13F-HR filed by Sigma Planning Corp
Sigma Planning Corp filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-13, with 717 holding rows worth $756,423,000.
- Accession
- 0001420506-15-000135
- Filer
- CIK 1449126
- Filed
- 2015-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2014
A holdings report, 717 entries on the cover page, a total value of $756,423,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $756,423,000 with VALUE read as thousands by filing date, 13F file number 028-16541. 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 |
|---|---|---|---|---|---|---|
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 8,807 | $298,000 | thousands by filing date | |
| ISHARES TR | 464287762 | US HLTHCARE ETF | 2,036 | $294,000 | thousands by filing date | |
| EXPEDITORS INTL WASH INC COM | 302130109 | Stock | 6,567 | $293,000 | thousands by filing date | |
| ISHARES TR | 464287754 | US INDUSTRIALS | 2,750 | $293,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733F101 | COM SHS | 5,994 | $293,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W109 | US TOTAL DIVIDND | 3,920 | $293,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 41,726 | $292,000 | thousands by filing date | |
| American Tower Corporation | 03027X100 | COM | 2,944 | $291,000 | thousands by filing date | |
| PUBLIC STORAGE COM | 74460D109 | REIT | 1,571 | $290,000 | thousands by filing date | |
| FIRST TR MID CAP CORE ALPHAD | 33735B108 | COM SHS | 5,490 | $290,000 | thousands by filing date | |
| TRANSCANADA CORP | 89353D107 | COM | 5,898 | $290,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 19,998 | $290,000 | thousands by filing date | |
| SOUTHERN COPPER CORP | 84265V105 | COM | 10,259 | $289,000 | thousands by filing date | |
| ISHARES TR | 464288752 | US HOME CONS ETF | 11,184 | $289,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W786 | INTERNTNL AI ENH | 6,711 | $289,000 | thousands by filing date | |
| POWERSHARES | 73936T573 | EXCHANGE TRADED | 10,272 | $289,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 6,627 | $289,000 | thousands by filing date | |
| FLAHERTY & CRUMRIN PFD & INM | 338478100 | COM | 15,107 | $288,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 42,886 | $286,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,280 | $285,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 2,924 | $285,000 | thousands by filing date | |
| FTSE RAFI Internat'l Dev Mkts | 73936T789 | COM | 7,206 | $285,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 5,023 | $284,000 | thousands by filing date | |
| ROYAL BK SCOTLAND PLC | 78009L308 | US LC TRENDP ETN | 7,131 | $283,000 | thousands by filing date | |
| AETNA INC NEW | 00817Y108 | COM | 3,162 | $281,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 25,522 | $280,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A607 | ST STR DOW REIT | 3,079 | $280,000 | thousands by filing date | |
| FIRST TR EXCHANGE TRADED FD | 33738R118 | NASD TECH DIV | 10,076 | $279,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,597 | $277,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 2,476 | $277,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 4,547 | $276,000 | thousands by filing date | |
| POWERSHARES FTSE RAFI DEVELOPED MARKETS | 73936T771 | COMMON | 10,573 | $275,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 4,434 | $274,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 22,640 | $274,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 36,210 | $272,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 42,072 | $272,000 | thousands by filing date | |
| BLACKBERRY LTD COM | 09228F103 | Stock | 24,782 | $272,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336920103 | US EQTY OPPT ETF | 5,385 | $271,000 | thousands by filing date | |
| NAVIOS MARITIME PART LP | Y62267102 | COM UT LTD PTN | 26,688 | $271,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 19,444 | $269,000 | thousands by filing date | |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 6,613 | $268,000 | thousands by filing date | |
| JP MORGAN CHASE & CO | 46625H365 | EXCHANGE TRADED | 5,827 | $268,000 | thousands by filing date | |
| GENTEX CORP COM | 371901109 | Stock | 7,384 | $267,000 | thousands by filing date | |
| GUGGENHEIM TAXABLE MUNICP BO | 401664107 | COM | 12,036 | $267,000 | thousands by filing date | |
| ISHARES INC MSCI GERMANY ETF | 464286806 | MSCI GERMANY ETF | 9,717 | $266,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 9,411 | $264,000 | thousands by filing date | |
| FIDUCIARY CLAYMORE ENGRY INF | 31647Q106 | COM | 10,107 | $264,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L803 | M STAR DEV MKT | 4,593 | $263,000 | thousands by filing date | |
| POWERSHARES | 73936Q108 | EXCHANGE TRADED | 10,956 | $263,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 1,389 | $262,000 | thousands by filing date | |
| HERSHEY CO COM | 427866108 | Stock | 2,522 | $262,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 8,200 | $262,000 | thousands by filing date | |
| ELLINGTON FINANCIAL LLC | 288522303 | COM | 13,113 | $262,000 | thousands by filing date | |
| CUMMINS INC COM | 231021106 | Stock | 1,804 | $260,000 | thousands by filing date | |
| FOOT LOCKER INC | 344849104 | COM | 4,628 | $260,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 2,031 | $259,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 6,136 | $259,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 11,113 | $258,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M563 | GUGG CRP BD 2015 | 11,912 | $258,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 3,067 | $256,000 | thousands by filing date | |
| MAGNA INTL INC COM | 559222401 | Stock | 2,352 | $256,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 21,551 | $256,000 | thousands by filing date | |
| GUGGENHEIM CR ALLOCATION FD | 40168G108 | COM | 11,862 | $255,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 10,781 | $254,000 | thousands by filing date | |
| ICON PUB LTD CO SHS | G4705A100 | Stock | 4,970 | $253,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 8,595 | $253,000 | thousands by filing date | |
| DIREXION SHARES ETF TRUST | 25459Y876 | DAIL HEAL BU ETF | 2,031 | $253,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 136,785 | $253,000 | thousands by filing date | |
| ETFS Gold Trust | 26922Y105 | ETF | 2,179 | $252,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 3,353 | $251,000 | thousands by filing date | |
| POWERSHARES ETF TRUST II | 73936Q835 | INTL CORP BOND | 8,841 | $251,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 5,196 | $251,000 | thousands by filing date | |
| BARCLAYS BANK PLC | 06739H776 | SP ADR 7.1%PF3 | 9,737 | $251,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 2,026 | $250,000 | thousands by filing date | |
| ISHARES MORNINGSTAR ETF SMALL CAP VALUE | 464288703 | ETF | 1,940 | $250,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 1,171 | $249,000 | thousands by filing date | |
| ISHARES INC | 464286533 | MSCI EMERG MRKT | 4,373 | $248,000 | thousands by filing date | |
| DICKS SPORTING GOODS INC COM | 253393102 | Stock | 4,958 | $246,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 7,139 | $244,000 | thousands by filing date | |
| POWERSHARES | 73936B408 | EXCHANGE TRADED | 9,784 | $244,000 | thousands by filing date | |
| MOBILEYE NV XXXMANDATORY MERGER EFF: 06/03/18 | N51488117 | FOREIGN ORDINARIES | 6,000 | $243,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 3,614 | $243,000 | thousands by filing date | |
| ISHARES MSCI EAFE SMALL-CAP ETF | 464288273 | ETF | 5,167 | $241,000 | thousands by filing date | |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 4,126 | $240,000 | thousands by filing date | |
| iShares MSCI Frontier 100 | 464286145 | cs | 7,799 | $240,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U605 | AGRIBUS ETF | 4,554 | $239,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 5,890 | $238,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 15,717 | $237,000 | thousands by filing date | |
| iShares Emerging Markets Dividend ETF | 464286319 | SHS | 5,596 | $234,000 | thousands by filing date | |
| FORTINET INC COM | 34959E109 | Stock | 7,643 | $234,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 16,591 | $234,000 | thousands by filing date | |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 7,977 | $232,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 3,227 | $232,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 6,323 | $231,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 6,450 | $231,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 15,193 | $230,000 | thousands by filing date | |
| MONMOUTH REAL ESTATE INVT CO | 609720107 | CL A | 20,720 | $229,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E549 | GLB X SUPERDIV | 9,885 | $228,000 | thousands by filing date | |
| DIREXION DAILY SEMICON 3X | 25459Y314 | Cmn | 16,917 | $227,000 | thousands by filing date | |
| ISHARES TR | 464288638 | ISHS 5-10YR INVT | 2,064 | $226,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 3,202 | $225,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33735T109 | COMMON SHS | 17,262 | $225,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M555 | GUGG CRP BD 2016 | 10,170 | $225,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,401 | $224,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 18,915 | $224,000 | thousands by filing date | |
| ABRAXAS PETROLEUM CORP | 003830106 | COM | 75,650 | $222,000 | thousands by filing date | |
| CAMBRIA ETF TR | 132061300 | CAMBRIA FGN SHR | 9,927 | $222,000 | thousands by filing date | |
| Lineage, Inc. | 536020100 | COM | 21,888 | $222,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,603 | $221,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 1,955 | $220,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 9,173 | $220,000 | thousands by filing date | |
| EPR PPTYS COM SH BEN INT | 26884U109 | REIT | 3,791 | $218,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A649 | ST STR AGGRE ETF | 3,725 | $217,000 | thousands by filing date | |
| HOSPIRA INC | 441060100 | COM | 3,536 | $217,000 | thousands by filing date | |
| DEUTSCHE BANK | 25153Q708 | ELE MORN TTL22 | 10,144 | $217,000 | thousands by filing date | |
| NEOGEN CORP | 640491106 | COM | 4,330 | $215,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 13,927 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 3,557 | $214,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 2,368 | $212,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 60,016 | $210,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 2,984 | $209,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 8,316 | $207,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 15,713 | $207,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 4,386 | $207,000 | thousands by filing date | |
| ROYAL BANK OF SCOTLAND GROUP PLC | 780097762 | PREFERRED STOCK | 8,600 | $207,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 17,980 | $205,000 | thousands by filing date | |
| ENCANA CORP | 292505104 | COM | 14,807 | $205,000 | thousands by filing date | |
| SPDR S&P Homebuilders ETF | 78464A888 | SHS | 5,942 | $203,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 3,571 | $203,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 5,965 | $203,000 | thousands by filing date | |
| ISHARES S&P GSCI COMMODITY- | 46428R107 | UNIT BEN INT | 9,426 | $203,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 13,000 | $203,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 3,519 | $202,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 2,446 | $202,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 22,521 | $201,000 | thousands by filing date | |
| UNIVERSAL HEALTH RLTY INCOME | 91359E105 | REIT | 4,179 | $201,000 | thousands by filing date | |
| CYBERONICS | 23251P102 | COMMON STOCK | 3,605 | $201,000 | thousands by filing date | |
| CORECIVIC INC | 22025Y407 | COM | 5,539 | $201,000 | thousands by filing date | |
| PIMCO MUN INCOME FD | 72200R107 | COM | 13,919 | $199,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 10,688 | $192,000 | thousands by filing date | |
| RCS CAP CORP | 74937W102 | COM CL A | 15,655 | $192,000 | thousands by filing date | |
| EZCORP INC | 302301106 | CL A NON VTG | 16,274 | $191,000 | thousands by filing date | |
| FTSE RAFI Emerg Mkts | 73936T763 | COM | 10,014 | $187,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 16,436 | $185,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 18,845 | $182,000 | thousands by filing date | |
| EATON VANCE | 27826G109 | SH BEN INT | 12,846 | $175,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 15,539 | $171,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M860 | GUG S&PG DIV OPP | 14,775 | $169,000 | thousands by filing date | |
| OCH ZIFF CAP MGMT GROUP CL A | 67551U105 | COM | 14,029 | $164,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 11,788 | $161,000 | thousands by filing date | |
| CAPSTEAD MTG CORP | 14067E506 | COM NO PAR | 12,904 | $158,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 11,385 | $158,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 11,400 | $153,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 13,385 | $153,000 | thousands by filing date | |
| SAN JUAN BASIN RTY TR | 798241105 | UNIT BEN INT | 10,648 | $152,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 27,427 | $152,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 16,752 | $151,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 10,471 | $150,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 11,580 | $149,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 27,467 | $149,000 | thousands by filing date | |
| INDEPENDENCE RLTY TR INC | 45378A106 | COM | 15,946 | $148,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 14,300 | $147,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 40,300 | $144,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 17,398 | $142,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 27,240 | $142,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 16,350 | $140,000 | thousands by filing date | |
| PERMIAN BASIN RTY TR | 714236106 | UNIT BEN INT | 14,396 | $137,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 16,727 | $135,000 | thousands by filing date | |
| BDCA VENTURE INC | 05543L106 | COM | 27,631 | $135,000 | thousands by filing date | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 47,551 | $133,000 | thousands by filing date | |
| SPROTT PHYSICAL GOLD SILVER | 153501101 | COM | 11,320 | $131,000 | thousands by filing date | |
| EXCHANGE TRADED CONCEPTS TR | 301505103 | YORK HIINC MLP | 10,245 | $128,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 12,946 | $123,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED DIVE | 27828N102 | COM | 10,750 | $120,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 10,636 | $120,000 | thousands by filing date | |
| TCW CONV SECS FD INC | 872340104 | COM | 22,192 | $120,000 | thousands by filing date | |
| WESTERN ASSET MUN HIGH INCOME COM | 95766N103 | CEF | 15,045 | $116,000 | thousands by filing date | |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 14,470 | $116,000 | thousands by filing date | |
| WENDYS CO COM | 95058W100 | Stock | 11,858 | $107,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 15,050 | $106,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,385 | $103,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD II | 018825109 | COM | 11,605 | $103,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 13,600 | $102,000 | thousands by filing date | |
| GLOBAL HIGH INCOME FUND INC | 37933G108 | COM | 11,225 | $99,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761UAE6 | NOTE 5.750% 1/1 | 95,000 | $97,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 11,018 | $89,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 10,927 | $87,000 | thousands by filing date | |
| Timmins Gold Corp | 88741P103 | COM | 90,570 | $86,000 | thousands by filing date | |
| EVOLUTION PETROLEUM CORP | 30049A107 | COMMON STOCK | 11,349 | $84,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 20,832 | $84,000 | thousands by filing date | |
| APPLIED MICRO CIRCUITS CORP | 03822W406 | COM NEW | 12,850 | $84,000 | thousands by filing date | |
| Powershs Exch Trad Fd Tr | 73935X500 | WNDRHLL CLN EN | 14,617 | $77,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 10,421 | $75,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 12,599 | $74,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 18,333 | $65,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,767 | $64,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 29,301 | $61,000 | thousands by filing date | |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 32,616 | $59,000 | thousands by filing date | |
| LLOYDS BANKING GROUP PLC SPONSORED ADR | 539439109 | ADR | 11,985 | $56,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 18,500 | $53,000 | thousands by filing date | |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 13,623 | $50,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 26,169 | $48,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 14,919 | $47,000 | thousands by filing date | |
| ARENA PHARMECEUTICALS INC | 040047102 | COMMON STOCK | 11,400 | $40,000 | thousands by filing date | |
| PENGROWTH ENERGY CORP | 70706P104 | COMMON STOCK-FO | 11,915 | $37,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 10,225 | $31,000 | thousands by filing date | |
| SUPERCONDUCTOR TECHNOLOGIES | 867931404 | COM PAR $0.001 | 11,350 | $31,000 | thousands by filing date | |
| HALCON RES CORP | 40537Q209 | COM NEW | 15,908 | $28,000 | thousands by filing date | |
| DENISON MINES CORP | 248356107 | COM | 27,599 | $26,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 24,000 | $26,000 | thousands by filing date | |
| AROTECH CORP | 042682203 | COM NEW | 10,000 | $23,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 16,525 | $18,000 | thousands by filing date | |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 10,000 | $14,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAC3 | NOTE 3.250% 5/1 | 12,000 | $12,000 | thousands by filing date | |
| CHIQUITA BRANDS INTL INC | 170032AT3 | NOTE 4.250% 8/1 | 10,000 | $10,000 | thousands by filing date | |
| EXETER RES CORP | 301835104 | COM | 15,500 | $9,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 11,866 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-15-000135 | this filing | 2015-02-13 | acceptance time not in the bulk data set |