13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 706 holding rows worth $509,228,000.
- Accession
- 0001427271-14-000005
- Filer
- CIK 1427271
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 1,008 entries on the cover page, a total value of $509,228,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $509,228,000 with VALUE read as thousands by filing date, 13F file number 028-12993. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAdvisors Capital Management 028-11543
- included managerCambridge Investments 028-06432
- included managerFraser
- included managerDividend Growth Advisors 028-11952
- included managerSentinel
- included managerValueworks, LLC 028-11180
- included managerCarret Asset Management 028-01317
- included managerWellesley Investment Advisor 028-14868
- included managerTime Capital
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 |
|---|---|---|---|---|---|---|
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 2,412 | $244,000 | thousands by filing date | |
| GOLAR LNG LTD | G9456A100 | SHS | 3,680 | $243,000 | thousands by filing date | |
| PROSHARES TR | 74347R107 | PSHS ULT S&P 500 | 2,060 | $242,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,750 | $242,000 | thousands by filing date | |
| KEURIG GREEN MTN INC | 49271M100 | COM | 1,858 | $241,000 | thousands by filing date | |
| Vanguard Utilities ETF | 92204A876 | SHS | 2,629 | $240,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 17,315 | $240,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 7,168 | $239,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 17,625 | $239,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 2,116 | $238,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 22,410 | $238,000 | thousands by filing date | |
| PUMA BIOTECHNOLOGY INC | 74587V107 | COMMON STOCK | 1,000 | $238,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 2,356 | $237,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 14,150 | $236,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 2,734 | $235,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,402 | $235,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 16,311 | $235,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X101 | CONSUMR DISCRE | 7,246 | $234,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 18,612 | $233,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 13,629 | $233,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 7,262 | $233,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,994 | $232,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 16,835 | $232,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 229,000 | $232,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 19,686 | $231,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 2,564 | $230,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 2,609 | $230,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 30,600 | $230,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 19,690 | $229,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,493 | $228,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 26,962 | $228,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,808 | $228,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 5,212 | $228,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 8,698 | $228,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 216,000 | $227,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 12,110 | $227,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,795 | $227,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 2,541 | $225,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 7,563 | $225,000 | thousands by filing date | |
| CERNER CORP | 156782104 | COM | 3,784 | $225,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,465 | $222,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 21,566 | $222,000 | thousands by filing date | |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 10,501 | $222,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 3,363 | $221,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 40,426 | $221,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W505 | US MIDCAP DIVID | 2,805 | $219,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 12,198 | $218,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 8,845 | $217,000 | thousands by filing date | |
| POWERSHARES | 73935S105 | EXCHANGE TRADED | 9,346 | $217,000 | thousands by filing date | |
| INTEROIL CORP | 460951106 | COM | 4,000 | $216,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R783 | 0-5 HIGH YIELD | 2,080 | $215,000 | thousands by filing date | |
| FIRST TRUST MLP AND ENERGY INC | 33739B104 | COM | 10,000 | $213,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 3,794 | $212,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 2,940 | $212,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 5,040 | $211,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,437 | $211,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 6,968 | $211,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,709 | $209,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C101 | COM | 50,598 | $207,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,550 | $206,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,383 | $206,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 11,000 | $206,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 12,375 | $206,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 2,941 | $205,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 20,379 | $204,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 10,650 | $204,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,165 | $203,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 14,603 | $203,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 1,830 | $202,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 19,575 | $202,000 | thousands by filing date | |
| CONSTELLIUM NV-CLASS A | N22035104 | CL A | 8,212 | $201,000 | thousands by filing date | |
| TRIANGLE CAP CORP | 895848109 | COM | 7,939 | $201,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 9,440 | $201,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 6,337 | $200,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 20,900 | $199,000 | thousands by filing date | |
| CORNERSTONE STRATEGIC VALUE | 21924B203 | COM NEW | 33,784 | $197,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 14,175 | $195,000 | thousands by filing date | |
| DANA INC | 235825205 | COM | 10,056 | $192,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 63,209 | $192,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 14,387 | $192,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 20,187 | $191,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 32,205 | $191,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 24,455 | $190,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 186,000 | $190,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 38,753 | $186,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 13,491 | $182,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 187,000 | $182,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 11,785 | $181,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 50,500 | $181,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 137,000 | $179,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,085 | $176,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 13,995 | $173,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 159,212 | $170,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 160,000 | $165,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 14,458 | $159,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 53,400 | $158,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 28,630 | $157,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 14,213 | $157,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 150,000 | $157,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,431 | $156,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 45,200 | $154,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 16,750 | $153,000 | thousands by filing date | |
| BLACKROCK ECOSOLUTIONS | 092546100 | COM SH | 19,945 | $152,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 11,985 | $150,000 | thousands by filing date | |
| GAS NAT INC | 367204104 | COM | 12,750 | $150,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 21,694 | $146,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 14,654 | $145,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 16,483 | $138,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 74,400 | $138,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 139,000 | $137,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,000 | $132,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 63,500 | $132,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 13,534 | $130,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 10,587 | $129,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 126,000 | $126,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 13,706 | $122,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 64,000 | $122,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 93,000 | $122,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 59,325 | $121,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 25,365 | $120,000 | thousands by filing date | |
| GT ADVANCED TECHNOLOGIES INC | 36191U106 | COM | 10,900 | $118,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 113,000 | $117,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,108 | $115,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 23,850 | $114,000 | thousands by filing date | |
| PAN AMERN SILVER CORP | 697900108 | COM | 10,173 | $111,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 14,182 | $110,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 31,677 | $110,000 | thousands by filing date | |
| STONE ENERGY CORP | 861642AN6 | NOTE | 104,000 | $109,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 12,304 | $105,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 91,000 | $105,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 25,800 | $104,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 34,346 | $104,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 27,450 | $102,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 13,509 | $100,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 98,000 | $100,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 13,089 | $98,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 11,286 | $98,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 23,040 | $98,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,300 | $96,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 61,750 | $96,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 21,750 | $96,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 11,547 | $95,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 18,550 | $93,000 | thousands by filing date | |
| HERCULES TECHNOLOGY GROWTH | 427096AB8 | CNV | 75,000 | $92,000 | thousands by filing date | |
| DRYSHIPS INC | Y2109Q101 | COMMON STOCK-FO | 35,838 | $88,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AD9 | NOTE | 38,000 | $88,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 63,288 | $86,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 21,800 | $81,000 | thousands by filing date | |
| ECA MARCELLUS TRUST I | 26827L109 | COMMON STOCK | 14,705 | $80,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 10,120 | $75,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 20,050 | $74,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AD1 | NOTE 1.000% 7/0 | 60,000 | $74,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 62,000 | $66,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 52,000 | $65,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 20,000 | $64,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 25,430 | $63,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 23,150 | $62,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 18,850 | $60,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 16,251 | $59,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,150 | $58,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 58,000 | $58,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 14,250 | $57,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 28,950 | $56,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 13,450 | $56,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,563 | $56,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 54,000 | $56,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 14,241 | $53,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 36,000 | $52,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 31,818 | $50,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 38,350 | $47,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 27,000 | $46,000 | thousands by filing date | |
| GT Advanced Technologies Inc. | 36191UAB2 | CONV | 41,000 | $46,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 39,000 | $44,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 38,000 | $41,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 16,950 | $41,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 32,000 | $40,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 35,000 | $40,000 | thousands by filing date | |
| CELSION CORPORATION COM PAR | 15117N404 | Stock | 13,638 | $40,000 | thousands by filing date | |
| NOVAGOLD RESOURCES INC | 66987E206 | COM NEW | 12,900 | $39,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 11,706 | $39,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 11,220 | $39,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 33,000 | $38,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 12,250 | $37,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 32,000 | $36,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 27,000 | $35,000 | thousands by filing date | |
| CYCLACEL PHARMACEUTICALS INC | 23254L306 | COM | 11,100 | $33,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 27,925 | $33,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 18,000 | $30,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 25,000 | $29,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 26,000 | $27,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 29,000 | $27,000 | thousands by filing date | |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 25,000 | $24,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $23,000 | thousands by filing date | |
| EXPAND ENERGY CORP | 165167BZ9 | CORPORATE OBLIG | 22,000 | $22,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AH0 | NOTE 1.875% 9/0 | 17,000 | $18,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 25,250 | $17,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 12,000 | $16,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 16,000 | $16,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 17,000 | $16,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 16,000 | $16,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 20,900 | $13,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 10,000 | $10,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 12,000 | $10,000 | thousands by filing date | |
| VRINGO INC | 92911N104 | COM | 10,050 | $9,000 | thousands by filing date | |
| WESTERN COPPER & GOLD CORP | 95805V108 | COM | 12,000 | $6,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-14-000005 | this filing | 2014-11-14 | acceptance time not in the bulk data set |