13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-04-29, with 1,293 holding rows worth $2,646,001,000.
- Accession
- 0001419186-14-000005
- Filer
- CIK 1419186
- Filed
- 2014-04-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 1,293 entries on the cover page, a total value of $2,646,001,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $2,646,001,000 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 |
|---|---|---|---|---|---|---|
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 15,897 | $271,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 5,172 | $270,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 15,740 | $270,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 2,557 | $269,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 3,389 | $269,000 | thousands by filing date | |
| FRANCO NEV CORP COM | 351858105 | Stock | 5,819 | $267,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 20,332 | $267,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 19,325 | $266,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 15,091 | $266,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 22,153 | $265,000 | thousands by filing date | |
| XILINX INC | 983919101 | COM | 4,889 | $265,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 14,888 | $265,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 20,349 | $264,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 18,066 | $263,000 | thousands by filing date | |
| STRATASYS LTD | M85548101 | SHS | 2,478 | $263,000 | thousands by filing date | |
| SPDR S&P 600 Small Cap Value ETF | 78464A300 | SHS | 2,421 | $262,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A797 | ST STR SP BANK | 7,700 | $262,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 20,315 | $261,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 35,529 | $261,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 11,569 | $259,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 10,630 | $257,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 11,381 | $257,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 11,607 | $256,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 5,234 | $256,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 14,524 | $256,000 | thousands by filing date | |
| RADIAN GROUP INC COM | 750236101 | Stock | 16,946 | $255,000 | thousands by filing date | |
| DR PEPPER SNAPPLE GROUP INC | 26138E109 | COM | 4,683 | $255,000 | thousands by filing date | |
| iShares MSCI EAFE Value ETF | 464288877 | SHS | 4,414 | $254,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 2,250 | $254,000 | thousands by filing date | |
| C+J ENERGY SERVICES INC | 12467B304 | COM | 8,675 | $253,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278274105 | COM | 19,232 | $251,000 | thousands by filing date | |
| ISHARES TR | 464287713 | US TELECOM ETF | 8,366 | $251,000 | thousands by filing date | |
| FIRST TR ISE REVERE NAT GAS | 33734J102 | COM | 12,119 | $251,000 | thousands by filing date | |
| MARKET VECTORS ETF TR BUSI DEVCO | 57060U316 | ETF | 12,017 | $250,000 | thousands by filing date | |
| REVVITY INC | 714046109 | COM | 5,524 | $249,000 | thousands by filing date | |
| IDEXX LABS INC COM | 45168D104 | Stock | 2,038 | $247,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 12,296 | $247,000 | thousands by filing date | |
| ETF | 26923A106 | EXCHANGE TRADED | 3,268 | $247,000 | thousands by filing date | |
| BLACKROCK NY MUN INCOME TR I | 09249R102 | COM | 18,097 | $247,000 | thousands by filing date | |
| ISHARES CORE S&P U.S. GROWTH ETF | 464287671 | ETF | 3,462 | $246,000 | thousands by filing date | |
| QUANTA SVCS INC | 74762E102 | COM | 6,650 | $245,000 | thousands by filing date | |
| CONTINENTAL RES INC | 212015101 | COM | 1,972 | $245,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 5,139 | $245,000 | thousands by filing date | |
| VANGUARD ADMIRAL FDS INC | 921932869 | MIDCP 400 GRTH | 2,592 | $244,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 3,694 | $244,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 810 | $243,000 | thousands by filing date | |
| ISHARES TR LATN AMER 40 ETF | 464287390 | LATN AMER 40 ETF | 6,650 | $243,000 | thousands by filing date | |
| STATE STREET | 78464A425 | EXCHANGE TRADED | 10,002 | $243,000 | thousands by filing date | |
| BHP BILLITON LIMITED SPONSORED ADS | 088606108 | ADR | 3,567 | $242,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 25,915 | $242,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 6,610 | $242,000 | thousands by filing date | |
| RYDEX ETF TRUST TOP 50 ETF | 78355W205 | COM | 1,867 | $242,000 | thousands by filing date | |
| CLAYMORE GUGGENHEIM | 18383Q739 | GUGGENHEIM SOLAR | 5,473 | $242,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 17,842 | $241,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 5,277 | $241,000 | thousands by filing date | |
| PROSHARES TR | 74347R693 | PSHS ULTRA TECH | 2,071 | $240,000 | thousands by filing date | |
| PROSHARES TR | 74347X500 | ULTR MSCI ETF | 2,150 | $240,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 30,489 | $239,000 | thousands by filing date | |
| POWERSHARES | 73935X278 | EXCHANGE TRADED | 7,333 | $239,000 | thousands by filing date | |
| DELAWARE INVTS DIV & INCOME | 245915103 | COM | 25,025 | $239,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 2,760 | $238,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 5,707 | $238,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 12,862 | $238,000 | thousands by filing date | |
| NETSUITE INC | 64118Q107 | COM | 2,514 | $238,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 24,774 | $237,000 | thousands by filing date | |
| EATON VANCE ENHANCED EQUITY | 278277108 | COM | 17,940 | $237,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L886 | ULTR SHO INC FD | 3,131 | $237,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 13,024 | $237,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 5,396 | $237,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J158 | JAPAN ALPHADEX | 5,398 | $236,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 5,121 | $235,000 | thousands by filing date | |
| POWERSHARES FUNDAMENTAL PURE | 73935X864 | COM | 9,295 | $235,000 | thousands by filing date | |
| INGERSOLL-RAND PLC | G47791101 | SHS | 4,091 | $234,000 | thousands by filing date | |
| NATURAL GROCERS BY VITAMIN C | 63888U108 | COMMON STOCK | 5,350 | $234,000 | thousands by filing date | |
| NORTHWEST BANCSHARES INC COM | 667340103 | Stock | 15,966 | $233,000 | thousands by filing date | |
| PROSHARES TR | 74347X302 | MSCI EMRG ETF | 3,198 | $233,000 | thousands by filing date | |
| INVESCO MORTGAGE CAPITAL INC | 46131B100 | COM | 14,123 | $233,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 19,114 | $233,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 5,070 | $233,000 | thousands by filing date | |
| PACCAR INC COM | 693718108 | Stock | 3,447 | $232,000 | thousands by filing date | |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 3,872 | $232,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33735K108 | COM SHS | 5,570 | $232,000 | thousands by filing date | |
| VIACOM INC | 92553P201 | CL B | 2,727 | $232,000 | thousands by filing date | |
| MARKET VECTORS ETF TR MTG | 57060U324 | ETF | 9,500 | $232,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 3,781 | $231,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 3,461 | $231,000 | thousands by filing date | |
| LAZARD LTD-CLASS A | G54050102 | SHS A | 4,896 | $231,000 | thousands by filing date | |
| DIAMOND OFFSHORE DRILLING IN | 25271C102 | COM | 4,744 | $231,000 | thousands by filing date | |
| SYNOVUS FINANCIAL CORP | 87161C105 | COM | 68,077 | $231,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U209 | MV ENVIR SVCS | 3,514 | $231,000 | thousands by filing date | |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 12,943 | $230,000 | thousands by filing date | |
| GRAND CANYON ED INC COM | 38526M106 | Stock | 4,928 | $230,000 | thousands by filing date | |
| ISHARES TR | 464288257 | MSCI ACWI ETF | 3,947 | $230,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 32,649 | $230,000 | thousands by filing date | |
| FIRSTMERIT CORP | 337915102 | COM | 11,046 | $230,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 3,761 | $229,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 15,942 | $229,000 | thousands by filing date | |
| POWERSHARES | 73936Q793 | EXCHANGE TRADED | 8,979 | $229,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 16,769 | $227,000 | thousands by filing date | |
| Vanguard S&P Small-Cap 600 Value ETF | 921932778 | SHS | 2,325 | $227,000 | thousands by filing date | |
| FIRST TRUST ENERGY INFRASTRUCT | 33738C103 | COM | 10,779 | $227,000 | thousands by filing date | |
| LINDSAY CORPORATION | 535555106 | COM | 2,569 | $227,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 20,900 | $227,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 21,996 | $226,000 | thousands by filing date | |
| POWERSHARES EXCHANGE TRADED | 739371102 | LARGE GROWTH | 7,730 | $226,000 | thousands by filing date | |
| WESTPORT FUEL SYSTEMS INC | 960908309 | COM | 15,506 | $225,000 | thousands by filing date | |
| RYDEX S&P EQ WEIGHT TECHN ETF(RYT) | 78355W817 | ETF | 2,808 | $225,000 | thousands by filing date | |
| TORO CO | 891092108 | COM | 3,547 | $224,000 | thousands by filing date | |
| PROSHARES VIX | 74347W684 | VIX MDTRM FUTR | 12,052 | $223,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 24,856 | $222,000 | thousands by filing date | |
| HANCOCK JOHN INVT TR | 41013P749 | TAX ADV GLB SH | 17,122 | $222,000 | thousands by filing date | |
| ALASKA AIR GROUP INC COM | 011659109 | Stock | 2,361 | $220,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 11,512 | $220,000 | thousands by filing date | |
| MDU RES GROUP INC | 552690109 | COM | 6,421 | $220,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 20,501 | $220,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 71,977 | $220,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 3,941 | $219,000 | thousands by filing date | |
| ICAHN ENTERPRISES LP | 451100101 | Common Stock | 2,130 | $219,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 616 | $217,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 23,778 | $217,000 | thousands by filing date | |
| MARRIOTT INTL INC NEW CL A | 571903202 | Stock | 3,880 | $217,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q702 | GLOBL AGRI ETF | 7,138 | $217,000 | thousands by filing date | |
| BROWN & BROWN INC COM | 115236101 | Stock | 7,025 | $216,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 41,600 | $216,000 | thousands by filing date | |
| ISHARES INC | 464286749 | MSCI SWITZERLAND | 6,252 | $215,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 5,800 | $214,000 | thousands by filing date | |
| ETFS ASIAN GOLD TR PHYS ASAIN | 26923C102 | GLD | 1,706 | $214,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 6,613 | $213,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 4,933 | $213,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612J507 | COM PAR $0.001 | 15,227 | $213,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 23,839 | $212,000 | thousands by filing date | |
| ASSOCIATED BANC-CORP | 045487105 | COM | 11,687 | $211,000 | thousands by filing date | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 16,607 | $210,000 | thousands by filing date | |
| McCormick & Company Inc | 579780107 | COM | 2,935 | $210,000 | thousands by filing date | |
| RYDEX GUGGENHEIM | 78355W585 | GUG RUSS2000 EQL | 4,533 | $210,000 | thousands by filing date | |
| ISHARES TR | 464288455 | EPRA/NAR NA IN | 4,112 | $208,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 3,844 | $207,000 | thousands by filing date | |
| LEAR CORP COM NEW | 521865204 | Stock | 2,478 | $207,000 | thousands by filing date | |
| IROBOT CORP | 462726100 | COM | 5,050 | $207,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 4,239 | $207,000 | thousands by filing date | |
| ISHARES MSCI EAFE GROWTH ETF | 464288885 | ETF | 2,904 | $206,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 15,901 | $206,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,589 | $205,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 14,535 | $203,000 | thousands by filing date | |
| ARUBA NETWORKS INC | 043176106 | COM | 10,800 | $203,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 13,853 | $202,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33737M102 | MID CP GR ALPH | 7,139 | $202,000 | thousands by filing date | |
| FOREST LABS INC | 345838106 | COM | 2,192 | $202,000 | thousands by filing date | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 3,958 | $201,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | H27013103 | COMMON STOCK-FO | 11,566 | $201,000 | thousands by filing date | |
| AUTOZONE INC COM | 053332102 | Stock | 373 | $200,000 | thousands by filing date | |
| SanDisk Corporation | 80004C101 | COM | 2,464 | $200,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 17,877 | $199,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 11,084 | $197,000 | thousands by filing date | |
| CAPITOL FED FINL INC COM | 14057J101 | Stock | 15,508 | $195,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 48,406 | $194,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 14,611 | $193,000 | thousands by filing date | |
| DCT INDUSTRIAL TRUST INC | 233153105 | COM | 24,318 | $192,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 22,072 | $189,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 19,135 | $188,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 14,410 | $186,000 | thousands by filing date | |
| FRED S INC CLASS A | 356108100 | COM | 10,185 | $183,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 23,233 | $181,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 12,331 | $180,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 20,192 | $178,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 34,283 | $177,000 | thousands by filing date | |
| NUVEEN INVT QUALITY MUN FD I | 67062E103 | COM | 12,500 | $177,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 28,713 | $175,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 14,807 | $174,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 15,430 | $171,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 12,400 | $171,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 13,367 | $171,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 18,043 | $171,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 12,753 | $170,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 10,210 | $169,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 10,001 | $168,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 11,362 | $168,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 13,293 | $168,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 12,798 | $168,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 20,770 | $168,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 11,011 | $167,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 11,521 | $164,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 14,216 | $164,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 21,932 | $161,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 11,134 | $161,000 | thousands by filing date | |
| FUSION-IO INC | 36112J107 | COMMON STOCK | 15,350 | $161,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 13,025 | $158,000 | thousands by filing date | |
| GSV CAPITAL CORP | 36191J101 | COM | 15,373 | $156,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 13,036 | $152,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 27,390 | $151,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 16,472 | $150,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD TR | 85207H104 | UNIT | 14,072 | $150,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 10,371 | $150,000 | thousands by filing date | |
| NUVEEN EQTY PRM OPPORTUNITYF | 6706EM102 | COM | 11,936 | $150,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 11,213 | $150,000 | thousands by filing date | |
| MEDLEY CAP CORP | 58503F106 | COM | 10,857 | $148,000 | thousands by filing date | |
| NUVEEN DIVER CURRENCY OPPOR | 67090N109 | COM | 14,146 | $148,000 | thousands by filing date | |
| MBIA INC | 55262C100 | COMMON STOCK | 10,366 | $145,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 11,005 | $145,000 | thousands by filing date | |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 11,318 | $144,000 | thousands by filing date | |
| RUBICON MINERALS CORP | 780911103 | COM | 134,519 | $141,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 12,731 | $140,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 22,910 | $139,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 72,770 | $138,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 14,403 | $136,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 17,570 | $136,000 | thousands by filing date | |
| BLACKROCK MUNIASSETS FD INC | 09254J102 | COM | 10,934 | $135,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 14,185 | $134,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 125,000 | $133,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 32,827 | $132,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 23,455 | $131,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 11,236 | $130,000 | thousands by filing date | |
| ALLIANCE NEW YORK MUN INC FD | 018714105 | COM | 10,337 | $129,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 13,485 | $128,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 14,897 | $128,000 | thousands by filing date | |
| NUVEEN EQUITY PREM ADV FD | 6706ET107 | COM | 10,111 | $128,000 | thousands by filing date | |
| DWS MULTI MKT INCOME TR | 23338L108 | SHS | 13,370 | $127,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 10,273 | $126,000 | thousands by filing date | |
| TANZANIAN ROYALTY EXPLORATION CORP. | 87600U104 | COM | 52,050 | $124,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 31,464 | $123,000 | thousands by filing date | |
| ION GEOPHYSICAL CORP | 462044108 | COM | 29,270 | $123,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 51,918 | $119,000 | thousands by filing date | |
| RF MICRODEVICES INC | 749941100 | COM | 14,959 | $118,000 | thousands by filing date | |
| EASTERN VA BANKSHARES INC | 277196101 | COM | 18,338 | $118,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 11,213 | $116,000 | thousands by filing date | |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 10,892 | $114,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 15,900 | $111,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 56,590 | $110,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 35,552 | $109,000 | thousands by filing date | |
| PIMCO CALIFORNIA MUNICIPAL INC | 72200M108 | COM | 11,104 | $109,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 11,017 | $108,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 10,839 | $108,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 32,913 | $106,000 | thousands by filing date | |
| AURICO GOLD INC | 05155C105 | COMMON STOCK-FO | 24,285 | $106,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 17,449 | $103,000 | thousands by filing date | |
| PRO DEX INC | 74265M205 | COMMON STOCK | 51,850 | $103,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 18,259 | $100,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 34,527 | $100,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 38,150 | $100,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 14,703 | $96,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 16,551 | $95,000 | thousands by filing date | |
| BLACKROCK DEBT STRAT FD INC | 09255R103 | COM | 23,160 | $95,000 | thousands by filing date | |
| BIOSCRIP INC | 09069N108 | COM | 13,350 | $93,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 13,765 | $91,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 22,000 | $90,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 20,985 | $85,000 | thousands by filing date | |
| BANK OF AMERICA CORPORATION | 060505146 | *W EXP 01/16/201 | 10,251 | $84,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 14,824 | $83,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 15,374 | $80,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 11,194 | $79,000 | thousands by filing date | |
| FUEL TECH INC | 359523107 | COM | 15,567 | $78,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 19,049 | $78,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 15,000 | $78,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 10,450 | $75,000 | thousands by filing date | |
| SCICLONE PHARMACEUTICALS INC | 80862K104 | COM | 16,175 | $74,000 | thousands by filing date | |
| CORNERSTONE TOTAL RTRN FD IN | 21924U201 | COM NEW | 11,681 | $69,000 | thousands by filing date | |
| GOLD RESOURCE CORP | 38068T105 | COMMON STOCK | 14,148 | $68,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 25,424 | $67,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 15,132 | $64,000 | thousands by filing date | |
| EMCORE CORP | 290846203 | COM | 12,600 | $64,000 | thousands by filing date | |
| MOLYCORP INC DEL | 608753109 | COM | 12,926 | $61,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 10,322 | $61,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 10,298 | $58,000 | thousands by filing date | |
| SEVERN BANCORP ANNAPOLIS MD | 81811M100 | COM | 12,358 | $56,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 10,067 | $49,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 15,037 | $48,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 18,900 | $47,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 11,200 | $44,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 10,181 | $42,000 | thousands by filing date | |
| IAMGOLD CORP COM | 450913108 | Stock | 11,707 | $41,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 19,250 | $41,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 19,727 | $38,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 36,125 | $34,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 10,500 | $33,000 | thousands by filing date | |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 31,000 | $32,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 14,184 | $30,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 16,540 | $29,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 46,110 | $28,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 25,000 | $27,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 13,300 | $26,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 13,900 | $25,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 17,763 | $22,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 10,185 | $21,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 20,000 | $21,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 12,950 | $21,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 14,200 | $16,000 | thousands by filing date | |
| EURASIAN MINERALS INC | 29843R100 | COM | 15,737 | $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 | $12,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 15,000 | $10,000 | thousands by filing date | |
| CAMAC ENERGY INC | 131745101 | COM | 12,173 | $9,000 | thousands by filing date | |
| CUBIC ENERGY INC | 229675103 | COM | 30,000 | $7,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 13,575 | $4,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-14-000005 | this filing | 2014-04-29 | acceptance time not in the bulk data set |