13F-HR filed by Investors Capital Advisory Services
Investors Capital Advisory Services filed this 13F-HR for the quarter ended 2014-12-31, filed 2015-02-03, with 723 holding rows worth $524,629,000.
- Accession
- 0001427271-15-000001
- Filer
- CIK 1427271
- Filed
- 2015-02-03
- 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, 1,008 entries on the cover page, a total value of $524,629,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $524,629,000 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, LLC 028-11543
- included managerCAMBRIDGE INVESTMENTS LTD 028-06432
- included managerFRASER MANAGEMENT ASSOCIATES INC 028-03721
- included managerDIVIDEND ASSET CAPITAL, LLC 028-11952
- included managerSENTINEL ADVISORS CO
- included managerVALUEWORKS LLC 028-11180
- included managerWELLESLEY INVESTMENT ADVISORS 028-14868
- included managerTIMECAPITAL INVESTOR ADVISORY SERVICES, INC.
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 |
|---|---|---|---|---|---|---|
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 4,412 | $254,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 1,381 | $254,000 | thousands by filing date | |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 11,427 | $254,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 3,880 | $253,000 | thousands by filing date | |
| Pimco Income Oppty Fund | 72202B100 | COM | 10,117 | $253,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 18,204 | $252,000 | thousands by filing date | |
| KEURIG GREEN MTN INC | 49271M100 | COM | 1,908 | $252,000 | thousands by filing date | |
| OWENS CORNING NEW | 690742101 | COM | 6,987 | $250,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 3,315 | $250,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 4,977 | $249,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 17,378 | $248,000 | thousands by filing date | |
| FIREEYE INC | 31816Q101 | COM | 7,868 | $248,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 6,398 | $248,000 | thousands by filing date | |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 2,617 | $246,000 | thousands by filing date | |
| NORTHERN TIER ENERGY LP | 665826103 | COM UN REPR PART | 11,125 | $246,000 | thousands by filing date | |
| WHITING USA TR II | 966388100 | TR UNIT | 44,370 | $246,000 | thousands by filing date | |
| DUNKIN BRANDS GROUP INC | 265504100 | COM | 5,759 | $245,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 2,336 | $243,000 | thousands by filing date | |
| ISHARES TR | 464287689 | RUSSELL 3000 ETF | 1,994 | $243,000 | thousands by filing date | |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 16,012 | $242,000 | thousands by filing date | |
| CENTER COAST BRKFLD MLP ENRG | 151461100 | SHS BEN INT | 13,600 | $241,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 6,345 | $240,000 | thousands by filing date | |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 9,659 | $240,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QMF0 | CNV | 229,000 | $240,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 18,620 | $239,000 | thousands by filing date | |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 12,280 | $239,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 2,525 | $238,000 | thousands by filing date | |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 4,601 | $238,000 | thousands by filing date | |
| PETSMART INC | 716768106 | COM | 2,941 | $238,000 | thousands by filing date | |
| AIRCASTLE LTD | G0129K104 | COM | 11,143 | $238,000 | thousands by filing date | |
| ALLERGAN INC | 018490102 | COM | 1,124 | $238,000 | thousands by filing date | |
| ISHARES TR | 464287101 | S&P 100 ETF | 2,609 | $237,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 19,437 | $236,000 | thousands by filing date | |
| CENTURYLINK INC | 156700106 | COM | 5,966 | $236,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 14,150 | $236,000 | thousands by filing date | |
| TEXAS | 882610108 | COMMON STOCK | 2,000 | $236,000 | thousands by filing date | |
| ISHARES TR | 464287341 | GLOBAL ENERG ETF | 6,286 | $233,000 | thousands by filing date | |
| TAL INTERNATIONAL GROUP | 874083108 | COMMON STOCK | 5,368 | $233,000 | thousands by filing date | |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 12,410 | $233,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 20,839 | $232,000 | thousands by filing date | |
| INDUSTRIAL SVCS AMER INC FLA | 456314103 | COM | 38,800 | $231,000 | thousands by filing date | |
| ARLINGTON ASSET INVST CORP | 041356205 | CL A NEW | 8,680 | $230,000 | thousands by filing date | |
| PUBLIC SVC ENTERPRISE GROUP COM | 744573106 | Stock | 5,552 | $229,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W315 | EMER MKT HIGH FD | 5,438 | $229,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X168 | MATERIALS ALPH | 7,266 | $229,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 2,069 | $228,000 | thousands by filing date | |
| ISHARES | 464286848 | EXCHANGE TRADED | 20,310 | $228,000 | thousands by filing date | |
| GLOBAL X FDS | 37950E341 | GLB X GURU INDEX | 8,698 | $227,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 8,077 | $226,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,368 | $226,000 | thousands by filing date | |
| WESTERN ASSET EMERGING MARKETS | 95766A101 | COM | 14,393 | $226,000 | thousands by filing date | |
| ROYAL BK SCOTLND GRP PLC | 780097804 | SPON | 8,795 | $226,000 | thousands by filing date | |
| NOVARTIS AG SPONSORED ADR | 66987V109 | ADR | 2,433 | $225,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 2,127 | $225,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 9,410 | $225,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541TAD3 | CORPORATE OBLIG | 212,000 | $225,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 12,207 | $223,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 5,300 | $222,000 | thousands by filing date | |
| POWERSHARES NASDAQ INTERNE | 73935X146 | ETF | 3,303 | $221,000 | thousands by filing date | |
| GARMIN LTD SHS | H2906T109 | Stock | 4,165 | $220,000 | thousands by filing date | |
| ISHARES TR | 464289875 | CORE 40 MODE ETF | 6,269 | $220,000 | thousands by filing date | |
| TEXTRON INC COM | 883203101 | Stock | 5,204 | $219,000 | thousands by filing date | |
| PROSHARES | 74347R503 | COMMON STOCK | 10,100 | $219,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 192 | $218,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 4,548 | $218,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 1,973 | $216,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 5,074 | $216,000 | thousands by filing date | |
| PUTNAM PREMIER INCOME TR | 746853100 | SH BEN INT | 40,514 | $212,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 1,284 | $210,000 | thousands by filing date | |
| NCR VOYIX CORPORATION | 62886E108 | COM | 7,257 | $210,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 10,413 | $209,000 | thousands by filing date | |
| ISHARES TR | 464287192 | US TRSPRTION | 1,277 | $209,000 | thousands by filing date | |
| ALLIANZGI CONV INCOME FD | 018828103 | COM | 22,100 | $208,000 | thousands by filing date | |
| SUNTRUST BANKS INC | 867914103 | COM | 4,978 | $208,000 | thousands by filing date | |
| O-I GLASS, INC. | 690768403 | COM | 7,758 | $208,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 27,732 | $207,000 | thousands by filing date | |
| VOYA NAT RES EQUITY INCOME F | 92913C106 | COM | 25,085 | $207,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 1,647 | $206,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 15,140 | $206,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78468R408 | ST TERM HIGH ETF | 7,109 | $205,000 | thousands by filing date | |
| WHOLE FOODS MKT INC | 966837106 | COM | 4,079 | $205,000 | thousands by filing date | |
| GENERAL DYNAMICS CORP COM | 369550108 | Stock | 1,486 | $204,000 | thousands by filing date | |
| AMDOCS LTD | G02602103 | SHS | 4,411 | $204,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A532 | STATE STREET SPD | 1,883 | $204,000 | thousands by filing date | |
| CHIMERA INVESTMENT CORP | 16934Q109 | COMMON STOCK | 64,209 | $204,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 4,827 | $204,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 4,447 | $203,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 2,471 | $203,000 | thousands by filing date | |
| RYDEX ETF TRUST | 78355W601 | GUG S&P MC400 PG | 1,659 | $202,000 | thousands by filing date | |
| CORNERSTONE PROGRESSIVE RTN | 21925C200 | COM NEW | 13,276 | $201,000 | thousands by filing date | |
| NASDAQ INC COM | 631103108 | Stock | 4,179 | $200,000 | thousands by filing date | |
| CROWN HLDGS INC COM | 228368106 | Stock | 3,936 | $200,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 6,943 | $200,000 | thousands by filing date | |
| PORTOLA PHARMACEUTICALS INC COM | 737010108 | Stock | 7,067 | $200,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 35,922 | $199,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 14,428 | $199,000 | thousands by filing date | |
| UNITED PARKS & RESORTS INC | 81282V100 | COM | 11,075 | $198,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 16,395 | $197,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 24,962 | $196,000 | thousands by filing date | |
| MFA FINL INC | 55272X102 | COM | 24,524 | $195,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 12,378 | $193,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 12,185 | $192,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 10,085 | $191,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 12,500 | $188,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 12,105 | $187,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 13,491 | $186,000 | thousands by filing date | |
| EATON VANCE TAX-MANAGED GLOB | 27829F108 | COM | 19,088 | $181,000 | thousands by filing date | |
| FIRST TRUST NEW OPPORTUNITIES | 33739M100 | COM | 10,000 | $179,000 | thousands by filing date | |
| BANCO SANTANDER SA ADR | 05964H105 | ADR | 20,782 | $173,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 17,788 | $172,000 | thousands by filing date | |
| SEQUENOM INC COM NEW | 817337405 | COM | 46,700 | $172,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 175,000 | $172,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 18,433 | $165,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 12,912 | $165,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 11,535 | $165,000 | thousands by filing date | |
| DNP SELECT INCOME FD INC | 23325P104 | COM | 15,590 | $164,000 | thousands by filing date | |
| UNITED STATES NATL GAS FUND | 912318201 | UNIT PAR $0.001 | 11,158 | $164,000 | thousands by filing date | |
| Breitburn Energy Ptnr Lp | 106776107 | COM UT LTD PTN | 22,480 | $157,000 | thousands by filing date | |
| PIMCO CORPORATE & INCM STRG | 72200U100 | COM | 10,327 | $156,000 | thousands by filing date | |
| Invesco Global Listed Private Equity ETF | 73935X195 | ETF | 14,213 | $156,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 12,516 | $151,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 11,291 | $151,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 10,990 | $150,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AH4 | NOTE 3.500% 4/0 | 98,000 | $146,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 128,000 | $146,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 27,434 | $145,000 | thousands by filing date | |
| PACIFIC ETHANOL INC PAR $.001 | 69423U305 | COM | 13,829 | $142,000 | thousands by filing date | |
| VALE S A | 91912E105 | SPONSORED ADS | 17,223 | $140,000 | thousands by filing date | |
| TWO HARBORS INVESTMENT CORP | 90187B101 | COMMON STOCK | 14,050 | $140,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 17,421 | $140,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 10,000 | $134,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 24,730 | $132,000 | thousands by filing date | |
| PHOTRONICS INC | 719405AH5 | NOTE 3.250% 4/0 | 127,000 | $131,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 13,950 | $130,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 70,000 | $127,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 14,883 | $123,000 | thousands by filing date | |
| ENERGY XXI (BERMUDA) LTD | G10082140 | USD UNRS SHS | 37,450 | $122,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 14,481 | $119,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 10,207 | $118,000 | thousands by filing date | |
| MGIC INVT CORP WIS COM | 552848103 | Stock | 12,554 | $117,000 | thousands by filing date | |
| FORTUNA MNG CORP F | 349915108 | COM | 25,800 | $117,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 93,000 | $117,000 | thousands by filing date | |
| OPKO HEALTH INC | 68375N103 | COM | 11,600 | $115,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 41,975 | $113,000 | thousands by filing date | |
| PDL BIOPHARMA INC | 69329Y104 | COM | 14,509 | $111,000 | thousands by filing date | |
| CHART INDUSTRIES INC | 16115QAC4 | NOTE | 116,000 | $110,000 | thousands by filing date | |
| EXTREME NETWORKS INC | 30226D106 | COM | 30,700 | $108,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 22,460 | $102,000 | thousands by filing date | |
| PREFERRED APT CMNTYS INC | 74039L103 | COM | 11,122 | $101,000 | thousands by filing date | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 12,304 | $100,000 | thousands by filing date | |
| MFS HIGH INCOME MUN TR | 59318D104 | SH BEN INT | 20,300 | $99,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 28,168 | $99,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 64,000 | $98,000 | thousands by filing date | |
| CASCADE BANCORP | 147154207 | COM | 18,550 | $96,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 14,169 | $95,000 | thousands by filing date | |
| ARES COML REAL ESTATE CORP | 04013VAB4 | NOTE 7.000%12/1 | 90,000 | $92,000 | thousands by filing date | |
| AK STEEL HOLDING CORP | 001547108 | COM | 15,350 | $91,000 | thousands by filing date | |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 10,272 | $89,000 | thousands by filing date | |
| STUDENT TRANSPORTATION INC | 86388A108 | COMMON | 14,030 | $87,000 | thousands by filing date | |
| SIRIUS XM HOLDINGS INC | 82968B103 | COM | 24,177 | $84,000 | thousands by filing date | |
| PEREGRINE PHARMACEUTICALS IN | 713661304 | COM NEW | 59,288 | $82,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 81,000 | $82,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 46,750 | $79,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 29,450 | $78,000 | thousands by filing date | |
| LRR ENERGY LP | 50214A104 | COMMON STOCK | 11,018 | $77,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 10,120 | $75,000 | thousands by filing date | |
| PSIVIDA CORP | 74440J101 | COM | 17,800 | $73,000 | thousands by filing date | |
| HECLA MNG CO | 422704106 | COM | 25,430 | $70,000 | thousands by filing date | |
| TEEKAY TANKERS LTD | Y8565N102 | CL A | 13,745 | $69,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 20,000 | $68,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 37,250 | $66,000 | thousands by filing date | |
| QUANTUM FUEL SYS INC XXX | 74765E307 | COM | 31,250 | $65,000 | thousands by filing date | |
| PRECISION DRILLING CORP | 74022D308 | COM 2010 | 10,339 | $62,000 | thousands by filing date | |
| DREYFUS | 26200S101 | MUTUAL FUNDS FI | 17,050 | $61,000 | thousands by filing date | |
| NEWPARK RES INC 4.000 | 651718AC2 | NOTE 4.000%10/0 | 55,000 | $61,000 | thousands by filing date | |
| ZIX CORP | 98974P100 | COM | 17,150 | $61,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 72,712 | $58,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 57,900 | $57,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 32,450 | $56,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAG8 | NOTE 4.875% 3/1 | 54,000 | $55,000 | thousands by filing date | |
| BEASLEY BROADCAST GRP INC -A | 074014101 | CL A | 10,563 | $53,000 | thousands by filing date | |
| ENERSYS 3.375 | 29275YAA0 | NOTE | 34,000 | $52,000 | thousands by filing date | |
| AAR CORP 2.25% CB 03/01/2016-REGISTERED | 000361AM7 | Bond | 51,000 | $52,000 | thousands by filing date | |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 24,350 | $48,000 | thousands by filing date | |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 40,000 | $47,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 24,000 | $46,000 | thousands by filing date | |
| BRISTOW GROUP INC | 110394AC7 | NOTE | 43,000 | $44,000 | thousands by filing date | |
| SILVERCORP METALS INC COMP | 82835P103 | EQUITY | 33,369 | $43,000 | thousands by filing date | |
| PENN WEST PETE LTD NEW | 707887105 | COM | 21,153 | $43,000 | thousands by filing date | |
| MFS INTER HIGH INCOME FD | 59318T109 | SH BEN INT | 15,500 | $41,000 | thousands by filing date | |
| VERSAR INC | 925297103 | COM | 12,700 | $40,000 | thousands by filing date | |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 21,626 | $39,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 34,000 | $38,000 | thousands by filing date | |
| MACQUARIE INFRASTRUCTURE COR | 55608BAA3 | NOTE 2.875% 7/1 | 34,000 | $38,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 40,000 | $37,000 | thousands by filing date | |
| CTI BIOPHARMA CORP COM NEW | 12648L106 | Stock | 14,700 | $34,000 | thousands by filing date | |
| JDS UNIPHASE CORP | 46612JAF8 | DBCV 0.625% 8/1 | 31,000 | $32,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 28,000 | $30,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 25,000 | $29,000 | thousands by filing date | |
| TELEFLEX INC | 879369AA4 | NOTE 3.875% 8/0 | 15,000 | $28,000 | thousands by filing date | |
| EXCO RESOURCES INC | 269279402 | COMMON STOCK | 12,031 | $26,000 | thousands by filing date | |
| GOLDMAN SACHS GROUP INC | 38147QLX2 | MTNF 2/1 | 29,000 | $26,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290AV5 | NOTE | 25,000 | $25,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 30,075 | $25,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570100 | COMM STK | 14,250 | $25,000 | thousands by filing date | |
| DRAGONWAVE INC | 26144M103 | COM | 26,100 | $25,000 | thousands by filing date | |
| MASSEY ENERGY CO | 576203AJ2 | NOTE 3.250% 8/0 | 25,000 | $24,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807AL2 | NOTE | 18,000 | $24,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 11,250 | $24,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678AH0 | NOTE 1.875% 9/0 | 17,000 | $23,000 | thousands by filing date | |
| BLUE EARTH INC COM | 095428108 | COMMON STOCK | 19,617 | $20,000 | thousands by filing date | |
| TASEKO MINES LTD COM | 876511106 | Stock | 18,000 | $18,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GROUP | 42330PAG2 | CORPORATE OBLIG | 17,000 | $18,000 | thousands by filing date | |
| TORCHLIGHT ENERGY RES INC | 89102U103 | COM | 22,500 | $18,000 | thousands by filing date | |
| TOLL BROS FIN CORP | 88947EAM2 | NOTE 0.500% 9/1 | 16,000 | $16,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 17,000 | $15,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION 5.75 03/15/2018 | 74348TAL6 | Convertible | 16,000 | $15,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 81170YAB5 | NOTE 3.000%11/1 | 15,000 | $13,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 10,000 | $11,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 10,850 | $11,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 20,900 | $11,000 | thousands by filing date | |
| FIELDPOINT PETROLEUM CORP | 316570126 | WARRANT | 25,250 | $6,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 10,000 | $2,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001427271-15-000001 | this filing | 2015-02-03 | acceptance time not in the bulk data set |