13F-HR filed by Cambridge Investment Research Advisors, Inc.
Cambridge Investment Research Advisors, Inc. filed this 13F-HR for the quarter ended 2016-12-31, filed 2017-02-13, with 1,665 holding rows worth $5,335,657,000.
- Accession
- 0001419186-17-000005
- Filer
- CIK 1419186
- Filed
- 2017-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2016
A holdings report, 1,665 entries on the cover page, a total value of $5,335,657,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,335,657,000 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 |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287770 | U.S. FIN SVC ETF | 1,903 | $202,000 | thousands by filing date | |
| VANGUARD S&P MID-CAP 400 VALUE ETF | 921932844 | ETF | 1,827 | $201,000 | thousands by filing date | |
| ISHARES INC | 464286392 | MSCI WORLD ETF | 2,748 | $201,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 15,739 | $201,000 | thousands by filing date | |
| VMWARE, INC. | 928563402 | CL A COM | 2,552 | $201,000 | thousands by filing date | |
| SKYWEST INC COM | 830879102 | Stock | 5,498 | $200,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 16,399 | $198,000 | thousands by filing date | |
| UMPQUA HOLDINGS | 904214103 | COM | 10,534 | $198,000 | thousands by filing date | |
| FEDERAL SIGNAL CORP | 313855108 | COM | 12,612 | $197,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 14,894 | $193,000 | thousands by filing date | |
| BARINGS PARTN INVS | 06761A103 | SH BEN INT | 13,564 | $193,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 15,731 | $193,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 19,011 | $192,000 | thousands by filing date | |
| MERIDIAN BIOSCIENCE INC | 589584101 | COMMON STOCK | 10,843 | $192,000 | thousands by filing date | |
| GENERAL CABLE CORP DEL NEW | 369300108 | COM | 10,012 | $191,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 13,900 | $188,000 | thousands by filing date | |
| PIMCO CORPORATE & INCOME OPP | 72201B101 | COM | 12,937 | $185,000 | thousands by filing date | |
| TCP CAP CORP | 87238Q103 | COM | 10,786 | $182,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 23,463 | $181,000 | thousands by filing date | |
| SWEDISH EXPT CR CORP | 870297801 | ROG TTL ETN 22 | 34,746 | $180,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 18,647 | $179,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 10,400 | $178,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 14,971 | $178,000 | thousands by filing date | |
| NUVEEN NY MUN VALUE FD | 67062M105 | COM | 18,661 | $177,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 18,452 | $175,000 | thousands by filing date | |
| PROSHARES TR II ULTRA VIX SHORT | 74347W254 | CEF | 20,001 | $175,000 | thousands by filing date | |
| AH RLTY TR INC | 04208T108 | COM | 11,948 | $174,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 12,691 | $172,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 11,718 | $172,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 19,291 | $171,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 50,762 | $171,000 | thousands by filing date | |
| AMPLIFY SNACK BRANDS | 03211L102 | COM | 19,374 | $171,000 | thousands by filing date | |
| EXELIXIS INC COM | 30161Q104 | Stock | 11,270 | $168,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 11,571 | $166,000 | thousands by filing date | |
| AMBEV SA SPONSORED ADR | 02319V103 | ADR | 33,890 | $166,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 25,928 | $166,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763A108 | COM | 36,915 | $164,000 | thousands by filing date | |
| INTERNATIONAL MULTI-ASSET DIVERSIFIED INCOME INDEX FUND | 33738R209 | ETF | 10,268 | $164,000 | thousands by filing date | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 10,265 | $162,000 | thousands by filing date | |
| BLACKROCK GLOBAL ENERGY AND RE | 09250U101 | COM | 11,149 | $161,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 11,567 | $160,000 | thousands by filing date | |
| CANADIAN SOLAR INC | 136635109 | COM | 13,076 | $159,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 15,058 | $155,000 | thousands by filing date | |
| CARLYLE GROUP L P | 14309L102 | COM UTS LTD PTN | 10,097 | $154,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 34,479 | $153,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 10,926 | $152,000 | thousands by filing date | |
| POWERSHARES ETF TRUST INTL DIV | 73935X716 | COM | 10,571 | $152,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 15,917 | $151,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 14,853 | $151,000 | thousands by filing date | |
| ING GROEP N.V. SPONSORED ADR | 456837103 | ADR | 10,513 | $148,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 17,850 | $147,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 11,208 | $147,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 17,650 | $145,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 16,145 | $144,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 25,980 | $143,000 | thousands by filing date | |
| ABRDN WORLD HEALTHCARE FUND | 87911L108 | BEN INT SHS | 11,164 | $143,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 29,521 | $142,000 | thousands by filing date | |
| EXACT SCIENCES CORP COM | 30063P105 | Stock | 10,507 | $140,000 | thousands by filing date | |
| MACQUARIE FT TR GB INF UT DI | 55607W100 | COM | 12,255 | $140,000 | thousands by filing date | |
| NUVEEN MUN 2021 TARGET TERM | 670687102 | COM | 14,079 | $140,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 18,016 | $139,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 18,268 | $139,000 | thousands by filing date | |
| GLADSTONE LAND CORP | 376549101 | REIT | 12,362 | $139,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 37,896 | $139,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 10,120 | $138,000 | thousands by filing date | |
| TEEKAY CORPORATION | Y8564W103 | COM | 17,178 | $138,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 12,402 | $138,000 | thousands by filing date | |
| COMPUGEN LTD | M25722105 | ORD | 26,734 | $136,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738102 | SHS | 14,792 | $135,000 | thousands by filing date | |
| NUVEEN MUN INCOME FD INC | 67062J102 | COM | 11,970 | $134,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 20,821 | $132,000 | thousands by filing date | |
| FIBROCELL SCIENCE INC | 315721209 | COM NEW | 201,123 | $127,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 13,632 | $125,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 14,888 | $125,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 13,862 | $124,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 17,717 | $123,000 | thousands by filing date | |
| TSAKOS ENERGY NAVIGATION LTD | G9108L108 | SHS | 26,149 | $123,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 13,428 | $117,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 13,619 | $114,000 | thousands by filing date | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 15,805 | $113,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 11,900 | $111,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 10,854 | $110,000 | thousands by filing date | |
| CARA THERAPEUTICS INC | 140755109 | COM | 11,764 | $109,000 | thousands by filing date | |
| TRUSTCO BK CORP N Y | 898349105 | COM | 12,446 | $109,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 12,600 | $108,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 10,609 | $108,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 60,824 | $108,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 12,516 | $104,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 13,759 | $99,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 45,862 | $97,000 | thousands by filing date | |
| BAYTEX ENERGY CORP COM | 07317Q105 | Stock | 19,725 | $96,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 17,991 | $96,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 19,010 | $94,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 11,091 | $93,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 32,834 | $92,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 22,130 | $91,000 | thousands by filing date | |
| ELDORADO GOLD CORP NEW | 284902103 | COM | 27,511 | $89,000 | thousands by filing date | |
| SUNPOWER CORP | 867652406 | COM | 12,529 | $83,000 | thousands by filing date | |
| INVIVO THERAPEUTICS HLDGS CO | 46186M209 | COM NEW | 19,341 | $81,000 | thousands by filing date | |
| COMMUNITY HEALTH SYSTEMS INC | 203668108 | COMMON STOCK | 14,195 | $79,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K554 | DAILY JR GOLD MI | 14,200 | $79,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 17,505 | $78,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 26,919 | $77,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 11,354 | $76,000 | thousands by filing date | |
| PACHOLDER HIGH YIELD FD INC | 693742108 | COM | 10,501 | $76,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 16,079 | $74,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 18,725 | $73,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244T109 | COM | 10,902 | $72,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 26,675 | $71,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 19,993 | $70,000 | thousands by filing date | |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 10,758 | $68,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N107 | COM | 11,750 | $68,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 70,000 | $68,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 18,605 | $67,000 | thousands by filing date | |
| EP ENERGY CORP | 268785102 | CL A | 10,000 | $66,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 17,765 | $65,000 | thousands by filing date | |
| AWARE INC MASS | 05453N100 | CMN | 10,234 | $62,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 97,119 | $62,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 10,927 | $56,000 | thousands by filing date | |
| TEEKAY OFFSHORE PARTNERS LP | Y8565J101 | COMMON STOCK | 11,058 | $56,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 10,000 | $55,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 50,000 | $52,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 20,253 | $51,000 | thousands by filing date | |
| DHT HOLDINGS INC | Y2065G121 | SHS NEW | 11,608 | $48,000 | thousands by filing date | |
| ENDEAVOUR SILVER CORP | 29258Y103 | COM | 13,225 | $47,000 | thousands by filing date | |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 50,000 | $47,000 | thousands by filing date | |
| Seadrill Partners, LLC | Y7545W109 | LTD | 10,650 | $45,000 | thousands by filing date | |
| Ampio Pharmaceuticals | 03209T109 | COM | 48,724 | $44,000 | thousands by filing date | |
| GENESIS HEALTHCARE CLASS A | 37185X106 | COMMON STOCK | 10,322 | $44,000 | thousands by filing date | |
| SEACHANGE INTL INC | 811699107 | COM | 18,400 | $42,000 | thousands by filing date | |
| TROVAGENE INC | 897238309 | COM | 19,843 | $42,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 22,300 | $41,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 10,853 | $39,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 30,125 | $38,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 34,380 | $37,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 52,352 | $35,000 | thousands by filing date | |
| TRANSGENOMIC INC COM NEW | 89365K305 | Stock | 113,900 | $32,000 | thousands by filing date | |
| ARCA BIOPHARMA INC | 00211Y407 | COM PAR | 10,452 | $30,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 10,735 | $28,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 18,784 | $27,000 | thousands by filing date | |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 10,295 | $27,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 18,000 | $27,000 | thousands by filing date | |
| NEOVASC INC COM STK | 64065J106 | COM | 15,800 | $27,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 30,800 | $26,000 | thousands by filing date | |
| TRANSENTERIX INC | 89366M201 | COM NEW | 19,900 | $26,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 25,000 | $26,000 | thousands by filing date | |
| POLYMET MINING CORP | 731916102 | COM | 34,190 | $25,000 | thousands by filing date | |
| TICC CAPITAL CORP | 87244TAB5 | DBCV 7.500%11/0 | 25,000 | $25,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 17,251 | $24,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W103 | COM | 18,751 | $23,000 | thousands by filing date | |
| VAALCO ENERGY INC | 91851C201 | COMMON STOCK | 20,130 | $21,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 14,000 | $21,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 20,000 | $19,000 | thousands by filing date | |
| HARTE-HANKS INC | 416196103 | COM | 12,000 | $18,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 27,760 | $18,000 | thousands by filing date | |
| OCEAN RIG UDW INC SHS | G66964100 | Stock | 10,206 | $18,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 10,325 | $14,000 | thousands by filing date | |
| PARNELL PHARMACEUT HLDGS LIMITED SHS | Q73622104 | Foreign Ordinary Shares | 19,999 | $14,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 10,000 | $10,000 | thousands by filing date | |
| WEB COM GROUP INC | 94733AAA2 | NOTE 1.000% 8/1 | 10,000 | $10,000 | thousands by filing date | |
| XTNT | 98420P100 | Common | 18,800 | $10,000 | thousands by filing date | |
| BARCLAYS BANK PLC ETN IPTH NTR | 06739H644 | COM | 12,622 | $9,000 | thousands by filing date | |
| REX ENERGY CORPORATION | 761565100 | COM | 10,204 | $5,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 15,500 | $4,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 10,000 | $1,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001419186-17-000005 | this filing | 2017-02-13 | acceptance time not in the bulk data set |