13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-01-24, with 1,235 holding rows worth $2,442,146,000.
- Accession
- 0001419186-14-000002
- Filer
- CIK 1419186
- Filed
- 2014-01-24
- 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, 1,235 entries on the cover page, a total value of $2,442,146,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,442,146,000 with VALUE read as thousands by filing date, 13F file number 028-12861. 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 |
|---|---|---|---|---|---|---|
| J.HANCOCK FINL OPP FUND | 409735206 | COM | 9,893 | $233,000 | thousands by filing date | |
| MEMORIAL PRODUCTION PARTNERS | 586048100 | COMMON STOCK | 10,600 | $233,000 | thousands by filing date | |
| PG&E CORP COM | 69331C108 | Stock | 5,763 | $232,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 4,023 | $231,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 2,150 | $229,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,761 | $229,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 2,269 | $229,000 | thousands by filing date | |
| ISHARES TR | 464288208 | MRGSTR MD CP ETF | 1,771 | $229,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 2,958 | $228,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 7,675 | $228,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 3,178 | $227,000 | thousands by filing date | |
| ISHARES TR | 464288802 | ESG OPTIMIZED | 2,958 | $227,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 17,909 | $227,000 | thousands by filing date | |
| ISHARES | 464289271 | TR 2017 S\&P.* AMTFR | 4,125 | $227,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 3,547 | $226,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 2,012 | $226,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 15,408 | $226,000 | thousands by filing date | |
| SAP SE SPON ADR | 803054204 | ADR | 2,581 | $225,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 5,579 | $224,000 | thousands by filing date | |
| NATUS MEDICAL INC | 639050103 | COM | 9,950 | $224,000 | thousands by filing date | |
| PULTE GROUP INC COM | 745867101 | Stock | 10,932 | $223,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 8,604 | $223,000 | thousands by filing date | |
| FIRST TRUST VALUE LINE EQUITY | 336919105 | COM | 8,660 | $223,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 6,679 | $222,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 17,325 | $222,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 23,786 | $222,000 | thousands by filing date | |
| TYCO INTERNATIONAL LTD | H89128104 | SHS | 5,398 | $222,000 | thousands by filing date | |
| MAIN STR CAP CORP | 56035L104 | COM | 6,769 | $221,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 6,960 | $221,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 17,713 | $221,000 | thousands by filing date | |
| AUTODESK INC COM | 052769106 | Stock | 4,372 | $220,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 30,606 | $220,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 7,730 | $220,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W125 | FUTRE STRAT FD | 5,273 | $219,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 24,248 | $219,000 | thousands by filing date | |
| CHICOS FAS INC | 168615102 | COM | 11,611 | $219,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,609 | $218,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 6,528 | $218,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 8,234 | $218,000 | thousands by filing date | |
| TE CONNECTIVITY LTD | H84989104 | SHS | 3,915 | $216,000 | thousands by filing date | |
| POWERSHARES WILDERHILL PRG | 73935X161 | ETF | 6,725 | $216,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 5,219 | $215,000 | thousands by filing date | |
| KAYNE ANDERSON ENRGY TTL RT | 48660P104 | COM | 7,860 | $215,000 | thousands by filing date | |
| INVESTORS REAL ESTATE TRUST | 461730103 | COMMON STOCK | 25,011 | $215,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 9,700 | $215,000 | thousands by filing date | |
| ISHARES INC | 464286384 | MSCI EMRG EMEA | 4,019 | $215,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 3,716 | $214,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 11,595 | $214,000 | thousands by filing date | |
| iShares Expanded Tech Sector ETF | 464287549 | SHS | 2,379 | $213,000 | thousands by filing date | |
| COMPASS MINERALS INTL INC | 20451N101 | COM | 2,656 | $213,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 68,567 | $213,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 2,221 | $212,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 5,000 | $212,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 8,361 | $212,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 5,840 | $212,000 | thousands by filing date | |
| HSBC HLDGS PLC SPON ADR NEW | 404280406 | ADR | 3,832 | $211,000 | thousands by filing date | |
| LEGACY RESERVES LP | 524707304 | UNIT LP INT | 7,496 | $211,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 24,205 | $211,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 27,754 | $210,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 15,192 | $210,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 9,421 | $210,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 1,793 | $210,000 | thousands by filing date | |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 10,908 | $210,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 16,266 | $209,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33733E500 | NAS CLNEDG GREEN | 11,637 | $209,000 | thousands by filing date | |
| NEBIUS GROUP N.V. | N97284108 | SHS CLASS A | 4,810 | $208,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 12,062 | $207,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 14,123 | $207,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 5,261 | $207,000 | thousands by filing date | |
| CIT GROUP INC COM NEW | 125581801 | Stock | 3,962 | $207,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 7,665 | $207,000 | thousands by filing date | |
| MASCO CORP | 574599106 | COM | 9,066 | $206,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 4,464 | $206,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 21,985 | $206,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 11,973 | $205,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 19,320 | $205,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 18,102 | $205,000 | thousands by filing date | |
| PPL CORP | 69351T114 | UNIT 99/99/9999S | 3,885 | $205,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 8,875 | $205,000 | thousands by filing date | |
| ISHARES TR | 464288828 | US HLTHCR PR ETF | 2,186 | $204,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q819 | KBW YIELD REIT | 6,878 | $204,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 5,755 | $204,000 | thousands by filing date | |
| CANADIANNATLRYCOF | 136375102 | STOK | 3,557 | $203,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 3,374 | $203,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,588 | $202,000 | thousands by filing date | |
| MEAD JOHNSON NUTRITION CO | 582839106 | COM | 2,416 | $202,000 | thousands by filing date | |
| MAGNUM HUNTER RES CORP COM | 55973B102 | COM | 27,577 | $202,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,919 | $201,000 | thousands by filing date | |
| iShares Morningstar Small-Cap Growth ETF | 464288604 | SHS | 1,512 | $200,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 21,001 | $200,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 15,372 | $200,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U332 | MUN BD CLOSED | 8,564 | $200,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 10,935 | $199,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 15,536 | $199,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 15,674 | $198,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 31,641 | $196,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 17,840 | $194,000 | thousands by filing date | |
| FORTRESS INVT GROUP LLC CL A | 34958B106 | COM | 22,634 | $194,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 38,186 | $193,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 22,138 | $193,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 21,901 | $191,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 49,435 | $191,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 16,735 | $191,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 24,128 | $189,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 15,501 | $188,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 23,001 | $187,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 14,122 | $187,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 10,820 | $187,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 16,065 | $186,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060108 | COM SBI | 44,320 | $186,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 20,387 | $185,000 | thousands by filing date | |
| ARUBA NETWORKS INC | 043176106 | COM | 10,162 | $182,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 19,300 | $177,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 14,380 | $175,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 12,964 | $174,000 | thousands by filing date | |
| KEYW HLDG CORP | 493723100 | COM | 12,949 | $174,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 24,317 | $173,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 23,233 | $172,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 12,500 | $169,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 12,732 | $165,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 13,609 | $165,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 13,238 | $163,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 14,004 | $162,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 11,362 | $162,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 41,406 | $160,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 17,089 | $159,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 10,285 | $159,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 19,512 | $159,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 31,329 | $158,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,086 | $156,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 10,398 | $156,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 11,134 | $156,000 | thousands by filing date | |
| SOLTA MED INC | 83438K103 | COM | 52,436 | $155,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 12,629 | $155,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 29,244 | $152,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 63,135 | $145,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 135,000 | $144,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 13,397 | $141,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 29,713 | $140,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 10,465 | $139,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 10,247 | $138,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 25,398 | $138,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 13,058 | $138,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 31,040 | $137,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 15,172 | $136,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 22,900 | $136,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 11,265 | $135,000 | thousands by filing date | |
| VALLEY NATL BANCORP | 919794107 | COM | 12,935 | $131,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 11,375 | $130,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 18,338 | $128,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 72,770 | $127,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,258 | $126,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 10,934 | $126,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 10,344 | $124,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 22,996 | $123,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 14,038 | $123,000 | thousands by filing date | |
| PowerShares DB Gold Double Short ETN | 25154H756 | ETP | 16,000 | $123,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 10,243 | $122,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 12,555 | $122,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 13,575 | $121,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 38,917 | $120,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 12,743 | $120,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 14,150 | $119,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 14,885 | $118,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 50,418 | $117,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 37,766 | $116,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 32,113 | $112,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 10,997 | $110,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 59,550 | $104,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 10,539 | $103,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 25,709 | $103,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 10,747 | $102,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 13,889 | $102,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 20,072 | $101,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 10,863 | $100,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 14,057 | $100,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 11,085 | $99,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 13,662 | $98,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 13,368 | $94,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 10,014 | $94,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 15,629 | $93,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 10,021 | $91,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 14,368 | $90,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 15,951 | $90,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 14,550 | $90,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 12,539 | $87,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 14,095 | $84,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 18,000 | $83,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 16,175 | $82,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 10,900 | $81,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 12,300 | $81,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 14,030 | $79,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 14,281 | $76,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 11,100 | $75,000 | thousands by filing date | |
| AMERICA FIRST MULTIFAMILY IN | 02364V107 | BEN UNIT CTF | 11,874 | $75,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 14,020 | $73,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 11,500 | $70,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 17,213 | $69,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 15,485 | $68,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 18,422 | $67,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 12,600 | $65,000 | thousands by filing date | |
| Lihua International Inc. | 532352101 | COM | 10,850 | $62,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 10,452 | $59,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 15,000 | $59,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 12,358 | $59,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 25,424 | $57,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 54,000 | $55,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 14,708 | $53,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 51,000 | $52,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 11,043 | $49,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 18,590 | $46,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 36,125 | $42,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 12,280 | $41,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 15,300 | $32,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 14,184 | $29,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 16,450 | $29,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 19,727 | $28,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 13,900 | $28,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 25,000 | $27,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 54,110 | $24,000 | thousands by filing date | |
| MCEWEN MNG INC | 58039P107 | COM | 11,242 | $22,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 20,000 | $21,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 10,849 | $21,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 16,065 | $21,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 20,419 | $18,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 12,700 | $18,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 15,000 | $18,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 18,763 | $17,000 | thousands by filing date | |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 10,600 | $16,000 | thousands by filing date | |
| KIPS BAY MEDICAL INC | 49726K105 | COM | 20,000 | $14,000 | thousands by filing date | |
| AETERNA ZENTARIS INC | 007975303 | COM NEW | 10,000 | $14,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 10,200 | $12,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 20,200 | $12,000 | thousands by filing date | |
| CUBIC ENERGY INC | 229675103 | COM | 30,000 | $9,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 15,075 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-14-000002 | this filing | 2014-01-24 | acceptance time not in the bulk data set |