |
| CRESCENT PT ENERGY CORP | 22576C101 | COM | 6,810 | $1,693,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E473 | GLBL X MLP ETF | 111,499 | $1,693,000 | thousands by filing date | |
| CUSHING RENAISSANCE FD | 231647108 | COM | 36,100 | $1,693,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 81,532 | $1,693,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 101,426 | $1,693,000 | thousands by filing date | |
| NUVEEN ENERGY MLP TOTL RTRNF | 67074U103 | COM | 118,082 | $1,693,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 3,784 | $1,693,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 20,587 | $1,693,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 11,870 | $1,693,000 | thousands by filing date | |
| KENNAMETAL INC | 489170100 | COM | 8,327 | $1,693,000 | thousands by filing date | |
| AON PLC | G0408V102 | SHS CL A | 30,651 | $1,693,000 | thousands by filing date | |
| GASLOG LTD | G37585109 | SHS | 70,472 | $1,693,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 20,868 | $1,693,000 | thousands by filing date | |
| PHOTRONICS INC | 719405102 | COM | 60,941 | $1,693,000 | thousands by filing date | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 3,314 | $1,693,000 | thousands by filing date | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 7,982 | $1,693,000 | thousands by filing date | |
| HARMONIC INC | 413160102 | COM | 38,683 | $1,693,000 | thousands by filing date | |
| ENVIRI CORP | 415864107 | COM | 8,080 | $1,693,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 119,022 | $1,693,000 | thousands by filing date | |
| TELECOM ARGENTINA SA | 879273209 | SPON ADR REP B | 22,087 | $1,693,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 146,859 | $1,693,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 9,953 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 193,936 | $1,693,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 27,649 | $1,693,000 | thousands by filing date | |
| NORTHFIELD BANCORP INC | 66611T108 | COMMON STOCK | 25,650 | $1,693,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 27,999 | $1,693,000 | thousands by filing date | |
| WABASH NATIONAL CORP | 929566107 | COMMON STOCK | 18,119 | $1,693,000 | thousands by filing date | |
| STANDARD MOTOR PRODS | 853666105 | COMMON STOCK | 12,983 | $1,693,000 | thousands by filing date | |
| UNISYS CORP | 909214306 | COMMON STOCK | 10,434 | $1,693,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 14,063 | $1,693,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 19,624 | $1,693,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 21,787 | $1,693,000 | thousands by filing date | |
| STRATTEC SECURITY CORP | 863111100 | COMMON STOCK | 5,017 | $1,693,000 | thousands by filing date | |
| CARRIAGE SERVICES INC | 143905107 | COMMON STOCK | 25,362 | $1,693,000 | thousands by filing date | |
| GREAT SOUTHERN BANCORP INC | 390905107 | COMMON STOCK | 7,596 | $1,693,000 | thousands by filing date | |
| GREENLIGHT CAPITAL RE LTD A | G4095J109 | COMMON STOCK | 25,338 | $1,693,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 11,504 | $1,693,000 | thousands by filing date | |
| CONSOLIDATED WATER CO ORD SH | G23773107 | COMMON STOCK | 27,807 | $1,693,000 | thousands by filing date | |
| COOPER STANDARD HOLDING | 21676P103 | COMMON STOCK | 23,054 | $1,693,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 17,713 | $1,693,000 | thousands by filing date | |
| RPC INC | 749660106 | COMMON STOCK | 19,928 | $1,693,000 | thousands by filing date | |
| ZUMIEZ INC | 989817101 | COMMON STOCK | 7,477 | $1,693,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 9,300 | $1,693,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 90,787 | $1,693,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 50,796 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M300 | SML CP GRW ALP | 64,466 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 49,423 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 29,409 | $1,693,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR II | 410142103 | COM | 30,747 | $1,693,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 97,647 | $1,693,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505301 | YLD SHS HGH INC | 72,200 | $1,693,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 13,279 | $1,693,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 176,923 | $1,693,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85207Q104 | PHYSICAL PLATINU | 66,782 | $1,693,000 | thousands by filing date | |
| Direxion Daily Technology Bull 3X Shares | 25459W102 | ETF | 4,224 | $1,693,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 28,302 | $1,693,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A404 | VIDENT INTERNATI | 52,141 | $1,693,000 | thousands by filing date | |
| PROSHARES TR II | 74347W601 | ULTRA GOLD | 5,403 | $1,693,000 | thousands by filing date | |
| PROSHARES TR II | 74347W353 | ULTRA SILVER NEW | 9,674 | $1,693,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V400 | STATE STREET GLO | 22,867 | $1,693,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X533 | ST MAR DIVID ETF | 28,894 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287374 | NORTH AMERN NAT | 262,820 | $1,693,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R205 | 1-5 US TIP IDX | 515,524 | $1,693,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 262,644 | $1,693,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 87,528 | $1,693,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 83,935 | $1,693,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 82,136 | $1,693,000 | thousands by filing date | |
| FIRST TRUST INTERMEDIATE DURATION PREFERRED & INCOME FUND | 33718W103 | CEF | 146,795 | $1,693,000 | thousands by filing date | |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 25,084 | $1,693,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 31,787 | $1,693,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 133,387 | $1,693,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R874 | SHTRM MUN BD ACT | 16,406 | $1,693,000 | thousands by filing date | |
| PIMCO STRATEGIC INCOME FD | 72200X104 | COM | 154,227 | $1,693,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061409 | GLOBAL VALUE ETF | 26,654 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287333 | GLOBAL FINLS ETF | 21,370 | $1,693,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 505,661 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464287531 | US DIGI REAL ETF | 7,160 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 52,730 | $1,693,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 10,620 | $1,693,000 | thousands by filing date | |
| DBX ETF TR | 233051507 | XTRACK MSCI JAPN | 189,409 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288489 | INTL DEV RE ETF | 21,338 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288505 | MRGSTR SM CP ETF | 29,758 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288737 | GLB CNSM STP ETF | 35,555 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464288794 | US BR DEL SE ETF | 26,154 | $1,693,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 131,403 | $1,693,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X749 | ST DOW GLOBA ETF | 618,955 | $1,693,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X863 | ST DOW INTL ETF | 205,265 | $1,693,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 365,983 | $1,693,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W802 | ITL HIGH DIV FD | 12,028 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33734K109 | COM SHS | 1,049,279 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 243,545 | $1,693,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 166,677 | $1,693,000 | thousands by filing date | |
| GABELLI UTIL TR | 36240A101 | COM | 435,595 | $1,693,000 | thousands by filing date | |
| STATE STREET SPDR NYSE TECHNOLOGY ETF | 78464A102 | ETF | 4,481 | $1,693,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001403438-14-000007 | this filing | 2014-08-05 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001403438-14-000009 | base | 2014-08-05 | acceptance time not in the bulk data set |